1 1

Webinar: FOIA Requests for CDC COVID-19 Records

Office of Government Information Services May 12, 2020 National Archives and Records Administration Alina M. Semo, Director 8601 Adelphi Road (OGIS), College Park, MD 20740

(202) 741-5770

ogis@nara.gov

Introduction to CDC and ATSDR

The Centers for Disease Control and Prevention (CDC) and the Agency for Toxic Substances and Disease Registry (ATSDR) are both agencies of the U.S. Department of Health and Human Services (HHS):

CDC Mission: CDC works 24/7 to protect America from health, safety and security threats, both foreign and in the U.S. Whether diseases start at home or abroad, are chronic or acute, curable or preventable, human error or deliberate attack, CDC fights disease and supports communities and citizens to do the same.

2

Introduction to CDC and ATSDR

ATSDR Mission: ATSDR protects communities from harmful health effects related to exposure to natural and man-made hazardous substances. ATSDR responds to environmental health emergencies; investigating emerging environmental health threats; conducting research on the health impacts of hazardous waste sites; and building capabilities of and providing actionable guidance to state and local health partners.

3

anaged bya common director s office.

CDC Organizational Chart March 13 2020

CHIEF OF STAFF Kyle McGowan

CHIEF STRATEGY OFFICER & CHIEF OPERATING OFFICER Sherri Berger, MSPH

CDC WASHINGTON DIRECTOR AnsticeBrandKenefick**

OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY Reginald R. Mebane, MS

CDC DIRECTOR RobertR. Redfield, MD

PRINCIPAL DEPUTY DIRECTOR

Anne Schuchat, MD(RADM,USPHS, RET)

ASSOCIATE DIRECTOR FOR COMMUNICATION Michelle E. Bonds, MBA**

ASSOCIATE DIRECTOR FOR LABORATORY SCIENCE AND SAFETY SteveMonroe, PhD

ASSOCIATE DIRECTOR FOR POLICY AND STRATEGY RobinM.Ikeda, MD,MPH(RADM,USPHS)

CHIEF MEDICAL OFFICER MitchWolfe, MD,MPH(RADM, USPHS)

ion and Control

4

Office of Minority Health and Health Equity Leandris Liburd, PhD,MPH,MA

Center for Global Health

Rebecca Martin, PhD

Center for Preparedness and Response John Dreyzehner,MD,MPH,FACOEM

Center for State, Tribal, Local,

and Territorial Support

National Center on Birth Defects

and Developmental Disabilities AmandaCohn,MD(CAPT,USPHS)**

National Center for Chronic Disease

Prevention and Health Promotion Karen Hacker,MD,MPH

National Center for Environmental Health/Agency for Toxic Substances

and Disease Registry

Patrick Breysse,PhD, CIH*

National Center for Injury

Prevent

National Center for Immunization and Respiratory Diseases

Nancy Messonnier,MD

(CAPT,USPHS,RET)

National Center for Emerging and Zoonotic InfectiousDiseases RimaKhabbaz, MD

National Center for HIV/AIDS, Viral Hepatitis, STD, and TB Prevention

Jonathan Mermin,MD,MPH(RADM,USPHS)

Office of Science

Rebecca Bunnell, PhD

Office of Laboratory Science and Safety

SteveMonroe, PhD

Center for Surveillance,

Epidemiology, and Laboratory Services

Michael F.Iademarco,MD,MPH(RADM,USPHS)

National Center for Health Statistics

NATIONAL INSTITUTE FOR OCCUPATIONAL SAFETY AND HEALTH

John Howard,MD,MPH,JD, LLM, MBA

DEPUTY DIRECTOR FOR PUBLIC HEALTH SERVICE AND IMPLEMENTATIONSCIENCE

Katherine LyonDaniel,PhD**

DEPUTY DIRECTOR FOR PUBLIC

HEALTH SCIENCE ANDSURVEILLANCE

Chesley Richards, MD,MPH,FACP

DEPUTY DIRECTOR FOR NON-INFECTIOUS DISEASES

CelestePhilip, MD, MPH

DEPUTY DIRECTORFOR INFECTIOUS DISEASES

Jay C. Butler,MD(CAPT,USPHS, RET)

