`[Federal Register Volume 89, Number 243 (Wednesday, December 18, 2024)]
[Rules and Regulations]
[Pages 102704-102721]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-29647]


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SOCIAL SECURITY ADMINISTRATION

20 CFR Part 402

[Docket No. SSA-2021-0049]
RIN 0960-AI07


Availability of Information and Records to the Public

AGENCY: Social Security Administration.

ACTION: Final rule.

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SUMMARY: The Social Security Administration (SSA) is finalizing 
revisions to our Freedom of Information Act (FOIA) regulations to 
conform with the requirements of the FOIA Improvement Act of 2016. The 
FOIA Improvement Act of 2016 requires Federal agencies to issue 
regulations on procedures for disclosure of records consistent with the 
amendments to the FOIA by such Act. We are also finalizing the 
reorganization of our FOIA regulation to make our FOIA procedures 
easier for the public to understand and use.

DATES: This rule is effective January 17, 2025.

FOR FURTHER INFORMATION CONTACT: Sarah Reagan, Office of Privacy and 
Disclosure, Social Security Administration, WHR G401, 6401 Security 
Boulevard, Baltimore, MD 21235, (410) 966-5855.
    For information on eligibility or filing for benefits, call our 
national toll-free number, 1-800-772-1213, or TTY 1-800-325-0778, or 
visit our internet site, Social Security Online, at https://www.ssa.gov.

SUPPLEMENTARY INFORMATION:

I. Background

    The FOIA is a Federal statute that allows the public to request 
records from the Federal government. The FOIA provides that any person 
has a right, enforceable in court, to obtain access to federal agency 
records subject to the FOIA, except to the extent that any portions of 
such records are protected from public disclosure by one of nine 
exemptions. Under the FOIA, agencies must make records specified in 5 
U.S.C. 552(a)(2) (e.g., instructional manuals issued to our employees, 
general statements of policy, other materials used in processing 
claims, etc.) available for public inspection in an electronic format. 
The FOIA also statutorily requires Federal agencies to annually report 
on numerous and various metrics to the Department of Justice (DOJ).
    Since the time the SSA became an agency independent of the 
Department of Health and Human Services, Congress enacted two 
significant laws. These laws, the Openness Promotes Effectiveness in 
our National Government Act of 2007 (OPEN Government Act of 2007) \1\ 
and the FOIA Improvement Act of 2016,\2\ guide how agencies implement 
the requirements of the FOIA. We are finalizing our proposed updates 
and revisions to our regulation at 20 CFR part 402 to conform with 
these laws, as well as the FOIA Improvement Act of 2016's requirement 
to issue regulations on procedures for disclosure of records in 
accordance with its amendments.
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    \1\ Public Law 110-175; https://www.congress.gov/bill/110th-congress/senate-bill/2488/text.
    \2\ Public Law 114-185; https://www.congress.gov/bill/114th-congress/senate-bill/337/text.
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    On June 6, 2023, we published a notice of proposed rulemaking 
(NPRM) to update, reorganize, and clarify our FOIA processes for the 
public.\3\ In the NPRM, we proposed comprehensive revisions to the 
entirety of 20 CFR part 402. This reorganization starts with our FOIA 
policies and procedures for processing FOIA requests and concludes with 
information on records available for public inspection. Our revisions, 
finalized here with some modifications from the NPRM, streamline our 
FOIA regulations at part 402 by creating new sections, consolidating 
sections based on content, and revising section headings to more 
clearly capture the information contained therein. We also proposed 
updates to reflect office name changes, as well as general text changes 
consistent with the plain language initiative.\4\
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    \3\ 88 FR 36980.
    \4\ The Plain Writing Act of 2010 requires Federal agencies to 
use clear communication that the public can understand and use. 
Federal agencies are required to follow plain language principles; 
https://centerforplainlanguage.org/learning-training/five-steps-plain-language/. In fiscal year 2021, the Center for Plain Language 
graded Federal agencies' Coronavirus Update pages and main FOIA web 
pages. SSA received an overall grade of B+ and received positive 
reviews on our FOIA main web page.
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    Our proposed revisions to our FOIA regulation at 20 CFR part 402, 
which we are finalizing with minor revisions, are supported by the 
requirements of the OPEN Government Act of 2007 and the FOIA 
Improvement Act of 2016.
    These changes also correlate with the guidelines on the FOIA that 
Attorney General Merrick Garland issued within his March 2022 
Memorandum for Heads of Executive Departments and Agencies. As 
summarized by DOJ's Office of Information Policy, Attorney General 
Garland's memorandum ``direct[s] the heads of all executive branch 
departments and agencies to apply a presumption of openness in 
administering the FOIA and make clear that the Justice Department will 
not defend nondisclosure decisions that fail to do so.'' Attorney 
General Garland stated that proactive disclosures are ``fundamental to 
the faithful application of FOIA,'' and advised agencies of the need 
``to remove barriers to access and to help requesters understand the 
FOIA process and the nature and scope of the records the agency 
maintains.''
    In the NPRM, and in this final rule, we explained and justified the 
rulemaking on the requirements of the

[[Page 102705]]

OPEN Government Act of 2007 \5\ and the FOIA Improvement Act of 
2016.\6\
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    \5\ 88 FR at 36981.
    \6\ 88 FR at 36982.
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    The changes we are finalizing in this final rule to conform with 
the requirements of the OPEN Government Act of 2007 are as follows:
     Within revised Sec.  402.60, we are updating and 
clarifying the following business practices: our acknowledgement of 
FOIA requests, when a request is considered perfected, our multi-
tracking procedures, unusual circumstances, and tolling of the 20 
business day statutory time period;
     Within revised Sec. Sec.  402.70 through 402.80, we are 
clarifying our rules concerning fees;
     Within revised Sec. Sec.  402.05 and 402.100, we are 
introducing and providing information on the services of the FOIA 
Public Liaison and the Office of Government Information Services 
(OGIS); and
     Within revised Sec.  402.10, we are defining 
``representative of the news media,'' amending the definition of 
``record,'' and defining new terms (such as the FOIA Public Liaison, 
OGIS, and Chief FOIA Officer).
    The changes we are finalizing in this final rule to conform with 
the requirements of the FOIA Improvement Act of 2016 are as follows:
     Within revised Sec. Sec.  402.15(a) and 402.60(k), we are 
adding the foreseeable harm standard;
     Within revised Sec.  402.105, we are updating the appeal 
timeframe to 90 days (from 30 days);
     Within revised Sec. Sec.  402.05 and 402.100, discussed 
earlier, we are addressing the FOIA Public Liaison and OGIS;
     Within revised Sec. Sec.  402.70 through 402.80, we are 
clarifying our fee charging rules, including when unusual circumstances 
apply;
     Within revised Sec.  402.135(a), we are revising the 
deliberative process privilege to provide that this privilege cannot be 
applied to records that are 25 years or older at the time of the FOIA 
request; and,
     Within revised Sec.  402.155(a), we are addressing our 
public posting of records requested three or more times.

Changes We Made From the NPRM to the Final Rule

     In Sec.  402.10, we clarified the definition of 
``commercial interest'' in response to public comment.
     In Sec.  402.10, we added the definition of ``commercial 
use'' to differentiate ``Commercial interest'' from ``commercial use.'' 
``Commercial use'' is terminology used in our fee waiver provisions and 
is not intended to impact the ``commercial use'' FOIA fee category.
     In Sec.  402.10, we clarified the definition of 
``educational institution.'' While we did not receive public comment on 
this definition, the language we added aligns with DOJ FOIA guidance 
and case law. The added language specifies that we may seek 
verification from the requester that the request is in furtherance of 
scholarly research.
     In Sec.  402.10, we clarified the definition of ``fee 
category.'' While we did not receive public comment on this definition, 
we removed ``noncommercial'' so the language now states: ``The 
categories are: commercial use requests; scientific or educational 
institutions and news media requests; and all other requests.'' 
``Commercial use'' is its own fee category; therefore, the term 
``noncommercial'' is redundant.
     In Sec.  402.10, we changed the term ``reading room'' to 
``FOIA library'' to align with DOJ FOIA guidance. We also added the 
following sentence to further explain what may be maintained in a FOIA 
library: ``Posted records may include those provided under agency 
discretion and not required pursuant to FOIA.'' We changed the term 
``reading room'' to ``FOIA library'' throughout the regulation.
     In Sec.  402.10, we modified the definition of 
``representative of the news media.'' While we did not receive public 
comment on this definition, we removed the phrase ``based on the 
requester's intended use of the requested records'' to align with the 
FOIA statute.
     In Sec.  402.10, we clarified the definition of ``Trade 
secrets and commercial or financial information.'' While we did not 
receive public comment on this definition, we adjusted the terminology 
of the definition to make it easier to understand. The term now reads: 
``Trade secrets and confidential commercial or financial information.''
     In Sec.  402.20(b), we changed the language from stating 
the agency ``will handle'' your request under the Privacy Act to the 
agency ``may handle'' your request under the Privacy Act. This change 
clarifies that not all individuals requesting their own records that 
are maintained in a system of records, or parents or legal guardians 
authorized to act under Sec.  401.75 of this chapter who are seeking 
the records about a minor or individual who has been declared 
incompetent, would be entitled to access records under the Privacy Act. 
For instance, SSA maintains systems of records that are exempt from 
access under Sec.  401.85 and third-party information within a 
subject's systems of records may not be accessible under the Privacy 
Act. Further, requesters must verify their identity to make a Privacy 
Act request. In cases where a requester who filed a FOIA would not be 
entitled to records under the Privacy Act, we will handle their request 
under FOIA. We further clarified that ``Privacy Act requests are also 
processed under the FOIA, when appropriate, to give you the benefit of 
both statutes. You must verify your identity in accordance with our 
regulations.'' Given our central processing of FOIA, it is not feasible 
for Privacy Act initial denials to be processed under FOIA prior to 
denial of administrative appeal because OPD, the sole decisionmaker 
under FOIA, does not process initial denials but does process 
administrative appeal denials.
     In Sec.  402.25, we modified the language to align more 
with the FOIA statute by changing ``member of the public'' to 
``person.''
     In Sec.  402.30(a)(4), we consolidated two separate 
sentences into one for clarity and readability. The sentence now reads: 
``The request must clearly state and reasonably describe what SSA 
records are being requested in sufficient detail to enable OPD to 
locate them with a reasonable amount of effort.'' We also changed the 
word ``should'' to ``may'' in the following sentence to clarify that 
providing the information specified therein is not a requirement: ``If 
the request is for electronic communications, such as email records, 
the request may identify the names, position titles, or other 
identifying information about the agency employees involved, as well as 
the applicable timeframe.''
     In Sec.  402.35, we added the National FOIA Portal as an 
additional resource through which requesters can submit FOIA requests 
to SSA, and we removed the agency's fax number. This section, however, 
continues to provide requesters codified directions to our website at 
https://www.ssa.gov/foia for additional contact information, as well as 
an email address for inquiries and a physical mailing address.
     In Sec.  402.45, we changed the name of the section 
heading and revised the content to more clearly describe how we handle 
certain requests. The ``Requests not processed under the FOIA'' is now 
Requests handled outside of the FOIA process. We added a clarifying 
sentence, ``When records (a) through (d) below are requested from OPD, 
OPD will respond to the requester and provide information for 
requesting the records sought,'' to

