2002 Annual Report

Freedom of Information Activities (FOIA)
Annual Report of the Social Security Administration (SSA) for 2002

I.  Basic Information Regarding SSA's Report

    A.  Report Prepared By: Joyce Schaul        

        Title:                               Freedom of Information Officer

        Agency/Component:  SSA, Office of Public Disclosure

        Telephone:  410-965-5662 FAX:  410-966-4304

        Mailing Address:      Office of Public Disclosure 

                                         3-A-6 Operations Building   

                                         6401 Security Blvd.         

                                         Baltimore, MD  21235        

     B.  Electronic address for a copy of this report on SSA's website:http://www.socialsecurity.gov/foia/

     C.  To obtain a paper copy of this report write to the address shown above, or phone, fax, or E-Mail to the Office of Public Disclosure.  E-Mail address  www.foia.pa.officers@ssa.gov

II.  How to Make a FOIA Request

A. Complete information on making a FOIA request is  contained in The Code of Federal Regulations (CFR), 20 CFR Part 402.  The CFR which is a guide to FOIA requests is available at SSA's Website at http://www.socialsecurity.gov/foia/

B. SSA will try to furnish information as quickly as  possible.  However, it may take one month or more to  locate, retrieve, and review many records.  Complex requests and requests for numerous records may take  longer.

C. We generally do not disclose information about living individuals without their written consent, as this would be a clearly unwarranted invasion of personal privacy.  5 U.S.C. 552(b)(6).

We do not disclose tax information about third parties obtained by SSA from the IRS under 5 U.S.C. 552(b)(3).

Depending upon the nature of the document SSA may withhold documents under the deliberative process privilege, the attorney work product privilege or attorney-client privilege under 5 U.S.C. 552(b)(5).

III.  Definitions of Terms and Acronyms Used in the Report

      A.  Agency specific acronyms or other terms.

                        1. SSA - Social Security Administration

                        2. SSN - Social Security number

      B.  Basic terms, expressed in common terminology.

1.  FOIA/PA Request - Freedom of Information Act/Privacy Act request.  A FOIA request is generally a request for access to records concerning a third party, an organization, or a particular topic of interest.  A Privacy Act request is a request for records concerning oneself; such requests are also treated as FOIA requests.  (All requests for access to records, regardless of which law is cited by the requester, are included in this report.)

2.  Initial Request - a request to a Federal agency for access to records under the FOIA.

3.  Appeal - a request to a Federal agency asking that it review at a higher administrative level a full denial or partial denial of access to records under the FOIA, or any other FOIA determination such as a matter pertaining to fees.

4.  Processed Request or Appeal - a request or appeal for which an agency has taken a final action on the request or the appeal in all respects.

5.  Multi-Track Processing - a system in which simple requests requiring relatively minimal review are placed in one processing track and more voluminous and complex requests are placed in one or more other tracks.  Requests in each track are processed on a first-in/first-out basis.  A requester who has an urgent need for records may request expedited processing.  (See below).

6.  Expedited Processing - an agency will process a FOIA request on an expedited basis when a requester has shown an exceptional need or urgency for the records which warrants prioritization of his or her request over other requests that were made earlier.

7.  Simple Request - a FOIA request that an agency using multi-track processing places in its fastest (nonexpedited) track based on the volume and/or simplicity of records requested.

8.  Complex Request - a FOIA request that an agency using multi-track processing places in a slower track based on the volume and/or complexity of records requested.

9.  Grant - an agency decision to disclose all records in full in response to a FOIA request.

10. Partial Grant - an agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA's exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.

11. Denial - an agency decision not to release any part of a record or records in response to a FOIA request because all the information in the requested records is determined by the agency to be exempt under one or more of the FOIA's exemptions, or for some procedural reason (such as because no record is located in response to a FOIA request).

12. Time Limits - the time period in the FOIA for an agency to respond to a FOIA request (ordinarily 20 working days from proper receipt of a "perfected"  FOIA request).

13. "Perfected" Request - a FOIA request for records which adequately describes the records sought, which has been received by the FOIA office of the agency or agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees.

14. Exemption 3 Statute - a separate Federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).

15. Median Number - the middle, not average, number.  For example, of 3, 7, and 14, the median number is  7.

16. Average Number - the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the group.  For example, of 3, 7, and    14, the average number is 8.               

IV.  Exemption 3 Statutes

A. List of exemption 3 statutes relied on by the Agency during the fiscal year.

1.  26 U.S.C. 6103 - SSA withholds tax return information, such as third party addresses and employers' names and addresses, in situations in which section 6103 of the Internal Revenue Code is applicable.