Brian C. Moyer, PhD * ATSDR is an OPDIVwithin DHHS but is José T.Montero,MD,MHCDS DebraHo ury, MD, MPH

**

m ’

Acting position

Deputy Director for

Non-Infectious Diseases (DDNID) Celeste Philip, MD, MPH

NCEH/ATSDR

Office of the Director Patrick Breysse, PhD, CIH

Director

Ronney Lindsey, MS Deputy Director

Caroline McDonald Senior Advisor

Christopher M. Reh, PhD Associate Director, ATSDR

Sherry Smallwood Senior Advisor, ATSDR

Sharunda Buchanan, PhD, MS Director of Priority Projects

and Innovation

Renée Funk, DVM, MPH, MBA Associate Director for Emergency Management

(CAPT, USPHS)

Division of Environmental Health Science and Practice

Erik R. Svendsen, PhD

Director

Laurie A. Johnson, MPH

Deputy Director

Division of Laboratory Sciences James L. Pirkle, MD, PhD

Director

Amy Mowbray, PhD

Deputy Director

Division of Community Health Investigations

Alan Parham, MPH

Director (Acting)

Cassandra Smith, MS

Deputy Director (Acting)

Division of Toxicology and Human

Health Sciences William Cibulas, PhD, MS

Director (Acting)

Angela Ragin-Wilson, PhD

Deputy Director (Acting)

Office of Communication Heather Bair-Brake, DVM, MS,

DACVPM

(CDR, USPHS)

AssociateDirector

Lawrence Furphy

Deputy Associate Director

Office of Management and

Analytics Michele Brown

Associate Director/Management Officer

Mattie Gilliam

Deputy Management Officer

Office of Policy, Planning &

Partnerships Pamela Protzel Berman, PhD, MPH

Associate Director

Donata Green, PhD, MA

Deputy Associate Director

Office of Science G. David Williamson,PhD

Associate Director

Tim Dignam, PhD, MPH

Deputy Associate Director

File Last Updated: 3/9/2020 5

NCEH DIVISIONS

Division of

Environmental Health

Science and Practice

Water, Food, and

Environmental Health Services

Branch

Asthma and Community

Health Branch

Lead Poisoning Prevention &

Environmental Health Tracking

Branch

Emergency Management,

Radiation, and Chemical Branch

Division of

Laboratory

Sciences

Inorganic and Radiation

Analytical Toxicology Branch

Clinical Chemistry Branch

Organic Analytical Toxicology

Branch

Newborn Screening and

Molecular Biology Branch

Emergency Response Branch

Nutritional Biomarkers Branch

Tobacco and Volatiles Branch

6

U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES

CENTERS FOR DISEASE CONTROL AND PREVENTION OFFICE OF THE CHIEF OPERATING OFFICER (OCOO)

OFFICE OF THE

DIRECTOR CAJ1

Office of Financial

Resources

CAJE

Office of Safety, Security

and Asset Management

CAJS

Human Resources

Office

CAJQ

Office of the Chief

Information Officer

CAJR

Freedom of

Information Act

Office CAJ12

Strategic Business

Initiatives Unit

CAJ13

Freedom of Information Act Office is part of the OCOO

7

CDC FOIA Office

Central office responsible for responding to FOIA requests received by CDC and ATSDR

Disseminates FOIA requests electronically to areas within CDC most likely to have responsive records

Coordinates efforts when one or more Centers, Institutes or Offices is involved in responding to a FOIA request

Reviews, analyzes, redacts as necessary, and releases documents to the public under the provisions of the Act

Tracks and monitors FOIA requests and responses to ensure timely and appropriate responses

8

QCQQ Office of the Chief Operating Officer

• Th.s fNIY IX<Vf at Hr(

~t~JtM

llf*Cy(h Of tM r.Qu.st.

Services. Support. Solutions.