[[Page 102706]]

articulate how we respond outside of the FOIA process.
     In Sec.  402.55, we edited the language to further clarify 
how we handle consultations and referrals, e.g., we added language to 
explain referrals of requests in whole or in part. Our practices as 
described in this section align with DOJ's FOIA guidance and how other 
agencies similarly handle consults and referrals. While we did not 
receive public comment on this section, we clarified the language in 
Sec.  402.55(a) to state that ``[w]hen reviewing records located by SSA 
in response to a request, SSA will determine whether another agency of 
the Federal Government is better able to determine whether the record 
is exempt from disclosure under the FOIA.'' We further clarify that we 
may refer records, in whole or in part to an outside agency. Within 
modified Sec.  402.55(a)(1), finalized in this rule, we now state: ``We 
will notify the requester in writing when we opt to refer records in 
whole or in part to another agency for direct response from that 
agency, including the name(s) or the agency(s) to which the record was 
referred and that agency's FOIA contact information, unless 
notification would cause harm to an interest protected under the FOIA. 
In such instances, in order to avoid harm to an interest protected by 
an applicable exemption, we coordinate to seek the view of the 
originating agency.''
     We moved Sec.  402.55(b) Referral of requester to another 
agency, to Sec.  402.60(k) and edited the language to more clearly 
describe SSA's actions. The sub-heading now reads: Directing a 
requester to another agency. This subsection describes our practices 
that are not technically referrals as defined in the FOIA statute. This 
move provides more clarity on our FOIA process.
     In Sec.  402.60(a)(1), we revised the first sentence 
concerning our acknowledgement of FOIA requests for consistency with 
the FOIA statute. The language now reads: ``If we receive a FOIA 
request that will take longer than 10 working days to process, we will 
provide an acknowledgment.''
     In Sec.  402.60(b) and elsewhere throughout the 
regulation, we changed the term ``business days'' to ``working days'' 
for consistency with the FOIA statute.
     In Sec.  402.60, we reorganized Expedited processing 
within 402.60(c) Multi-tracking procedures. Section 402.60(c), 
clarifies that there are three multi-track types: ``FOIA requests are 
categorized simple, complex, or expedited. Unless granted expedited 
processing, we process FOIA requests in each track according to a 
first-in, first-out basis.'' We further clarify in Sec.  402.60(c)(2) 
how long it takes the agency to process requests placed in the complex 
multi-track: ``We will place into a complex processing queue any 
request that cannot be completed within 20 working days due to the 
complex nature of the request, including consultation with components 
that may maintain records subject to the request.''
     In Sec.  402.60(d), we clarify that ``[w]hen unusual 
circumstances exist, we will process the request under the complex 
track.'' We received a public comment concerning SSA's ``unusual 
circumstances'' practice. As explained within the ``Comments and 
Responses'' portion of this final rule, we modified our final 
regulation to reflect that ``unusual circumstances'' exist ``[w]hen 
unusual circumstances exist, we will process the request under the 
complex track.'' This change is a clarifying statement but not a change 
in practice. We currently use multi-tracks under Sec.  402.140(c) and 
similarly define longer tracks to include situations where there is a 
need to consult with other SSA offices and the FOIA defines unusual 
circumstances under 5 U.S.C. 552(a)(6)(B)(iii) to exist when there is a 
need to search for and collect the requested records from offices 
separate from the office processing the FOIA request. Thus, the change 
to Sec.  402.60(d) is merely a clarifying statement of how our tracks 
align with the unusual circumstance requirements in FOIA.
     In Sec.  402.60(d)(2), we added language about our 
``unusual circumstances'' notification for consistency with the FOIA 
statute. We added the following sentence: ``We will notify the 
requester of the date by which we estimate completing the request.''
     In Sec.  402.60(f), we clarified our fees by adding 
``duplication'' among the items subject to a fee. The language now 
reads: ``FOIA requesters are issued a fee notice that informs them of 
the estimated search, review, and duplication time associated with 
processing their FOIA request.''
     In Sec.  402.60(g)(2), we clarified language regarding our 
administrative closing of requests. The language now reads: ``The 
processing time will resume upon our receipt of the requester's 
response. There may be instances when we require multiple 
clarifications on a FOIA request. After the first request for 
clarification, any additional clarifications are performed without 
tolling the clock. If we do not receive a response to our clarification 
attempts within 30 calendar days from the date of our first contact to 
the requester, we will close the FOIA request.''
     In 402.60(i), we renamed the title of the subsection to 
reflect the content more clearly. The subsection's title changed from 
``Unproductive searches'' to No records determinations.
     In Sec.  402.60(j), we removed the word ``only'' from the 
first sentence, so it now reads as follows: ``We will furnish copies of 
records in whole or in-part, unless we reasonably foresee that 
disclosure would harm an interest protected by a FOIA exemption or if 
disclosure is prohibited by law.''
     In Sec.  402.65, we modified (a), (a)(2), and (b). Under 
Sec.  402.65(a), we removed the phrase ``such as'' before we list the 
criteria for expedited processing. For Sec.  402.65(a)(2), for clarity 
and plain language usage, we changed the language from ``the request is 
from the media, or other'' to ``the requester is.'' In response to 
public comment, we also removed the word ``immediate'' in describing 
the urgency to inform the public necessary for expedited processing. 
Under Sec.  402.65(b), we added language to clarify and more closely 
align with the FOIA statute \7\ to reflect the requester's requirements 
when submitting a request for expedited processing. Our regulation now 
clearly states what information the requester must provide when 
submitting a request for expedited processing, i.e., ``A requester who 
seeks expedited processing must submit a statement, certified to be 
true and correct, explaining in detail the basis for making the request 
for expedited processing. We will notify the requester within 10 
calendar days of receipt of the request for expedited processing of our 
decision to grant or deny expedited processing.'' We added one more 
sentence, clarifying our processing of requests for expedited 
processing: ``Requests granted expedited processing will be given 
priority and processed as soon as practicable.''
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    \7\ 5 U.S.C. 552(a)(6)(E)(vi).
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     In Sec.  402.85, in response to public comment, we 
modified the language by further clarifying the public interest 
criteria and what a requester should provide when submitting a request 
for a fee waiver citing public interest. We expand on this change 
within the ``Comments and Responses'' portion of this final rule.
     In Sec.  402.90(c)(3), to align more with the electronic 
age and requesters' use of credit card payment forms, we added language 
clarifying that we will dispose of payment information or return it. 
For example, if a requester faxed us their credit card payment 
information and the credit card payment information is no longer 
needed, rather than returning the completed credit card payment form 
via postal mail, we may dispose of the payment information.

[[Page 102707]]

     In Sec.  402.105(a)(2) and (a)(3), we added language 
further clarifying the timeframe to submit an appeal and what 
information a requester should provide when submitting an appeal. While 
we did not receive public comment on this section, we added the phrase 
``or in the case of electronic submissions, transmitted'' and the word 
``calendar'' to Sec.  402.105(a)(2), so it now reads: ``Be received, or 
in the case of electronic submissions, transmitted within 90 calendar 
days from the date of the determination the requester is appealing.'' 
Under Sec.  402.105(a)(3), we expand on what the appeal should include 
by adding two more sentences, so it now reads: ``Explain what the 
requester is appealing and include additional information to support 
the appeal. The appeal should clearly identify the agency determination 
that is being appealed and the assigned request's tracking number. To 
facilitate handling when submitted via mail or fax, the requester 
should mark the appeal letter, or subject line of the electronic 
transmission, `Freedom of Information Act Appeal.' ''
     In Sec.  402.105(b), we revised the first sentence 
concerning our acknowledgement of FOIA appeals for consistency with the 
FOIA statute. The language now reads: ``If we receive an appeal that 
will take longer than 10 working days to process, we will provide an 
acknowledgment.''
     In Sec.  402.105(c)(2), we clarify how long it takes the 
agency to process appeals placed in the complex multi-track: ``Appeals 
of complex requests cannot be completed within 20 working days.''
     In Sec.  402.115 through Sec.  402.145, we revised some of 
the introductions within the FOIA Exemptions to account that there may 
be considerations beyond the Exemption itself.
     In Sec.  402.130, we clarified Exemption 4 regarding the 
Submitter's Notice to make clear how we may handle transmission of 
submitter notices in cases involving many submitters. We also clarified 
some of the language to make it consistent throughout the regulation.
     In Sec.  402.135, Exemption 5, we added ``may'' to the 
following sentence to clarify that these records are examples: ``Such 
internal government communications may include an agency's 
communications with an outside consultant or other outside person, with 
a court, or with Congress, when those communications are for a purpose 
similar to the purpose of privileged intra-agency communications.''
     In Sec.  402.145(e), we modified the language to mirror 
the FOIA statute concerning Exemption 7(E).
     In Sec.  402.155, we added the phrase, ``SSA's public'' in 
front of ``Hearings, Appeals, and Litigation Law Manual.'' We received 
public comment regarding the agency's proactive disclosures; therefore, 
our addition of the phrase ``SSA's public'' clarifies that the agency 
posts a public version of the Hearings, Appeals, and Litigation Law 
Manual.
     In Sec.  402.160(a), we added ``(a)(5) By posting in the 
FOIA Library,'' to the list of places where the agency publishes 
records.
    To visualize our reorganization of part 402, we provided a table 
that identifies the old (existing) regulatory sections, the sections to 
which the content moved, and the names of the new sections, which we 
are also including for ease-of-use and transparency in this final 
rule.\8\
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    \8\ 88 FR at 36983.
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Section-by-Section Changes

               20 CFR Part 402 Reorganization of Sections
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                    Reorganization of 20 CFR part 402
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                                 Existing [rarr]
       Existing section                New              New section
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402.5. Scope and purpose......  402.5 [rarr]       402.05. Scope and
                                 402.05.            purpose of this
                                                    part.
402.10. Policy................  402.10 [rarr]      402.10. Definitions.
                                 402.15.
402.15. Relationship between    402.15 [rarr]      402.15. SSA's FOIA
 the FOIA and the Privacy Act    402.20.            policy.
 of 1974.
402.20. Requests not handled    402.20 [rarr]      402.20. Relationship
 under the FOIA.                 402.45.            between the FOIA and
                                                    the Privacy Act of
                                                    1974.
402.25. Referral of requests    402.25 [rarr]      402.25. Who can file
 outside of SSA.                 402.55.            a FOIA request?
402.30. Definitions...........  402.30 [rarr]      402.30. Requirements
                                 402.10.            of a FOIA request.
402.35. Publication...........  402.35 [rarr]      402.35. Where to
                                 402.160.           submit a FOIA
                                                    request.
402.40. Publications for sale.  402.40 [rarr]      402.40. Requests for
                                 402.165.           deceased
                                                    individual's
                                                    records.
402.45. Availability of         402.45(a) [rarr]   402.45. Requests
 records.                        402.05.            handled outside of
                                                    the FOIA process.
402.50. Availability of         402.50 removed...  402.50. FOIA
 administrative staff manuals.                      Officer's authority.
402.55. Materials available at  402.55 [rarr]      402.55. Referrals and
 district offices and branch     402.155.           consultations.
 offices.
402.60. Materials in field      402.60 [rarr]      402.60. How does SSA
 offices of the Office of        402.155.           process FOIA
 Hearings and Appeals.                              requests?
402.65. Health care             402.65 removed...  402.65. Expedited
 information.                                       processing.
402.70. Reasons for             402.70 [rarr]      402.70. Fees
 withholding some records.       402.95(b).         associated with
                                                    processing FOIA
                                                    requests.
402.75. Exemption one for       402.75 [rarr]      402.75. FOIA fee
 withholding records: National   402.115.           schedule.
 defense and foreign policy.
402.80. Exemption two for       402.80 [rarr]      402.80. Charging
 withholding records: Internal   402.120.           under section
 personnel rules and practices.                     1106(c) of the
                                                    Social Security Act.
402.85. Exemption three for     402.85 [rarr]      402.85. Waiver of
 withholding records: Records    402.125.           fees in the public
 exempted by other statutes.                        interest.
402.90. Exemption four for      402.90 [rarr]      402.90. Notification
 withholding records: Trade      402.130.           of fees and
 secrets and confidential                           prepayment
 commercial or financial                            requirements.
 information.
402.95. Exemption five for      402.95 [rarr]      402.95. Release of
 withholding records: Internal   402.135.           records.
 memoranda.

