Freedom of Information Activities (FOIA)
Annual Report of the Social Security Administration (SSA) for 2003
- Basic Information Regarding
SSA's Report
- Report Prepared By: Jonathan R. Cantor
Title: Freedom of Information Officer
Agency/Component: SSA, Office of General Counsel, Office of Public
Disclosure
Telephone: 410-965-1727 FAX: 410-966-4304
Mailing Address:
Office of Disclosure Policy
3-A-6 Operations Building
6401 Security Blvd.
Baltimore, MD 21235
- Electronic address for a copy
of this report on SSA's website: http://www.socialsecurity.gov/foia/
- 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: foia.pa.officers@ssa.gov
.
- How to Make a FOIA Request
- Complete information on making
a FOIA request is contained in The Code of Federal Regulations (CFR),
20
CFR Part 402. It
is available at: http://www.socialsecurity.gov/foia/
- 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.
- 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 or on behalf of 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).
- Definitions of Terms and Acronyms
Used in the Report
- Agency specific acronyms or
other terms.
1.
SSA - Social Security Administration
2.
SSN - Social Security number
- 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.
- Exemption 3 Statutes
List of
exemption 3 statutes relied on by Agency during 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.
41 U.S.C.
253b (m) – 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 statute.
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 taxpayers’ 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: 2,392
2. Number of requests received during
current fiscal
year: 705,280
3. Number of requests processed during
fiscal year
2003: 704,941
4. Number of requests pending as of end of
fiscal year 2003: 2,731
B.
Disposition of initial requests.
1.
Number of total grants: 699,390
2.
Number of partial grants: 704
3.
Number of denials based
on FOIA exemptions: 1,587
Number of times each
FOIA exemption is used
(multiple exemptions
can be used for individual cases):
(1) Exemption
1 0
(2)
Exemption 2 176
(3)
Exemption 3 103
(4) Exemption 4
13
(5)
Exemption 5 207
(6)
Exemption 6 1,977
(7) Exemption 7 (A)
0
(8) Exemption 7 (B) 0
(9) Exemption 7 (C) 32
(10) Exemption 7 (D)
0
(11) Exemption 7 (E)
0
(12) Exemption 7 (F)
0
(13) Exemption 8
0
(14) Exemption 9
0
4. Total other reasons
for non-disclosure: 3,260
a. No record 253
b. Referrals 0
c. Request Withdrawn 118
d. Fee-related reason 86
e. Records not reasonably described 60
f. Not a proper FOIA request for some
other reason 0
g. Not an agency record 0
h. Duplicate request 2,217
i. Other (General information on making
a FOIA/PA
request and Fee Schedule 526
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
77
B.
Disposition of Appeals
1.
Number completely upheld
47
2.
Number partially reversed
4
3.
Number completely reversed 7
Number of times each FOIA exemption is used
(multiple exemptions
can be used for individual cases):
(1)
Exemption 1
0
(2)
Exemption 2
4
(3)
Exemption 3
4
(4)
Exemption 4
0
(5)
Exemption 5
2
(6)
Exemption 6 31
(7)
Exemption 7 (A) 0
(8) Exemption 7 (B) 0
(9) Exemption 7 (C) 0
(10) Exemption 7 (D)
0
(11) Exemption 7 (E)
0
(12) Exemption 7 (F)
0
(13) Exemption 8
0
(14)
Exemption 9
0
4. Total other reasons for non-disclosure 19
a. No record 3
b. Referrals 0
c. Request withdrawn 2
d. Fee -related reason 12
e. Records not reasonably described 0
f. Not a proper FOIA request for
some
other reason
2
g. Not an Agency record 0
h. Duplicate request 0
i. Other
0
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 1,218
b.
Median number of days to process 23
2.
Simple requests
a.
Number of requests processed 393
b.
Median number of days to process 19
3.
Complex requests
a.
Number of requests processed 827
b.
Median number of days to process 62
4. Requests accorded expedited processing
a. Number of requests processed 0
b. Median number of days to process 0
5. Simple requests
for Social Security Number Applications
& other Office
of Earnings Operations records
a. Number of requests
processed 23,654
b. median number of days to process 11
6. Simple requests
handled by non-FOIA staff
a. Number of requests processed 678,849
b.
median number of days to process
not available
NOTE:
Simple requests are handled by personnel in about 1500 locations in
SSA, mostly field offices. Processing
statistics are not kept on this workload.
Most responses were immediate and typically cover public documents,
such as the agency operating instructions or Privacy Act requests by
individuals for access to their own records.
- Status of pending requests.
- Fast track
- Number of requests pending
68
- Median number of days pending
23
- Simple requests
- Number of requests pending
46
- Median number of days pending
21
- Complex requests
- Number of requests pending
211
- Median number of days pending
54
- Requests accorded expedited
processing
- Number of requests pending
0
- Median number of days pending
0
- Simple requests for Social
Security Number Applications
- Number of requests pending
2,406
- Median number of days pending
Not available
- Comparisons with Previous Year
SSA’s
FOIA and access workload continue their projected increase, especially
the latter. This workload has
more than doubled over last FY. The
majority of the increase occurred in SSA’s field locations. In addition, the field offices are reporting
their workloads more accurately, helped by a recently instituted automated
system and clarification of reporting instructions. SSA processed 704,941 requests in FY 2003
as compared to 292,884 in FY 2002.
The vast
majority of the field requests involve access requests, which have a
quick turnaround time. Requesters
usually receive a record in the same day, i.e., requests for information
from a manual, copies of the Social Security Act, requests about themselves
from SSA’s computer systems, etc.
Typically there is no fee for such requests, which is why the
fees collected have remained static.
Other statistics significant to Agency:
1. Number of requests received for expedited
processing: 9
2. Number of requests granted expedited processing:
0
- Costs/FOIA Staffing
- Staffing levels
- No. of Full-time FOIA Personnel
18
- No. of Personnel with part-time
or occasional FOIA duties (Work Years) 149
- Total No. of FOIA Personnel
(Work Years) 167
- Total costs (including staff
and all resources)
- FOIA processing (including
appeals) $13,542,739
- Litigation-related activities
$36,508
- Total costs
$13,579,247
- Comparison with previous FY
02 Total $13,802,662
- Fees
1. Total amount of fees collected by agency for
processing
requests $2,069,585
2. Percentage of total costs .15%
XI FOIA Regulations
See 20 CFR,
Part 402. This is available electronically at http://www.socialsecurity.gov/foia/
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