CDC FOIA Office

9

CDC FOIA Office NO. OF CDC FOIA PERSONNEL

0

5

10

15

20

25

30

35

40

45

50

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

NO. OF FULL-TIME FOIA EMPLOYEES NO. OF EQUIVALENT FULL-TIME EMPLOYEES TOTAL NO. OF FULL-TIME FOIA STAFF

Source: https://www.hhs.gov/foia/reports/annual-reports/index.html

10

1600

CDC FOIA Office

FOIA Requests Received, Processed & Pending

1445

1400 1295

1270 1263 1219

1186 1200 1129

10401020

1000 943

762 749800 685

600

424 416

400

161 163200 137130 130

0 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

Number of Requests Pending at Start of FY Number of Requests Received in FY Number of Requests Processed in FY Number of Requests Pending as of End of FY

Source: https://www.hhs.gov/foia/reports/annual-reports/index.html

11

CDC FOIA Office FOIA REQUESTS - RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

350

307.26

101.39

55.2

32.21

12.25

122.6

159.52

187.56

54.88

26.23

0

50

100

150

200

250

300

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

AVE. NO. OF DAYS - SIMPLE REQUESTS AVE NO. OF DAYS - COMPLEX REQUESTS

Source: https://www.hhs.gov/foia/reports/annual-reports/index.html

12

350

400

CDC FOIA Office Number of Times Exemptions Applied

300

250

200

150

100

50

0 Ex. 1 Ex. 2 Ex. 3 Ex. 4 Ex. 5 Ex. 6 Ex. 7(A) Ex. 7(B) Ex. 7(C) Ex. 7(D) Ex. 7(E) Ex. 7(F) Ex. 8 Ex. 9

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 Source: https://www.hhs.gov/foia/reports/annual-reports/index.html

13

CDC FOIA Office

EXEMPTION 3 STATUTES CITED – FY 2015 - FY 2019

STATUTE CITED TYPE OF INFORMATION WITHHELD

5 U.S.C. app. 4 § 107(a)(2) (Ethics in Government Act of 1978)

Confidential financial disclosure report pertaining to certain government employees

6 U.S.C. § 133(a)(1) Protection of voluntarily shared critical infrastructure information

41 U.S.C. § 2102 (amending 41 U.S.C. § 423(a)(1))* (Procurement

Integrity Act)

Contractor bid or proposal information; source selection information

42 USC § 242m(d) Identifiable information for certain research and statistical activities

42 U.S.C. § 247d-6b(d) Information identifying the location at which materials in the stockpile under subsection (a) of this section are stored

42 USC § 262a(h) Bioterrorism-related information

14

Source: https://www.cdc.gov/od/foia/docs/cdc-foia-statistics-report.pdf

CDC FOIA Office REQUESTS FOR EXPEDITED PROCESSING

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

10

1

36

65

12.

25

84

7

77

3.64

77

8

69

0.7

9

89

11

78

1.07

10

9

1

10

8

4.04

15

TOTAL NO. RECEIVED NO. GRANTED NO. DENIED AVE. NO. OF DAYS TO ADJUDICATE

Source: https://www.hhs.gov/foia/reports/annual-reports/index.html

250

CDC FOIA Office REQUESTS FOR FEE WAIVER

FY 2015 FY 2016 FY 2017 FY 2018 FY 2019

0

50

100

150

200

TOTAL NO. REC'D NO. GRANTED NO. DENIED AVE. NO. OF DAYS TO ADJUDICATE

Source: https://www.hhs.gov/foia/reports/annual-reports/index.html

16

CDC FOIA Office

New Incoming Requests & Complete FOIA Responses

FY 2020 (Oct. 2019 - April 2020)

FY 2019

FY 2018

FY 2017

FY 2016

FY 2015 1054

1213

1101

1399

1422

1601

942

1444

1305

1239

1293

1090

0 200 400 600 800 1000 1200 1400 1600 1800

Complete FOIA Responses New Incoming FOIA Requests

17

Source: https://www.cdc.gov/od/foia/docs/cdc-foia-statistics-report.pdf

COVID-19 RESPONSE BY THE NUMBERS

-

@ •

As of May 7, 2020

4,637

988

254,000+

1,262

7.3+ million

10

CDC personnel suppo rti ng the ou1break response

CDC depoyers who

deployments to 103 States and abroad

Arriving lntemationa alq:x:>rts

haveconductoo 1 ,263

cities across the United

I passrngers screened at US

-

lnfcrmatlon and guidance for Documents pr01ldlng government agend~ busi~ and the public

ucted by pubfic and C OVID-19 tests cond private laboratories In the United States

-

C lin lei an Outreach and Communication Activity (COCA) calls offering guidance to healthcare providers

QCQQ Office of the Chief Operating Officer

• .. ~ • • • ---

loo<:>l ~~:.