[[Page 102708]]

 
402.100. Exemption six:         402.100 [rarr]     402.100. FOIA Public
 Clearly unwarranted invasion    402.140.           Liaison and the
 of personal privacy.                               Office of Government
                                                    Information
                                                    Services.
402.105. Exemption seven for    402.105 [rarr]     402.105. Appeals of
 withholding records: Law        402.145.           the FOIA Officer's
 enforcement.                                       determination.
402.110. Exemption eight and    402.110 [rarr]     402.110. U.S.
 nine for withholding records:   402.150.           District Court
 Records on financial                               action.
 institutions; records on
 wells.
402.115. Reserved.............  Reserved [rarr]    402.115. The FOIA
                                 New section        Exemption 1:
                                 402.115.           National defense and
                                                    foreign policy.
402.120. Reserved.............  Reserved [rarr]    402.120. The FOIA
                                 New section        Exemption 2:
                                 402.120.           Internal personnel
                                                    rules and policies.
402.125. Who may release a      402.125 [rarr]     402.125. The FOIA
 record.                         402.50.            Exemption 3: Records
                                                    exempted under other
                                                    statutes.
402.130. How to request a       402.130 [rarr]     402.130. The FOIA
 record.                         402.35.            Exemption 4: Trade
                                                    secrets and
                                                    confidential
                                                    commercial or
                                                    financial
                                                    information.
402.135. Where to send a        402.130 [rarr]     402.135. The FOIA
 request.                        402.30 and         Exemption 5:
                                 402.35.            Internal documents.
402.140. How a request for a    402.140(a)-(c)     402.140. The FOIA
 record is processed.            [rarr] 402.60.     Exemption 6: Clearly
                                402.140(d) [rarr]   unwarranted invasion
                                 402.65.            of personal privacy.
402.145. Responding to your     402.145(d) [rarr]  402.145. The FOIA
 request.                        402.15(a)(2).      Exemption 7: Law
                                402.145(a)-(c)      enforcement.
                                 [rarr] 402.60.
402.150. Release of records...  402.150 [rarr]     402.150. The FOIA
                                 402.95.            Exemptions 8 and 9:
                                                    Records on financial
                                                    institutions;
                                                    records on wells.
402.155. Fees to be charged--   402.155 [rarr]     402.155. Records
 categories of requests.         402.70-402.75.     available for public
                                                    inspection.
402.160. Fees to be charged--   402.160 [rarr]     402.160. Where
 general provisions.             402.70-402.75.     records are
                                                    published.
402.165. Fee schedule.........  402.165 [rarr]     402.165. Publications
                                 402.75.            for sale through the
                                                    Government
                                                    Publishing Office.
402.170. Fees for providing     402.170 [rarr]     Transferred as Shown,
 records and related services    402.80.            and Unused in
 for program purposes pursuant  402.170(b) [rarr]   Revised part 402.
 to section 1106 of the Social   402.85(d).
 Security Act.
402.175. Fees for providing     402.175 [rarr]     Transferred as Shown,
 information and related         402.80.            and Unused in
 services for non-program                           Revised part 402.
 purposes.
402.180. Procedure on           402.180 [rarr]     Transferred as Shown,
 assessing and collecting fees   402.90.            and Unused in
 for providing records.                             Revised part 402.
402.185. Waiver or reduction    402.185 [rarr]     Transferred as Shown,
 of fees in the public           402.85.            and Unused in
 interest.                                          Revised part 402.
402.190. Officials who may      402.190 [rarr]     Transferred as Shown,
 deny a request for records      402.50.            and Unused in
 under FOIA.                                        Revised part 402.
402.195. How a request is       402.195 [rarr]     Transferred as Shown,
 denied.                         402.60.            and Unused in
                                                    Revised part 402.
402.200. How to appeal a        402.200 [rarr]     Transferred as Shown,
 decision denying all or part    402.105.           and Unused in
 of a request.                                      Revised part 402.
402.205. U.S. District Court    402.205 [rarr]     Transferred as Shown,
 Action.                         402.110.           and Unused in
                                                    Revised part 402.
------------------------------------------------------------------------

Comments Summary

    We received five public comments on our NPRM from June 6 through 
August 7, 2023. All the comments are available for public viewing at 
https://www.regulations.gov/document/SSA-2021-0049-0001. These comments 
were from:
     Two individuals; and
     Three advocacy groups, Public Citizen, Community Legal 
Services of Philadelphia, and Justice in Aging.
    We carefully considered the public comments we received. Comments 
from individuals and advocacy provided a mix of support for the 
revisions and reorganization as well as recommended revisions.
    We received some comments that were outside the scope of this 
rulemaking because they did not relate to our proposals. Even though 
outside the scope, we address some of these other comments where they 
related to the FOIA more generally because a response might help the 
public understand our program better.
    The next section summarizes and responds to the public comments.

Comments and Responses

    Comment: Two commenters requested that we ensure the application of 
the fee waiver provision is consistent with the FOIA statute within the 
introductory language of 20 CFR 402.85. The commenters urged us to 
ensure that our application of the new fee waiver regulation is ``more 
consistent with the FOIA statute.'' The commenters explained that we 
deny fee waiver requests made in the public interest.
    Response: We understand the commenters' concern; however, we 
consistently follow the statutory and our regulatory requirements to 
disclose records at no fee or a reduced fee. Because SSA charges fees 
when the request is not directly related to the administration of the 
Social Security Act based on our authority in section 1106(c) of the 
Social Security Act, which applies notwithstanding the FOIA provisions 
in 5 U.S.C. 552 and 552a, the FOIA statutory fee provisions would not 
apply.\9\ When a public interest fee waiver is sought, we will approve 
waiver when the criteria in our regulation at 20 CFR 402.85 (formerly 
20 CFR 402.185) have been met; this aspect of our fee charging and 
waiver procedures has not changed in this final

[[Page 102709]]

rule from our current regulations. In seeking waiver requests, the 
requester should explain with reasonable specificity why their request 
meets the ``public interest'' criteria for a fee waiver under 20 CFR 
402.85. Our regulation at Sec.  402.85, explains the factors we 
consider when determining whether a request meets the ``public 
interest'' criteria necessary to reduce or waive the fee. The 
modifications we made to this section of our final regulation further 
clarify what a requester should provide when submitting a request for a 
fee waiver citing public interest. Under Sec.  402.85(b)(1), we added 
the phrase ``in writing'' to the following sentence: ``A requester must 
make the request for a fee waiver or reduction in writing at the same 
time they make their request for records.'' In describing the public 
interest criteria under Sec.  402.85(b)(2), we modified Sec.  
402.85(b)(2)(iii) and added Sec.  402.85(b)(2)(iv). Within Sec.  
402.85(b)(2)(iii), we added the phrase ``of those operations or 
activities'' so the sentence now reads: ``Whether the contribution to 
public understanding of those operations or activities would be 
significant.'' Newly added Sec.  402.85(b)(2)(iv) further clarifies 
that specificity is necessary when requesting a fee waiver in the 
public interest, i.e.: the requester ``must be reasonably specific in 
your waiver request as to the specific Government operation or activity 
and provide direct, clear (not remote or attenuated) connections to the 
meaningful information you seek. Generalized interest in government 
programs is not reasonably specific to grant waiver.''
---------------------------------------------------------------------------

    \9\ See 42 U.S.C. 1306(c).
---------------------------------------------------------------------------

    Comment: Several commenters requested that we change our proposed 
definition of ``commercial interest'' in 20 CFR 402.10. They asserted 
that our proposed definition of ``commercial interest'' suggests that 
interests related to non-profit corporations, such as the work 
performed by claimant advocacy entities, are commercial. These 
commenters suggested that our proposed definition does not accurately 
reflect the standard for a finding of a noncommercial use in the FOIA 
statute.
    Response: We disagree that our proposed definition, finalized here, 
is inconsistent with the FOIA statute. Similar to our response 
regarding ``public interest'' above, commercial interests could be 
present regardless of the identity of the requester (individual, non-
profit corporation, for-profit corporation). In response to the 
comment, we revised the definition of ``commercial interest'' to 
clarify that the interests could exist regardless of the requester's 
identity. We also added the definition of ``commercial use'' to address 
the FOIA fee category.
    Comment: Several commenters agreed with our proposed revisions to 
20 CFR 402.155 to provide responsive FOIA records in electronic format, 
particularly those documents related to statements of policy and 
interpretation, consistent with 5 U.S.C. 552(a)(2)(B). The commenters 
further advocated that our Program Operations Manual System (POMS) be 
proactively disclosed in its entirety and indexed, as well as all 
Emergency Messages (EM) and Administrative Messages (AM).
    Response: POMS and EMs are not categorically subject to the 
proactive disclosure requirements of the FOIA. Nonetheless, in the 
interest of transparency, SSA now publishes indexes of POMS and EM 
titles, which are updated quarterly, on our public-facing website.\10\ 
SSA has a longstanding practice of making agency non-sensitive POMS and 
EMs public, even when the policies are not subject to the FOIA's 
proactive disclosure requirements. Our current policy publication 
process directs authoring components to flag sensitive POMS and EMs 
that should be proactively disclosed under FOIA.\11\ Any such flagged 
policies then undergo a FOIA review and are published with appropriate 
redactions if they contain non-exempt content.
---------------------------------------------------------------------------

    \10\ See link at, https://secure.ssa.gov/apps10/reference.nsf/instructiontypecode!openview&restricttocategory=INSTITLES.
    \11\ See instructions at, https://secure.ssa.gov/apps10/reference.nsf/links/12202023010304PM.
---------------------------------------------------------------------------

    AMs, which are informational or staff reminders and do not contain 
new instructions or policy, are also not categorially subject to 
proactive disclosure requirements. Our regulations and policy 
publication practices reflect these distinctions.
    Comment: Commenters requested that when requesting electronic 
communications, they do not need to provide identifying information 
about the agency employees involved and that a request can be 
reasonably described even if it seeks a large number of documents. They 
requested that we revise the scope of proposed Sec.  402.30, which 
described the requirements of a FOIA request, without necessarily 
providing detailed information regarding the individual(s) from whom 
the records are sought.
    Response: SSA processes the FOIA centrally within the Office of 
Privacy and Disclosure (OPD); therefore, we need the requester to 
clearly state and reasonably describe what SSA records are being 
requested so that we can properly determine the scope of the FOIA 
request. When seeking emailed communications, we understand that 
requesters may not know the name of specific employees whose records 
they want to be searched; therefore, we do not require such 
information. As stated in our proposed regulation, ``When known, 
requests should identify the records sought by providing the name/title 
of the record, applicable date range, subject matter, offices or 
employees involved, and record type. If the request is for electronic 
communications, such as email records, the request may identify the 
names, position titles, or other identifying information about the 
agency employees involved, as well as the applicable timeframe.'' \12\ 
While we are clarifying the above examples are not required, technology 
limitations may prevent the agency from conducting searches without 
this information. Absent sufficient details, the agency may be unable 
to search for or locate the records sought.
---------------------------------------------------------------------------

    \12\ 20 CFR 402.30(a)(4).
---------------------------------------------------------------------------