The National Defense Authorization Act for Fiscal Year 1997, Public Law No. 104-201, codified at 41 U.S.C. 253b(m), contained a prohibition on the release of contractor proposals under the FOIA.  It prohibits the disclosure of any proposal that is not set forth or incorporated by reference in a contract entered into between an agency and the contractor that submitted the proposal.  This provides blanket protection for proposals of unsuccessful  offerors.

2. Statement of whether a court has upheld the use of each statue.

26 U.S.C. 6103:  Yes

Examples:

The withholding of tax return information has been approved under three different cases.  See e.g., Church of Scientology v. IRS, 484 U.S. 9, 15 (1987);  Aronson v. IRS, 973 F.2d 962, 964-65 (1st Cir. 1992) (finding that IRS lawfully exercised discretion to withhold street addresses pursuant to 26 U.S.C. section 6103(m)(1)); Long v. IRS, 891 F.2d 222, 224 (9th Cir. 1989) (holding that deletion of taxpapers'  identification does not alter confidentiality of section 6103 information).

The United States Supreme Court and most appellate courts that have considered withholding tax return information have held either explicitly or implicitly that section 6103 of the Internal Revenue Code  satisfies subpart (B) of exemption 3.

       41 U.S.C. 253b(m):  No

V.  Initial FOIA/PA Access Requests

    A. Number of initial requests.

              1. Number of requests pending as

      of end of preceding year                                     26,788

              2. Total number of initial FOIA/PA

                 requests received.                                                           268,488

  3. Number of requests processed

                  during fiscal year  2002                                                  292,884

              4. Number of requests pending as 

                  of end of fiscal year 2002                                                   2,392

            B. Disposition of initial requests.

                 1. Number of total grants                                                 288,801           

     2. Number of partial grants                                        737

                 3. Number of denials based                                               2,141

                     on FOIA exemptions

a.      Number of times each FOIA exemption is used

(multiple exemptions can be used for individual cases):

                            (1) National defense and foreign policy                                      0

                            (2) Internal personnel rules and practices                        8                     

                            (3) Records exempted by other statutes                               165                        41 U.S.C.253b & 26 U.S.C.6103    Exemption 3 statutes(s) used                                                  

    (4) Trade secrets and confidential

                                    commercial or financial information                                24

                            (5) Internal memoranda                                                             46

                            (6) Clearly unwarranted invasion of

                                       personal privacy                                                        2,643

                            (7) (A) Interference with Enforcement

                                                  Proceedings                                                            0­­

                                  (B) Prejudicial Pretrial Publicity                                             0

                                 (C) Personal Information                                                        21

                                 (D) Confidential Sources                                                          0

                                 (E) Techniques and Procedures                                              0

                                 (F) Physical Safety                                                                     0

                            (8) Records on financial institutions                                              0

                            (9) Records on wells                                                                       0

 4. Total other reasons for non-disclosure                                            1,205

               a. No record or not an agency record                                       350

               b. Request withdrawn or duplicate                                           196

               c. Fee-related reason                                                                 114

               d. Insufficient identifying information                                          89

               e. other                                                                                          456          

VI.  Appeals of Initial Denials of FOIA/PA Requests

A.       Number of Appeals

               1. Appeals received during fiscal year                                         93                    

               2. Appeals processed during fiscal year                                     117                  

            B. Disposition of Appeals

               1. Number completely upheld                                                         61

               2. Number partially reversed                                                           14

               3. Number completely reversed                                                        6

a. Number of times each FOIA exemption is used  (multiple exemptions can be used for individual cases):

                            (1) National defense and foreign policy                             0

                            (2) Internal personnel rules and practices                                     0

                            (3) Records exempted by other statutes                                       5                                                  26 U.S.C.6103  Exemption 3 statutes(s) used                 

                          (4) Trade secrets and confidential

                                       commercial or financial information                                    4

                            (5) Internal memoranda                                                                   6

                            (6) Clearly unwarranted invasion of

                                       personal privacy                                                                  65

                            (7) (A) Interference with Enforcement Proceedings                     0

                                 (B) Prejudicial Pretrial Publicity                                                 0

                                 (C) Personal Information                                                            4

                                 (D) Confidential Sources                                                           0

                                 (E) Techniques and Procedures                                               0

                                 (F) Physical Safety                                                                      0

                            (8) Records on financial institutions                                              0