• Cl

~~

l~i • •

Accessible: cdc.gov/coronavirus/2019-ncov/cdcresponsejby•ttje'~·numoer:s.: t I -. ... . . ... ~. --~·­. '

97

22.3+ million

209,000+

1.2+ billion

1.1+ billion

19,000+

State and local public health laboratcries performing testing for COVID-19

Time peq::>le have used CDC's on fine self­checking tool, Clara

Calls and emails to CDC-INFO

Times peope viBVOO information on CDC webStes

Social media impressions on 2,736 CDC reSJXXlSE.Lr~ted posts

Inquiries to C OC from health dep:~rtments and doctcrs, nurses or other cl inical staff

cdc.gov /coronavirus

Services. Support. Solutions.

CS31656 5-A

https://www.cdc.gov/coronavirus/2019-ncov/cdcresponse/by-the-numbers.html

18

Impact Of COVID-19 on CDC FOIA Office

The FOIA office has received a significant number of COVID-19 related requests. To date 100% increase in incoming requests over same period last year.

Thousands of CDC staff have been activated to assist with the pandemic and that has impacted FOI! Office’s ability to obtain records directly from programs;

Nevertheless, the FOIA office works hard everyday to locate records and respond timely to all FOIA requests, including COVID-19 FOIA requests.

19

Impact Of COVID-19 on CDC FOIA Office The vast majority of COVID-19 FOIA requests have been approved for expedited

processing by the FOIA Office:

They are prioritized ahead of non-expedited requests.

The FOIA Office is processing COVID-19 requests for similar documents collectively:

If multiple requests have been received for the same or similar records the FOIA Office is responding to all requests at the same time.

The FOI! Office’s two primary methods for searches are:

(1) FOIA Office conducts the search independently,

(2) FOIA Office requests assistance from the COVID-19 Emergency Operations Center (EOC) in locating records.

20

Impact Of COVID-19 on CDC FOIA Office

CDC is proactively releasing COVID-19 related information:

CDC COVID-19 Data Tracker: tracks COVID confirmed cases and deaths by state and county, and total number of cases and deaths.

Map of states and territories with one or more laboratories that have successfully verified and are currently using COVID-19 viral tests.

21

What can you do to help us help you get the records you seek?

1. Keep the request brief.

2. Give us enough information upfront so we can quickly process your request.

3. Ask for what you want and nothing more.

4. Be realistic about response times.

22

Tips for narrowing scope of requests:

List name(s) and emails to be searched

Provide a timeframe. Shorter is better

Provide keywords. Combining keywords is very helpful.

Limit records to a few senior leaders

Identify the subject of request -- e.g., document title

Limit the volume of records retrieved -- fewer pages to review means = faster response time not only for your requests but for others as well.

Contact us to assist you scope your request

23

24

During the COVID-19 response, the CDC FOIA Office cannot receive any FOIA-related correspondence by USPS, FedEx or UPS. Starting May 1, we will no longer be accepting requests via E-mail or fax. Requesters can submit a FOIA request using one of the options below: 1.FOIA Public Access Link (PAL) 2.Submit a request via FOIA.gov To learn more about Coronavirus Disease 2019 (COVID-19) visit CDC’s COVID-19 website.

Resources & Additional Information

o Website: https://www.cdc.gov/od/foia/index.htm

o CDC FOIA Officer & FOIA Public Liaison: Roger Andoh -- 770-488-6277 -- mhu9@cdc.gov

o CDC Deputy FOIA Officer: Bruno Viana -- 770-488-6399 -- cqy8@cdc.gov

o General Phone: 770-488-6399

o Email: FOIARequests@cdc.gov

o Public Access Link (PAL): CDC FOIA Public Access Link

o Information on COVID-19: https://www.cdc.gov/coronavirus/2019-ncov/index.html

25

QUESTIONS &

ANSWERS

26