    Comment: One commenter requested that we modify the final rule to 
specify that the agency will respond to initial requests within 20 
working days, unless we provide written notice to the requester 
``setting forth the unusual circumstances for [an] extension and the 
date on which a determination is expected to be dispatched,'' as 
articulated in the FOIA statute at 5 U.S.C. 552(a)(6)(B)(i). The 
commenter acknowledged, however, that the agency may extend its 
response time beyond 20 business days only if it provides written 
notice to the requester. Further, the commenter stated that the 
proposed rule, in contrast, makes no mention of notifying the requester 
if the agency is going to take more than 20 working days to respond to 
an appeal.
    Response: SSA processes the FOIA centrally within the Office of 
Privacy and Disclosure (OPD) and we frequently search, collect, and 
consult with components outside of OPD to process complex requests and 
appeals. We place requests and appeals in the complex multitrack type 
because they will generally take more than 20 working days to process 
due to the complex nature of the request, including consultation with 
components that may maintain records subject to the request. We 
modified our final regulation to reflect that ``[w]hen unusual 
circumstances exist, we will process the request under the complex 
track.'' This change is merely a clarifying statement of how our 
complex multi-track aligns with the unusual circumstances requirements 
in FOIA. ``Unusual

[[Page 102710]]

circumstances'' exist when requests or appeals require OPD to: search 
for and collect records from SSA components or field locations that are 
separate from OPD; search for, collect, and review a voluminous number 
of records that are part of a single request; or consult with two or 
more SSA components or another agency having substantial interest in 
the request before releasing the records. We acknowledge the FOIA's 
requirements at 5 U.S.C. 552(a)(6)(B) to provide notice to the 
requester when unusual circumstances exist. Within the agency's 
acknowledgement letters and emails, we advise requesters that requests 
and appeals placed in a complex processing track meet unusual 
circumstances.
    Comment: One commenter requested that we modify the final rule by 
deleting language in proposed tolling Sec.  402.60(h)(2) stating that 
the agency reserves the right to administratively close a request 
within 10 business days if we do not receive a response to our request 
for clarification from the FOIA requester.
    Response: The agency makes every reasonable effort to secure 
clarification from requesters before we administratively close a 
request. We contact requesters via email, phone, and or postal mail in 
our attempt to gain the clarification necessary to process FOIA 
requests. To avoid confusion, we clarified the language in Sec.  
402.60(g)(2) by removing the 10-business day language. The language now 
reads: ``The processing time will resume upon our receipt of the 
requester's response. There may be instances when we require multiple 
clarifications on a FOIA request. After the first request for 
clarification, any additional clarifications are performed without 
tolling the clock. If we do not receive a response to our clarification 
attempts within 30 calendar days from the date of our first contact to 
the requester, we will close the FOIA request.'' Our authority, 
finalized in Sec.  402.60(g)(2) is an administrative discretion that we 
will use in instances where a FOIA requester never responds to our 
requests for clarification. If our only course of communication with a 
requester is postal mail, we understand that delays may occur, and are 
mindful to allow additional time to accommodate postal mail delivery. 
We cannot process requests that are not reasonably described; 
therefore, when a requester does not respond to any correspondence 
wherein we request clarification, or should the correspondence be 
returned as undeliverable, we reserve the right to administratively 
close the FOIA request.
    Comment: One commenter requested that we modify the proposed rule 
in Sec.  402.65(a) to remove the word ``immediate'' in describing the 
urgency to inform the public necessary for expedited processing. The 
commenter stated that our proposed language closely aligns with the 
statutory language in 5 U.S.C. 552(a)(6)(E)(v)(II) of the FOIA statute, 
but the word ``immediate'' before ``urgency'' is not in the statute.
    Response: We agreed with the commenters' suggestion and adopted 
this change in order to more closely align with the statute.

Regulatory Procedures

Executive Order (E.O.) 12866, as Supplemented by E.O 13563

    We consulted with the Office of Management and Budget (OMB) and 
they determined that this rule does not meet the criteria for a 
significant regulatory action under E.O. 12866, as supplemented by E.O. 
13563. Therefore, OMB did not formally review it.

Anticipated Costs to Our Program

    The Office of the Chief Actuary estimates that there are no direct 
effects on scheduled Old-Age, Survivors, and Disability Insurance 
benefit payments and Federal Supplemental Security Income payments.

Anticipated Administrative Benefits to the Social Security 
Administration

    The Office of Budget, Finance, and Management estimates an 
administrative effect of less than 15 work years and $2 million 
annually.

Anticipated Qualitative Benefits

    We anticipate qualitative benefits from the revisions to the FOIA 
regulation from streamlined and clarified FOIA policies and procedures. 
We expect the clarified regulations will benefit both SSA and the 
public because the administration of the FOIA for SSA and our public 
customers would be better organized and easier to follow. The purpose 
of the FOIA is to provide the public with access to government records, 
and administrative transparency is paramount to a successful FOIA 
program. Since the FOIA is processed centrally at SSA, our regulation 
must be easy for agency employees to understand so components outside 
of OPD understand the importance of the FOIA and their roles in the 
agency's administration of the FOIA. When our policies are clear for 
agency employees, we are able to process FOIA requests in a more 
efficient manner, which benefits both the agency and the public.
    Our revised regulation at part 402 provides information in a 
cascading fashion that is easier to follow than our existing 
regulation, and accurately reflects amendments implemented by the FOIA 
Improvement Act of 2016. Our revisions account for the roles of the 
FOIA Public Liaison and OGIS, which is useful for correct points of 
contact internally and for the public, increasing efficiency and 
lowering confusion. The revisions also update inaccurate information, 
such as the timeframe for the public to appeal adverse decisions, which 
presently state 30 days, but is 90 days under the FOIA Improvement Act 
of 2016.
    The FOIA is designed to build trust between the public and Federal 
agencies. SSA's revised regulation at 20 CFR part 402 strengthens this 
trust with transparency by explaining in plain language how SSA 
processes FOIA requests and appeals, and further describes our 
proactive posting of agency records. Clear communication with the 
public is paramount to our administration of the FOIA. Updating and 
revising our FOIA regulation serves to enhance our communication with 
the public, making it easier for the public to know how to submit FOIA 
requests and where to review proactively posted records.

E.O. 13132 (Federalism)

    We analyzed this final rule in accordance with the principles and 
criteria established by E.O. 13132 and determined that the rule will 
not have sufficient federalism implications to warrant the preparation 
of a federalism assessment. We also determined that this rule will not 
preempt any State law or State regulation or affect the States' 
abilities to discharge traditional State governmental functions.

Regulatory Flexibility Act

    We certify that this rule will not have a significant economic 
impact on a substantial number of small entities because they affect 
individuals only. Therefore, a regulatory flexibility analysis is not 
required under the Regulatory Flexibility Act, as amended.

Paperwork Reduction Act

    While this final rule mentions the public reporting requirements 
for the public to submit FOIA requests to the agency, we already 
obtained OMB approval for these public reporting requirements under the 
current OMB approved information collections for 0960-0566 (SSA 3288) 
and 0960-0665 (SSA-711 and Online FOIA Request). As we already cover 
these requirements under OMB-approved information

[[Page 102711]]

collections, and these revised rules merely move those requirements to 
new CFR citations but do not change them, these revised rules will not 
require Office of Management and Budget approval under the Paperwork 
Reduction Act. Rather, upon publication of the final rule, we will 
submit Change Requests to update the CFR citations for OMB No. 0960-
0566 and 0960-0665.

List of Subjects in 20 CFR Part 402

    Administrative practice and procedure, Freedom of information.

    The Acting Commissioner of Social Security, Carolyn W. Colvin, 
having reviewed and approved this document, is delegating the authority 
to electronically sign this document to Erik Hansen, a Federal Register 
Liaison for the Social Security Administration, for purposes of 
publication in the Federal Register.

Erik Hansen,
Associate Commissioner, for Legislative Development and Operations, 
Social Security Administration.


0
For the reasons set forth in the preamble, the Social Security 
Administration revises 20 CFR part 402 to read as follows:

PART 402--AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC

Sec.
402.05 Scope and purpose of this part.
402.10 Definitions.
402.15 SSA's FOIA policy.
402.20 Relationship between the FOIA and the Privacy Act of 1974.
402.25 Who can file a FOIA request?
402.30 Requirements of a FOIA request.
402.35 Where to submit a FOIA request.
402.40 Requests for deceased individual's records.
402.45 Requests handled outside of the FOIA process.
402.50 FOIA Officer's authority.
402.55 Referrals and consultations.
402.60 How does SSA process FOIA requests?
402.65 Expedited processing.
402.70 Fees associated with processing FOIA requests.
402.75 FOIA fee schedule.
402.80 Charging under section 1106(c) of the Social Security Act.
402.85 Waiver of fees in the public interest.
402.90 Notification of fees and prepayment requirements.
402.95 Release of records.
402.100 FOIA Public Liaison and the Office of Government Information 
Services.
402.105 Appeals of the FOIA Officer's determination.
402.110 U.S. District Court action.
402.115 The FOIA Exemption 1: National defense and foreign policy.
402.120 The FOIA Exemption 2: Internal personnel rules and 
practices.
402.125 The FOIA Exemption 3: Records exempted by other statutes.
402.130 The FOIA Exemption 4: Trade secrets and confidential 
commercial or financial information.
402.135 The FOIA Exemption 5: Internal documents.
402.140 The FOIA Exemption 6: Clearly unwarranted invasion of 
personal privacy.
402.145 The FOIA Exemption 7: Law enforcement.
402.150 The FOIA Exemptions 8 and 9: Records on financial 
institutions; records on wells.
402.155 Records available for public inspection.
402.160 Where records are published.
402.165 Publications for sale through the Government Publishing 
Office.

    Authority: 42 U.S.C. 405, 902(a)(5), and 1306); 5 U.S.C. 552 and 
552a; 18 U.S.C. 1905; 26 U.S.C. 6103; 31 U.S.C. 9701; E.O. 12600, 52 
FR 23781, 3 CFR, 1987 Comp., p. 235.


Sec.  402.05  Scope and purpose of this part.

    (a) The purpose of this part is to describe the Social Security 
Administration's (SSA) policies and procedures for implementing the 
requirements of the Freedom of Information Act (FOIA) 5 U.S.C. 552. The 
FOIA mandates disclosure to the public of Federal agency records unless 
specific exemptions apply. The FOIA also requires an agency to 
proactively disclose records and make certain records available for 
public inspection.
    (b) The rules in this part describe how SSA makes records available 
to the public, including:
    (1) What constitutes a proper request for records;
    (2) How to make a FOIA request;
    (3) Who has the authority to release and withhold records;
    (4) What fees may be charged to process a request for records;
    (5) The timing of determinations regarding release;
    (6) The exemptions that permit the withholding of records;
    (7) Requesters' right to seek assistance from the FOIA Public 
Liaison;
    (8) Requesters' right to appeal the agency's FOIA determination;
    (9) Requesters' right to seek assistance from the Office of 
Government Information Services and then go to court if they still 
disagree with our release determination; and
    (10) The records available for public inspection.
    (c) The rules in this part do not revoke, modify, or supersede 
SSA's regulations relating to disclosure of information in part 401 or 
403 of this chapter.


Sec.  402.10  Definitions.