                            (9) Records on wells                                                                        0

  4. Total other reasons for non-disclosure                                                 36

                        a. No record or not an agency record                                  3

                        b. Withdrawal or duplicate request                                      18

                        c. Fee-related reason                                                            4

                        d. Insufficient identifying information                                     1

                        e. Other                                                                                  10

VII. Compliance With Time Limits/Status of Pending Requests

            A. Median processing time for requests processed during the year.

               1. Fast track

                         a. Number of requests processed                                     1,116

                         b. median number of days to process                                    15

               2. Simple requests 

                         a. Number of requests processed                                        602

                         b. median number of days to process                                    18

               3. Complex requests

                         a. Number of requests processed                                      514

                         b. median number of days to process                      48

4. Simple requests for Social Security Number Applications & other Office of  Earnings Operations records

a.        Number of requests processed                                 44,775    

b.        median number of days to process                                  11

               5. Simple requests handled by non-FOIA staff

                         a. Number of requests processed                                     245,877

                         b. median number of days to process                       not available

   6. Requests accorded expedited processing.

                         a. Number of requests processed                                       0

                         b. median number of days to process                                 0

NOTE: Simple requests are handled by personnel in SSA's 1500 field offices and various central office locations whose FOIA responsibilities are limited.

Processing statistics were not kept on this workload. Most responses were immediate and typically covered public documents such as agency operating instructions or Privacy Act requests by individuals for access to records about themselves.

            B. Status of pending requests.

               1.      Fast track

                         a. Number of requests pending                                                         91

                         b. median number of days pending                                                    7

               2.      Simple requests

                         a. Number of requests pending                                                         38

                         b. median number of days pending                                                  39

               3. Complex requests

                         a. Number of requests pending                                                      187

                         b. median number of days pending                                                 48

               4. Requests accorded expedited processing.

                         a. Number of requests pending                                                          0

                         b. median number of days pending                                                   0

               5. Simple requests for Social Security Number Applications

                         a. Number of requests pending                                           2,076

                         b. median number of days pending                                    Not available

VIII. Comparisons with Previous Year

            SSA processed more FOIA and access requests compared to last year.  The field offices reported increased traffic for both types of requests. SSA processed 292,884 requests in FY 2002 as compared to 264,055 in FY 2001.

            The increase may be attributed to better reporting practices pursuant to a clarification on reporting instructions.  On the whole, processing times were reduced compared to last year.

FOIA and access requests increased in the field. These have a quick turnaround time.  Requesters who come into any of about 1,500 SSA field locations to make a request usually receive the record in the same day (request for information from manual, copies of the Social Security Act, requests about themselves from SSA computer systems, etc.)

SSA's Office of Central Operations (OCO) made substantial advances in clearing end of year pending requests. The end of year pending in FY 2002 in OCO was 2,075, compared to 26,385 in FY 2001.  This was due mostly to the decrease of requests from genealogists for copies of Social Security Number (SSN) applications for deceased individuals.  The requests were halved over FY 2001 (from about 90,000 to 45,000) because, after over 10 years, SSA adjusted the fees for providing this service to recover its costs as required by the FOI and the Social Security Acts.  The fees were raised from $7.00/$16.50 to $27/$29 per SSN request, depending whether or not the requester provided the SSN. Consequently, fewer people made such requests and SSA personnel handling these cases could turn their attention to reducing the pending workload.

Even though SSA received more requests, the amount of appeals received decreased from 165 in FY 01 to 93 in FY02.

Other statistics significant to Agency:

1.             Number of requests received for expedited

Processing:                                                                                                6

2.             Number of requests granted expedited

Processing:                                                                                                0

IX. Costs/FOIA Staffing

            A. Staffing levels

               1. No. of Full-time FOIA Personnel                                                                       16

               2. No. of Personnel with part-time or occasional 

                   FOIA duties (Work Years)                                                                                 136

               3. Total No. of FOIA Personnel (Work Years)                                                     152

            B. Total costs (including staff and all resources)

1.        FOIA processing (including appeals)                   $13,786,298

2.        Litigation-related activities                                           $16,364       

3. Total costs                                                                  $13,802,662

               4. Comparison with FY 01 Total                           $14,676,122 

X.   Fees

   1. Total amount of fees collected by agency                    $2,061,000

       for processing requests                     

   2. Percentage of total costs                                                          15%

XI. FOIA Regulations

See 20 CFR, Part 402. This is available electronically at http://www.socialsecurity.gov/foia/