    As used in this part:
    Agency means the Social Security Administration (SSA). Agency may 
also refer to any executive department, military department, government 
corporation, government-controlled corporation, or other establishment 
in the executive branch of the Federal Government, or any independent 
regulatory agency. A private organization is not an agency even if it 
is performing work under contract with the Government or is receiving 
Federal financial assistance.
    Chief FOIA Officer means a senior official of SSA who has an 
agency-wide responsibility for ensuring efficient and appropriate 
compliance with the FOIA, monitoring implementation of the FOIA 
throughout the agency, and making recommendations to the head of the 
agency to improve the agency's implementation of the FOIA. The 
Commissioner of SSA designated the General Counsel as the Chief FOIA 
Officer for SSA. The Chief FOIA Officer or the Chief FOIA Officer's 
designee is authorized to make final decisions in response to appeals 
of the FOIA Officer's determinations.
    Commercial interest includes interests relating to business, trade, 
and profit. These interests could be present regardless of the identity 
of the requester (e.g., individual, non-profit corporation, for-profit 
corporation). The interest of a representative of the news media in 
using the information for news dissemination purposes will not be 
considered a commercial interest.
    Commercial use request is a request that asks for information for a 
use or a purpose that furthers a commercial, trade, or profit interest, 
which can include furthering those interests through litigation. An 
agency's decision to place a requester in the commercial use category 
will be made on a case-by-case basis based on the requester's intended 
use of the information. Agencies will notify requesters of their 
placement in this category.
    Component means each separate office, division, commission, 
service, center, or administration within SSA that may maintain agency 
records subject to a request under the FOIA.
    Duplication means the process of reproducing a copy of a record, or 
of the information contained in it, to the extent necessary to respond 
to a request. Copies include paper, electronic records, audiovisual 
materials, and other formats of agency records.
    Educational institution is any school that operates a program of 
scholarly research. A requester in this fee category must show that the 
request is made in connection with their role at the educational 
institution. To qualify for

[[Page 102712]]

this category, a requester must show that the FOIA request is 
authorized by, and is made under the auspices of or in connection with 
the requester's role at a qualifying institution and that the records 
are sought to further a scholarly research goal of the institution, and 
not for a commercial use or purpose, or for individual use or benefit. 
SSA may seek verification from the requester that the request is in 
furtherance of scholarly research and will advise requesters of their 
placement in this category.
    Exemption means one of the nine exemptions to the mandatory 
disclosure of records permitted under section 552(b) of the FOIA.
    Expedited processing means the process set forth in the FOIA that 
allows requesters to request faster processing of their FOIA request, 
if they meet specific criteria noted in Sec.  402.65.
    Fee category means one of the three categories established by the 
FOIA to determine whether a requester will be charged fees under FOIA 
for search, review, and duplication. The categories are: commercial use 
requests; scientific or educational institutions and news media 
requests; and all other requests.
    Fee waiver means the waiver or reduction of fees if a requester is 
able to demonstrate the requirements set forth in Sec.  402.85.
    FOIA Library means an electronic location(s) that SSA uses to post 
records that are made available to the public without a specific 
request. SSA makes FOIA library records electronically available to the 
public through our website, www.ssa.gov, including at www.ssa.gov/foia. 
Posted records may include those provided under agency discretion and 
not required pursuant to FOIA.
    FOIA Officer means an SSA official whom the Commissioner of Social 
Security delegated the authority to release or withhold records; to 
assess, waive, or reduce fees in response to FOIA requests; and to make 
all other determinations regarding the processing of a FOIA request. In 
this capacity, the FOIA Officer is authorized to request and receive 
responsive records that may be maintained by other agency components. 
Except for records subject to proactive disclosure pursuant to 
subsection (a)(2) of the FOIA, only the FOIA Officer has the authority 
to release or withhold records or to waive fees in response to a FOIA 
request.
    FOIA Public Liaison means an agency official who reports to the 
agency Chief FOIA Officer and serves as a supervisory official to whom 
a requester can raise concerns about the service the requester received 
concerning the processing of the FOIA request. This individual is 
responsible for increasing transparency in the agency's FOIA business 
process, helping requesters understand the status of requests, and 
assisting in the resolution of disputes. The FOIA Public Liaison may be 
contacted via email to [email protected].
    FOIA request means a written request that meets the criteria in 
Sec.  402.30.
    Freedom of Information Act or FOIA means the law codified at 5 
U.S.C. 552 that provides the public with the right to request agency 
records from the Federal executive branch agencies.
    Non-commercial scientific institution means an institution that 
does not further the commercial, trade, or profit interests of any 
person or entity and is operated for the purpose of conducting 
scientific research whose results are not intended to promote any 
particular product or industry.
    Numident refers to the ``Numerical Identification System,'' the SSA 
system that contains information available on an Application for a 
Social Security Card (Form SS-5). The Numident record contains the name 
of the applicant, place of birth, and other information.
    OGC means the Office of the General Counsel.
    Online FOIA portal means the electronic application that SSA uses 
to process FOIA requests. The public may also submit requests directly 
to SSA via the online FOIA portal.
    OPD means the Office of Privacy and Disclosure.
    Other requester means any individual or organization whose FOIA 
request does not qualify as a commercial-use request, representative of 
the news media request (including a request made by a freelance 
journalist), or an educational or non-commercial scientific institution 
request.
    Production means the process of preparing the records for 
duplication, including the time spent in preparing the records for 
duplication (i.e., materials used, records/database retrieval, employee 
and contractor time, as well as systems processing time).
    Record(s) means any information maintained by an agency, regardless 
of format, that is made or received in connection with official agency 
business that is under the agency's control at the time of the FOIA 
request. Record(s) includes any information maintained for an agency by 
a third party.
    (1) Record(s) does not include personal records of an employee, or 
other information in formally organized and officially designated SSA 
libraries and FOIA library, where such materials are available under 
the rules of the particular library.
    (2) Record(s) includes information maintained by the State 
Disability Determination Services related to performing the disability 
determination function and medical source information pertaining to 
consultative examinations performed for the Social Security program 
when obtained by, created on behalf of, or otherwise, in the control of 
SSA.
    Redact means delete or mark over.
    Representative of the news media means any person or entity that 
gathers information of potential interest to a segment of the public, 
uses its editorial skills to turn raw materials into a distinct work, 
and distributes that work to an audience. The term ``news'' means 
information that is about current events or that would be of current 
interest to the public. Examples of news media entities include 
television or radio stations that broadcast news to the public at large 
and publishers of periodicals, including print and online publications 
that disseminate news and make their products available through a 
variety of means to the general public. We do not consider FOIA 
requests for records that support the news-dissemination function of 
the requester to be a commercial use. We consider ``freelance'' 
journalists who demonstrate a solid basis for expecting publication 
through a news media entity as working for that entity. A publishing 
contract provides the clearest evidence that a journalist expects 
publication; however, we also consider a requester's past publication 
record. We decide whether to grant a requester media status on a case-
by-case basis,.
    Request means asking for records, whether or not the requester 
refers specifically to the FOIA. Requests from Federal agencies, 
subpoenas, and court orders for documents are not included within this 
definition.
    Review, unless otherwise specifically defined in this part, means 
examining records responsive to a request to determine whether any 
portions are exempt from disclosure. Review time includes processing a 
record for disclosure (i.e., doing all that is necessary to prepare the 
record for disclosure), including redacting the record and marking the 
appropriate FOIA exemptions. It does not include the process of 
resolving general legal or policy issues regarding exemptions.
    Search means the process of identifying, locating, and retrieving 
records responsive to a request, whether in hard copy or in electronic 
form or format, or by manual or automated/electronic means.
    Special services means performing additional services outside of 
that

[[Page 102713]]

required under the FOIA to respond to a request. Examples include using 
an overnight mail service to send the agency's response to a FOIA 
request.
    SS-5 means an Application for a Social Security Card. It is used to 
request an original, different, or replacement Social Security Card.
    SSA means the Social Security Administration.
    Submitter means any person or entity that provides trade secrets or 
commercial or financial information to the agency, and includes 
individuals, corporations, other organizational entities, and state and 
foreign governments.
    Tolling means temporarily stopping the running of a time limit. We 
may toll a FOIA request to seek clarification from the requester or to 
address fee issues, as further described in Sec.  402.60(h).
    Trade secrets and confidential commercial or financial information 
means trade secrets and confidential commercial or financial 
information that is obtained by the agency from a submitter, such that 
it may be protected from disclosure under Exemption 4 of the FOIA, 5 
U.S.C. 552(b)(4).


Sec.  402.15  SSA's FOIA policy.

    (a) Presumption of openness. SSA will withhold information only if 
we reasonably foresee that disclosure would harm an interest protected 
by a FOIA exemption or if disclosure is prohibited by law.
    (b) Authority to release and withhold records. As described in 
Sec.  402.50, the agency's FOIA Officer, or the FOIA Officer's 
designee, has the authority to:
    (1) Release or withhold records in response to initial requests;
    (2) Grant or deny expedited processing; and
    (3) Reduce or waive fees.
    (c) Records publicly available. We make available for public 
inspection in an electronic format records that are final and have been 
requested and released three or more times and other specified records 
described in Sec.  402.155. We do not make available for public 
inspection records that are not static, such as the Open Access Death 
Master File.
    (d) Required record production. The FOIA does not require an agency 
to give opinions, conduct research, answer questions, or create 
records.


Sec.  402.20  Relationship between the FOIA and the Privacy Act of 
1974.

    (a) Coverage. The FOIA and the rules in this part apply to all SSA 
records. The Privacy Act, 5 U.S.C. 552a, applies to records that are 
about individuals, but only if the records are in a system of records.
    (b) Requesting your own records. If you have filed a FOIA request 
and are an individual requesting your own records that are maintained 
in a system of records, or if you are a parent or legal guardian 
authorized to act under Sec.  401.75 of this chapter who is seeking the 
records about a minor or individual who has been declared incompetent, 
your request may be handled under the Privacy Act. See Sec.  401.40 of 
this chapter. If we handle your request under the Privacy Act, we will 
provide you with written notification with further processing 
instructions. Privacy Act requests are also processed under the FOIA, 
when appropriate, to give you the benefit of both statutes. You must 
verify your identity in accordance with our regulations. See Sec.  
401.45 of this chapter.


Sec.  402.25  Who can file a FOIA request?

    Any person may submit a FOIA request to SSA. Under the FOIA, ``any 
person'' includes requests from individuals, corporations, State and 
local agencies, as well as foreign entities. Requests from Federal 
agencies and Federal or State courts are not covered by the FOIA.


Sec.  402.30  Requirements of a FOIA request.

    (a) To be considered a FOIA request under this part, the following 
must occur:
    (1) The request must be written (either by hand or electronically);
    (2) The request must be submitted in accordance with Sec.  402.35;
    (3) The requester must provide the following required contact 
information: Requester's name, U.S. or foreign postal address, 
description of records sought, and fee willing to pay. While not 
required, we encourage requesters to provide us with their email 
address and phone number; and
    (4) The request must clearly state and reasonably describe what SSA 
records are being requested in sufficient detail to enable OPD to 
locate them with a reasonable amount of effort. Broad, sweeping 
requests and vague requests are not reasonably described. When known, 
requests should identify the records sought by providing the name/title 
of the record, applicable date range, subject matter, offices or 
employees involved, and record type. If the request is for electronic 
communications, such as email records, the request may identify the 
names, position titles, or other identifying information about the 
agency employees involved, as well as the applicable timeframe. Absent 
sufficient details, the agency may be unable to search for or locate 
the records sought. The greater the date range, the longer it may take 
to process the request and the greater amount of fees that may be 
charged.
    (b) Requests that do not meet the required criteria in paragraph 
(a) of this section are not considered proper FOIA requests.


Sec.  402.35  Where to submit a FOIA request.

    (a) Submission of requests. Except as specified in paragraph (b) of 
this section, requesters must submit FOIA requests in writing to OPD 
through the following options:
    (1) Online FOIA portal: Link available from the agency's 
www.ssa.gov/foia website or the National FOIA Portal at www.FOIA.gov.
    (2) Email: [email protected].
    (3) Mail: SSA Office of Privacy and Disclosure, ATTN: Freedom of 
Information Officer, 6401 Security Boulevard, Baltimore, MD 21235.
    (b) Requests for copies of Deceased Individual's Application for a 
Social Security Card (SS-5) or Numident record. Requesters may use the 
Form SSA-711, Request for a Deceased Individual's Social Security 
Record, to request a copy of a deceased individual's original SS-5 or 
Numident record. When the Form SSA-711 is used, it may be submitted to 
the office listed on the form or as directed in paragraph (a) of this 
section.


Sec.  402.40  Requests for deceased individual's records.

    (a) The agency will disclose the records concerning a deceased 
individual when we have acceptable proof of death unless Federal law or 
regulations prohibits the disclosure.
    (b) Proof of death includes:
    (1) A copy of a public record of death of the number holder;
    (2) A statement of death by the funeral home director;
    (3) A statement of death by the attending physician or the 
superintendent, physician, or intern of the institution where the 
person died;
    (4) A copy of the coroner's report of death or the verdict of the 
coroner's jury;
    (5) An obituary that we determine has sufficient identifying 
information; or
    (6) Other certified record of death that we determine within our 
discretion is acceptable.
    (c) If upon review of the provided proof of death, we cannot 
determine that the individual is deceased or we have questions about 
the authenticity of the proof, then the proof is not acceptable. When 
we do not have acceptable proof of death, we will treat the request in 
accordance with

[[Page 102714]]

Sec.  402.20(b), requests for information about a living person.


Sec.  402.45  Requests handled outside of the FOIA process.

    When records outlined in paragraphs (a) through (d) of this section 
are requested from OPD, OPD will respond to the requester and provide 
information for requesting the records sought:
    (a) To the extent a request asks for records that are currently 
publicly available, either from SSA or from another part of the Federal 
Government. See Sec.  402.155.
    (b) If the records sought are distributed by SSA as part of its 
regular program activity, for example, public information leaflets 
distributed by SSA. See Sec. Sec.  402.155 through 402.165.
    (c) If the records sought are earnings records covered by Sec.  
422.125 of this chapter.
    (d) If a request does not meet the requirements of a FOIA request 
as defined in Sec.  402.30. We will send written correspondence to the 
requester:
    (1) Providing instructions for how to submit a proper FOIA request; 
or
    (2) Asking for additional information to make the request a proper 
FOIA request.


Sec.  402.50  FOIA Officer's authority.

    (a) Release determination. Only the Deputy Executive Director for 
OPD or their designee is authorized to make determinations about:
    (1) Release or withholding of records;
    (2) Expedited processing;
    (3) Charging or waiver of fees; and
    (4) Other matters relating to processing a request for records 
under this part.
    (b) Determination provided in writing. The FOIA Officer's 
determination is provided in writing to the requester via emailed 
communication or, in the absence of the requester's email address, via 
U.S. postal mail. If the requester disagrees with the FOIA Officer's 
determination in response to items identified in paragraph (a) of this 
section, the requester may appeal the determination to the Executive 
Director for OPD, as described in Sec.  402.105.


Sec.  402.55  Referrals and consultations.

    (a) Consultation and referral. When reviewing records located by 
SSA in response to a request, SSA will determine whether another agency 
of the Federal Government is better able to determine whether the 
record is exempt from disclosure under the FOIA. As to any such record, 
SSA will proceed in one of the following ways:
    (1) Referral of FOIA records in whole or in part to an outside 
agency. We will notify the requester in writing when we opt to refer 
records in whole or in part to another agency for direct response from 
that agency, including the name(s) or the agency(s) to which the record 
was referred and that agency's FOIA contact information, unless 
notification would cause harm to an interest protected under the FOIA. 
In such instances, in order to avoid harm to an interest protected by 
an applicable exemption, we coordinate to seek the view of the 
originating agency.
    (2) Agency consultation. If a request is for records that were 
created by, or provided to us by, another agency that is not subject to 
the FOIA, we may consult with that agency, as described in paragraph 
(b) of this section.
    (b) Consultation with another agency or entity. If a request is for 
records that originated with SSA but contain information of interest to 
another agency or entity, we may consult with the other agency or 
entity prior to issuing our release determination to the requester.


Sec.  402.60  How does SSA process FOIA requests?

    (a) Acknowledgement. (1) If we receive a FOIA request that will 
take longer than 10 working days to process, we will provide an 
acknowledgment. The acknowledgement email or letter restates the FOIA 
request and provides the requester with the request's tracking number.
    (2) If we require clarification to process the FOIA request, we 
will contact the requester either via email, U.S. postal mail, or phone 
call. We attempt to contact requesters twice. If we do not receive a 
response to our clarification attempts within 30 calendar days from the 
date of our first contact to the requester, we will close the FOIA 
request due to insufficient information.
    (b) Perfected requests. FOIA requests are considered ``perfected,'' 
i.e., the 20-working day statutory time begins, when the request meets 
the requirements of the proper FOIA request listed in Sec.  402.30. 
There may be times that we require more information from the requester 
after perfecting a request. The 20-working day period may be extended 
in unusual circumstances by written notice to the requester. See 
paragraph (d) of this section.
    (c) Multi-tracking procedures. FOIA requests are categorized 
simple, complex, or expedited. Unless granted expedited processing, we 
process FOIA requests in each track according to a first-in, first-out 
basis.
    (1) Simple. For most non-expedited requests, we make a 
determination about release of the record(s) requested within 20-
working days.
    (2) Complex. We will place into a complex processing queue any 
request that cannot be completed within 20-working days due to the 
complex nature of the request, including consultation with components 
that may maintain records subject to the request. We make good faith 
efforts to notify requesters in writing if it is necessary for us to 
take additional time to process a request and of the requester's right 
to seek dispute resolution services with the Office of Government 
Information Services. See Sec.  402.100.
    (3) Expedited processing. Unless granted expedited processing, we 
process FOIA requests according to a first-in, first-out basis. See 
Sec.  402.65 for information on expedited processing.
    (d) Unusual circumstances. (1) Unusual circumstances exist when 
there is a need to:
    (i) Search for and collect records from SSA components or field 
locations that are separate from OPD;
    (ii) Search for, collect, and review a voluminous number of records 
that are part of a single request; or
    (iii) Consult with two or more SSA components or another agency 
having substantial interest in the request before releasing the 
records.
    (2) Within the unusual circumstances letter to the requester, we 
will provide an estimated date that we will contact the requester with 
the applicable fee notice and/or further correspondence. We will notify 
the requester of the date by which we estimate completing the request. 
We will also advise the requester that they may modify or narrow the 
scope of their request.
    (3) When unusual circumstances exist, we will process the request 
under the complex track.
    (e) Aggregating requests. We may aggregate requests in cases where 
it reasonably appears that multiple requests, submitted either by a 
requester or by a group of requesters acting in concert, constitute a 
single request, involving clearly related matters, which would 
otherwise involve unusual circumstances. In the event requests are 
aggregated, they will be treated as one request for estimating response 
time and calculating fees.
    (f) Fee notice. FOIA requesters are issued a fee notice that 
informs them of the estimated search, review, and duplication time 
associated with processing their FOIA request. For more information on 
fees, see Sec. Sec.  402.70 through 402.80.
    (g) Tolling. (1) We may stop or toll the 20 working days in two 
circumstances:

[[Page 102715]]

    (i) We may stop the clock once if we require additional information 
regarding the specifics of the request; and
    (ii) We may stop the clock as many times as needed regarding fee 
assessments.
    (2) The processing time will resume upon our receipt of the 
requester's response. There may be instances when we require multiple 
clarifications on a FOIA request. After the first request for 
clarification, any additional clarifications are performed without 
tolling the clock. If we do not receive a response to our clarification 
attempts within 30 calendar days from the date of our first contact to 
the requester, we will close the FOIA request.
    (h) Retrieving records. We are required to furnish copies of 
records only when they are in our possession or we can retrieve them 
from storage. We will make reasonable efforts to search for records 
except when such efforts would significantly interfere with the 
operation of our automated information system(s). The Federal 
Government follows National Archives and Records Administration rules 
on record retention. Records are retained or destroyed under the 
guidelines of the Federal Records Act.
    (i) No records determinations. We will search for records to 
satisfy a request using methods that can be reasonably expected to 
produce the requested records. Nevertheless, we may not be able to 
always find the records requested using the information provided by the 
requester, or they may not exist. If we advise that we have been unable 
to find the records despite a diligent search, the requester may appeal 
the no records determination to the Executive Director for OPD, as 
described in Sec.  402.105.
    (j) Furnishing records. We will furnish copies of records in whole 
or in-part, unless we reasonably foresee that disclosure would harm an 
interest protected by a FOIA exemption or if disclosure is prohibited 
by law. When information within a responsive record(s) is exempt from 
disclosure, the information is redacted and the applicable FOIA 
exemption(s) are noted within the redacted cell. We will make 
reasonable efforts to provide the records in the form or format 
requested if the record is readily reproducible in that form or format. 
We may provide individual records as we process them on a rolling 
basis, or we may release all responsive records once the request is 
completed. See Sec.  402.95 for more information on SSA's release of 
records.
    (k) Directing a requester to another agency. If a request is for 
records that are not SSA records for purposes of the FOIA, and we 
believe the records may be maintained by another agency, we may advise 
the requester to submit their request to that other agency. In such 
cases, we will provide the requester with the other agency's name in 
our response letter. Our recommendation that the requester submit their 
request to the other agency is not a guarantee the other agency will 
have or disclose the records requested.
    (l) Burdensome requests. The FOIA requires an agency to provide the 
record in any form or format requested by the person if the record is 
readily reproducible by the agency in that form or format. We will not 
search or produce records in response to a FOIA request that we 
determine would be unduly burdensome to process. FOIA requests are 
determined to be unreasonably burdensome when processing the FOIA 
request would significantly interfere with the ongoing operation of the 
agency's programs.


Sec.  402.65  Expedited processing.

    (a) Expedited processing must be requested at the same time as the 
FOIA request. We provide expedited processing when the requester can 
demonstrate a ``compelling need'' for the requested information:
    (1) When there is an imminent threat to the life or safety of a 
person;
    (2) When the requester is primarily engaged in disseminating 
information, and shows an urgency to inform the public about actual or 
alleged government activities; or
    (3) When the requester can show, in detail and to our satisfaction, 
that a prompt response is needed because the requester may be denied a 
legal right, benefit, or remedy without the requested information, and 
that it cannot be obtained elsewhere in a reasonable amount of time.
    (b) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct, explaining in detail the 
basis for making the request for expedited processing. We will notify 
the requester within 10 calendar days of receipt of the request for 
expedited processing of our decision to grant or deny expedited 
processing. Only the FOIA Officer may make the decision to grant or 
deny expedited processing. Requests granted expedited processing will 
be given priority and processed as soon as practicable. Requests that 
do not meet the ``compelling need'' criteria, will be processed 
normally. If we do not grant the request for expedited processing, the 
requester may appeal the denial to the Executive Director for OPD. In 
the appeal letter, the requester should explain why they believe their 
request demonstrates a ``compelling need,'' such as describing how the 
request meets the criteria in paragraphs (a)(1) through (3) of this 
section. The process described in Sec.  402.105 will also apply to 
these appeals.


Sec.  402.70  Fees associated with processing FOIA requests.

    (a) Charging authorities--(1) Section 1106(c). Section 1106(c) of 
the Social Security Act (42 U.S.C. 1306(c)) allows the agency to charge 
for FOIA requests that are not directly related to SSA's administration 
of the Social Security Act. See Sec.  402.80 for information on the 
agency's authorization under section 1106(c) to charge requesters. 
Requesters may request a fee waiver, as described in Sec.  402.85.
    (2) FOIA fee categories. The FOIA establishes three fee categories 
of requesters, i.e., commercial use, non-commercial scientific or 
educational institutions and representatives of the news media; and 
other requesters. The category of the requester determines the fees 
that may be charged; see Sec.  402.75 for the FOIA fee schedule. 
Requesters may request a fee waiver, as described in Sec.  402.85.
    (b) Hourly rate when charging under section 1106(c) and the FOIA 
fee categories. (1) When we search for and review records, we charge an 
hourly rate, based in 15-minute increments, depending on the grade(s) 
of the employee(s) and/or contractors performing the search and review. 
The hourly rate is the same when charging under the FOIA fee provisions 
or section 1106(c) of the Social Security Act. SSA uses the current 
General Schedule (GS) salary table for the locality pay area of 
Washington-Baltimore-Arlington, DC-MD-VA-WV-PA. We use the following 
criteria to compute our hourly rates for search or review:
    (i) When performed by employees at grade GS-1 through GS-8, SSA 
will charge an hourly rate based on the salary of a GS-5, step 7, 
employee;
    (ii) When performed by a GS-9 through GS-14, SSA will charge an 
hourly rate based on the salary of a GS-12, step 4, employee; and
    (iii) When performed by a GS-15 or above, SSA will charge an hourly 
rate based on the salary of a GS-15, step 7, employee.
    (2) When work is performed by a contractor, we will charge an 
hourly rate based on the GS equivalent of the contractor's hourly pay 
rate. We compute the hourly rate by taking the current hourly rate for 
the specified grade and adding 16 percent of that rate

[[Page 102716]]

to cover benefits and rounding to the nearest whole dollar. These rates 
are adjusted as Federal salaries change. Federal salary rates are 
available from the Office of Personnel Management. When a search and 
review involves employees at more than one of these GS levels, we will 
charge the rate appropriate for each. We may charge a fee for search 
time even if we are unable to locate any responsive records or the 
records are exempt from disclosure.


Sec.  402.75  FOIA fee schedule.

    (a) Fee schedule category. Requesters whom SSA charges under the 
FOIA fee schedule are subject to the following fees dependent upon 
their fee category:
    (1) Commercial. Commercial use requesters are charged for search, 
review, and duplication.
    (2) Non-commercial educational or scientific institutions and 
representative of the news media. Requesters that fit this category are 
charged for the duplication of documents. We will not charge requesters 
the copying costs for the first 100 pages of duplication.
    (3) Other. If the FOIA request does not fall within a category 
described in paragraph (a)(1) or (2) of this section, we will charge 
for search and duplication; however, we will not charge for the first 
two hours of search time or for the duplication costs of the first 100 
pages.
    (b) Certification. If a requester asks for certification of the 
record(s) responsive to their FOIA request and OPD agrees to provide 
it, we will notify the requester of the appropriate certification fee 
via written correspondence.
    (c) Record(s) production and duplication--(1) Electronic records. 
We will charge the actual costs for producing and duplicating the 
record and the time spent by the employees or contractors in 
production, duplication, or otherwise processing the FOIA request, at 
the rates given in Sec.  402.70(c).
    (2) Photocopying standard size pages. For noncommercial requesters, 
we will charge $0.10 per page after the first 100 pages, which are 
free. The FOIA Officer may charge lower fees for particular documents 
where:
    (i) The document has already been printed in large numbers;
    (ii) The program office determines that using existing stock to 
answer this request, and any other anticipated FOIA requests, will not 
interfere with program requirements; and
    (iii) The FOIA Officer determines that the lower fee is adequate to 
recover the prorated share of the original printing costs.
    (3) Photocopying odd-size documents. For photocopying documents, 
such as punch cards or blueprints, or duplicating other records, such 
as tapes, we will charge the actual costs of operating the machine, 
plus the actual cost of the materials used, plus charges for the time 
spent by the operator, at the rates given in Sec.  402.70(c).
    (d) Cost of service less than cost of issuing a bill. We will not 
charge a fee when the cost of the service is less than the cost of 
sending the requester a bill. However, where an individual, 
organization, or governmental unit makes multiple separate requests, we 
will total the costs incurred and bill the requester for the services 
rendered.
    (e) Fee waiver. We may waive or reduce the fee if we find that 
waiver is in the public interest. See Sec.  402.85 for fee waiver 
information.


Sec.  402.80  Charging under section 1106(c) of the Social Security 
Act.

    Section 1106(c) of the Social Security Act permits the agency to 
charge the full cost to process requests for information for purposes 
not directly related to the administration of program(s) under the 
Social Security Act. This may be done notwithstanding the fee 
provisions in FOIA, the Privacy Act, or any other provision of law. In 
responding to FOIA requests for non-program purposes, we will charge 
the full cost (both direct and indirect costs) of our services, 
regardless of the requester's fee categorization, unless the cost of 
the service is less than the cost of issuing a bill as stated in 
paragraph (b) of this section.
    (a) Full costs. The agency may charge full costs for processing 
records or information requests, including but not limited to:
    (1) Search. We may charge for search time even if we are unable to 
locate any responsive records or the records are exempt from 
disclosure. We will notify the requester in writing if the records 
estimated as responsive are determined unreasonably burdensome for the 
agency to process and/or the search would cause significant 
interference with the operation of SSA's automated information systems.
    (2) Review. Review includes the reviews performed at any level 
(staff through executive), including but not limited to review by 
multiple people and offices.
    (3) Production and duplication of record(s). We may charge the full 
cost of the systems' processing (e.g., computer search time, computer 
processing database retrieval), materials used to produce and duplicate 
the requested record(s), and time spent by agency employee(s) and/or 
contractor(s) in production, duplication, or otherwise processing the 
FOIA request.
    (4) Certification. We will charge the full costs for certification.
    (5) Employee's time. The full cost of an employee's time includes 
fringe benefits and overhead costs, such as rent and utilities.
    (6) Forwarding/delivering materials. If special arrangements for 
forwarding material are requested, we will charge the requester the 
full cost of this service (e.g., if express mail or a commercial 
delivery service is requested). If no special forwarding arrangements 
are requested, we will charge the requester the full cost of the 
service, including the U.S. Postal Service cost.
    (7) Performing other special services. If we agree to provide any 
special services requested, we will charge the full cost of the time of 
the employee(s) or contractor(s) who perform the service, plus the full 
cost of any systems processing time and materials that the employee or 
contractor uses.
    (b) Cost of service less than cost of issuing a bill. We will not 
charge a fee when the cost of the service is less than the cost of 
sending the requester a bill. However, where an individual, 
organization, or governmental unit makes multiple separate requests, we 
will total the costs incurred and bill the requester for the services 
rendered.
    (c) Standard administrative fees for non-program information. The 
information in this part does not revoke, modify, or supersede the 
schedule of standard administrative fees the agency charges for 
specified non-program information requests.
    (d) Non-program purpose. Non-program purposes constitute any 
purpose that is not program related.
    (1) We consider a request to be program related if:
    (i) The information must be disclosed under the Social Security Act 
(Act); or
    (ii) The information will be used for a purpose which is directly 
related to the administration of a program under the Act for which SSA 
has responsibility. In deciding whether this paragraph (d)(1)(ii) 
applies, the major criteria SSA considers is whether the information 
is:
    (A) Needed to pursue a benefit under a program that SSA administers 
under the Act.
    (B) Needed solely to verify the accuracy of information obtained in 
connection with a program that SSA administers under the Act.
    (C) Needed in connection with an activity under SSA's purview which 
is authorized under the Act.
    (D) Needed by an employer to carry out taxpaying responsibilities 
under the Federal Insurance Contributions Act or section 218 of the 
Act.

[[Page 102717]]

    (2) We will consider each request on a case-by-case basis when the 
criteria in this paragraph (d) are not met but the requester claims a 
request is for a program-related purpose for another reason. We will 
not conclude a request is program-related solely because the records 
sought are about programs administered by SSA or are claimed to be of 
public interest.
    (e) Disagreement with program or non-program determination. Only 
the FOIA Officer has the authority to make the program/non-program 
decision. If a requester disagrees with the FOIA Officer's non-program 
determination, they may appeal the decision to the Executive Director 
for OPD. In the appeal letter, the requester should explain why they 
believe the request meets the requirements in paragraph (c) of this 
section. The process described in Sec.  402.105 will also apply to 
these appeals.


Sec.  402.85  Waiver of fees in the public interest.

    A requester may request waiver or reduction of fees, whether 
charged under Sec.  402.75 or Sec.  402.80, if the release of the 
requested records is in the public interest. We will waive or reduce 
the fees we would otherwise charge if disclosure of the requested 
information:
    (a) Is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities 
of the government; and
    (b) Is not primarily in the commercial interest of the requester.
    (1) Procedure for requesting a waiver or reduction. A requester 
must make the request for a fee waiver or reduction in writing at the 
same time they make their request for records. The requester should 
explain with reasonable specificity why they believe a waiver or 
reduction is proper under the analysis in paragraphs (b)(2) and (3) of 
this section. Only the FOIA Officer may make the decision whether to 
waive, or reduce, the fees. If we do not completely grant the request 
for a waiver or reduction, the requester may appeal the denial to the 
Executive Director for OPD. In the appeal letter, the requester should 
explain why they believe the request meets the requirements in 
paragraphs (b)(2) and (3) of this section. The process prescribed in 
Sec.  402.105 will also apply to these appeals.
    (2) Public interest. We consider the factors below when analyzing 
whether disclosure is in the public interest:
    (i) How the records pertain to the Federal Government's operations 
or activities;
    (ii) Whether disclosure would reveal any meaningful information 
about Government operations or activities not already known to the 
public; and
    (iii) Whether the contribution to public understanding of those 
operations or activities would be significant.
    (iv) Regarding the above criteria, you must be reasonably specific 
in your waiver request as to the specific Government operation or 
activity and provide direct, clear (not remote or attenuated) 
connections to the meaningful information you seek. Generalized 
interest in government programs is not reasonably specific to grant 
waiver.
    (3) Not primarily in requester's commercial interest. If the 
disclosure is determined to be in the public interest as described in 
paragraph (b)(2) of this section, we will then determine whether it 
also furthers the requester's commercial interest and, if so, whether 
this effect outweighs the advancement of that public interest. We 
consider the following factors when analyzing whether disclosure is not 
primarily in the requester's commercial interest:
    (i) Would the disclosure further a commercial interest of the 
requester, or of someone on whose behalf the requester is acting?
    (ii) If disclosure would further a commercial interest of the 
requester, would that effect outweigh the advancement of the public 
interest defined in paragraph (b)(2) of this section? Which effect is 
primary?
    (4) Burden on SSA to produce the record(s). If the disclosure meets 
the requirements in paragraphs (b)(2) and (3) of this section, we 
reserve the right to charge a fee if special services are needed to 
provide the records.
    (5) Deciding between waiver and reduction. If the disclosure meets 
the requirements in paragraphs (b)(2) and (3) of this section, we will 
normally waive fees. However, in some cases we may decide only to 
reduce the fees. For example, we may do this when disclosure of some 
but not all of the requested records meet the fee waiver criteria.


Sec.  402.90  Notification of fees and prepayment requirements.

    Requesters must agree to pay the fee, whether charged under Sec.  
402.75 or Sec.  402.80, before we will begin the search for record(s).
    (a) Cost estimate. OPD will issue a fee notice to the requester for 
the processing of their request for records that includes an estimated 
fee based on the time we estimate it will take to process the record(s) 
requested. We issue fee notices via email or, when the requester does 
not provide an email address, via U.S. postal mail.
    (b) Advanced payment information required. The requester must agree 
to pay the estimated fee provided within the fee notice and provide the 
agency with payment information within 30 calendar days from the date 
of our fee notice. Payment information is required before OPD will 
begin the search for the requested record(s). Unless otherwise 
specified in the schedule of standard administrative fees the agency 
charges for specified non-program information requests, OPD will 
process payment when the request is closed, i.e., when the FOIA Officer 
issues a decision on records release. If the payment information 
provided by the requester expires during the course of OPD's processing 
of the FOIA request, the requester must provide updated payment 
information. If updated payment information is not provided within 30 
calendar days of our written request for the payment information, we 
reserve the right to administratively close the request.
    (c) Changes in estimated fee. (1) If the time spent to search for 
records is more or less than the time estimated in the fee notice, OPD 
will issue the requester a revised fee notice after the responsive 
component(s) performs the records search and retrieval.
    (2) If the record(s) provided to OPD for review are more or less 
than those from which OPD estimated search and review time, OPD will 
issue the requester a revised fee notice after the responsive 
component(s) perform the records search and retrieval.
    (3) OPD will either dispose of the payment information or return 
the payment information to the requester when OPD issues the revised 
fee notice.
    (4) The requester must agree to pay the revised fee before we will 
continue processing the request. If the requester disagrees with the 
revised fee, the requester may appeal to the Executive Director for 
OPD. Appeals will be processed as described in Sec.  402.105.
    (d) Prompt payment. We will administratively close the FOIA request 
if we do not receive a response or appeal within 30 calendar days from 
the date of the fee notice. ``Response'' includes:
    (1) Requesting to narrow the scope of the request; or
    (2) Providing payment in response to the fee notice. Appeals will 
be processed as described in Sec.  402.105.
    (e) Methods of payment. We accept payment by check or money order 
made payable to the Social Security Administration (SSA), as well as by

[[Page 102718]]

credit card (MasterCard, Visa, Discover, American Express, or Diner's 
Club).


Sec.  402.95  Release of records.

    (a) Records previously released. If we have released a record, or a 
part of a record, to others in the past, we will ordinarily release it 
to the requester, as well. However, we will not release it to a 
requester if a statute forbids this disclosure; an exemption applies 
that was not previously applicable; or if the previous release was 
unauthorized.
    (b) Withholding records. Section 552(b) of the FOIA explains the 
nine exemptions under which we may withhold records requested under the 
FOIA. Within Sec. Sec.  402.115 through 402.150, we describe the FOIA 
exemptions and explain how we apply them to disclosure determinations. 
In some cases, more than one exemption may apply to the same document. 
Section 552(b) of the FOIA, while providing nine exemptions from 
mandatory disclosure, does not itself provide any assurance of 
confidentiality by the agency.
    (c) FOIA library. If the record(s) requested are already publicly 
available, either in our electronic FOIA library or elsewhere online, 
such as at www.ssa.gov, we will direct the requester to the publicly 
available record(s).
    (d) Poor copy. If we cannot make a legible copy of a record to be 
released, we do not attempt to reconstruct it. Instead, we furnish the 
best copy possible and note its poor quality in our reply.


Sec.  402.100  FOIA Public Liaison and the Office of Government 
Information Services.

    We notify requesters of their right to seek dispute resolution from 
the FOIA Public Liaison or the Office of Government Information 
Services (OGIS) within our fee notices, responses to determinations 
identified in Sec.  402.50(a), and responses to appeals.
    (a) FOIA Public Liaison. If requesters have questions about the 
response to their request or wish to seek dispute resolutions services 
within SSA, the requester may contact the FOIA Public Liaison via email 
to [email protected].
    (b) OGIS. OGIS is an entity outside of SSA that offers mediation 
services to resolve disputes between FOIA requesters and Federal 
agencies as a non-exclusive alternative to litigation. OGIS' contact 
information will be provided in any decision letter issued by the FOIA 
Officer and Executive Director for OPD.


Sec.  402.105  Appeals of the FOIA Officer's determination.

    (a) Appeal requirements. If a requester disagrees with the FOIA 
Officer's determination in response to items specified in Sec.  
402.50(a), the requester may appeal the decision. The appeal must meet 
the following requirements:
    (1) Be submitted in writing via the avenues identified in Sec.  
402.35(a);
    (2) Be received, or in the case of electronic submissions, 
transmitted within 90 calendar days from the date of the determination 
the requester is appealing; and
    (3) Explain what the requester is appealing and include additional 
information to support the appeal. The appeal should clearly identify 
the agency determination that is being appealed and the assigned 
request's tracking number. To facilitate handling when submitted via 
mail or fax, the requester should mark the appeal letter, or subject 
line of the electronic transmission, ``Freedom of Information Act 
Appeal.''
    (b) Acknowledgement. If we receive an appeal that will take longer 
than 10 working days to process, we will provide an acknowledgment. The 
acknowledgement is provided via email or, when the requester does not 
provide an email address, via U.S. postal mail. The acknowledgement 
email or letter restates the FOIA appeal and provides the requester 
with the appeal's tracking number.
    (c) Processing timeframe. FOIA appeals are categorized as either 
simple or complex, based on the designation of the initial request.
    (1) Simple. Generally, we make a determination about release of the 
requested record(s) within 20-working days.
    (2) Complex. Appeals of complex requests cannot be completed within 
20-working days. During OPD's processing of the appeal, OPD will need 
to consult with appropriate SSA component(s), including legal counsel; 
therefore, we generally require more than 20-working days to issue a 
final decision on the appeal.
    (d) Final decision. The Chief FOIA Officer delegated to the 
Executive Director for OPD the authority to make decisions on appeals 
of the FOIA Officer's determinations.
    (1) The final decision is provided in writing to the requester via 
email or, in the absence of the requester's email address, via U.S. 
postal mail.
    (2) The final decision letter will explain the basis of the 
decision (for example, the reasons why an exemption applies).
    (e) Disagreement with final decision. If a requester disagrees with 
the final decision issued by the Executive Director for OPD, they may 
seek assistance from OGIS, as described in Sec.  402.100. Requesters 
may also ask a U.S. District Court to review our final decision. See 5 
U.S.C. 552(a)(4)(B).


Sec.  402.110  U.S. District Court action.

    If the Executive Director for OPD or the Executive Director for 
OPD's designee, upon review, affirms the denial of the FOIA Officer's 
determination of items specified in Sec.  402.50(a), requesters may ask 
a U.S. District Court to review that denial. See 5 U.S.C. 552(a)(4)(B).


Sec.  402.115  The FOIA Exemption 1: National defense and foreign 
policy.

    Exemption 1 protects from disclosure information specifically 
authorized under criteria established by an Executive order to be kept 
secret in the interest of national defense or foreign policy and are in 
fact properly classified pursuant to such Executive order.


Sec.  402.120  The FOIA Exemption 2: Internal personnel rules and 
practices.

    Exemption 2 authorizes our agency to withhold records that are 
related solely to the internal personnel rules and practices of an 
agency. For example, we may withhold personnel rules and practices 
dealing with employee relations or human resources.


Sec.  402.125  The FOIA Exemption 3: Records exempted by other 
statutes.

    (a) Required record release. Exemption 3 authorizes our agency to 
withhold records if another statute specifically allows or requires us 
to withhold them. We may use another statute to justify withholding 
only if it prohibits disclosure or if it sets forth criteria to guide 
our decision on releasing or identifies particular types of material to 
be withheld.
    (b) Examples. (1) We often use this exemption to withhold 
information regarding a worker's earnings which is tax return 
information under section 6103 of the Internal Revenue Code.
    (2) We also use this exemption to withhold death information about 
decedents:
    (i) When the date of death is within three calendar years from the 
current date, the requested information about the decedent is protected 
under section 203 of the Bipartisan Budget Act of 2013 (Pub. L. 113-
67).
    (ii) When the agency's source of death is the state, the requested 
information is protected under section 205(r) of the Social Security 
Act.

[[Page 102719]]

Sec.  402.130  The FOIA Exemption 4: Trade secrets and confidential 
commercial or financial information.

    Submitters may designate information as trade secrets and 
confidential commercial or financial information at the time of 
submission or within a reasonable time thereafter. Submitters must use 
good faith efforts to designate, by appropriate markings, any portion 
of its submission that it considers to be protected from disclosure 
under the FOIA exemptions. These designations expire ten years after 
the due date of the submission unless the submitter requests a longer 
designation period.
    (a) Steps of submitters notice--(1) The submitter's notice. When 
trade secrets or confidential commercial or financial information is 
requested under the FOIA, SSA will provide written submitter's notice 
if we have a reason to believe that information in the records could 
reasonably be disclosed under the FOIA. The submitter's notice will 
describe and include a copy of the trade secret or commercial or 
financial information requested or portions of records containing the 
information. In cases involving many submitters, SSA may post or 
publish a submitter's notice in a place or manner reasonably likely to 
inform the submitters of the proposed disclosure instead of sending 
individual notifications. The submitter's notice requirements of this 
section do not apply if:
    (i) SSA determines the information is fully exempt under the FOIA, 
and therefore will not be disclosed;
    (ii) The information has been previously published or made 
generally available; or
    (iii) Disclosure of the information is required by statute other 
than the FOIA.
    (2) Submitter's opportunity to object to disclosure. (i) Unless SSA 
grants an extension, the submitter must respond to the notice within 
five working days of SSA issuing the submitter's notice or the 
information may be released in accordance with these regulations and 
the FOIA. A submitter who fails to respond within five working days 
will be considered to have no objection to the disclosure of the 
information. SSA is not required to consider any information received 
after the date of any disclosure decision. Any information provided by 
a submitter under this subpart may itself be subject to disclosure 
under the FOIA.
    (ii) If a submitter objects to disclosure, the submitter should 
provide SSA with a detailed written statement that specifies all 
grounds for withholding the particular information under any exemption 
of the FOIA. In order to rely on Exemption 4 as basis for non-
disclosure, the submitter must explain why the information constitutes 
a trade secret or commercial or financial information that is 
confidential.
    (iii) SSA will consider a submitter's timely made objections and 
specific grounds for nondisclosure in deciding whether to disclose the 
requested information.
    (3) Notice of intent to disclose. Whenever SSA decides to disclose 
information over the objection of a submitter, SSA provides the 
following to the submitter:
    (i) A Release Over Objection letter explaining the reasons why each 
of the submitter's disclosure objections did not meet the requirements 
for withholding under the FOIA.
    (ii) A copy of the information as SSA intends to release it.
    (iii) A statement of our intent to disclose the information five 
working days from the date on the Release Over Objection letter unless 
the submitter files an action in a U.S. District Court to prevent the 
release.
    (b) Notice of FOIA lawsuit. When a submitter's notice is issued for 
a request that is the subject of a lawsuit, SSA notifies the submitter 
of the lawsuit within the notice.
    (c) Requester notification. To the extent SSA expects substantial 
delays in the processing of FOIA requests due to the agency's 
communications with the submitter, we will notify the requester in 
writing via email, or when the requester's email is not provided, via 
U.S. postal mail.


Sec.  402.135  The FOIA Exemption 5: Internal documents.

    This exemption covers inter-agency or intra-agency government 
documents that fall within an evidentiary privilege recognized in civil 
discovery. Such internal government communications may include an 
agency's communications with an outside consultant or other outside 
person, with a court, or with Congress, when those communications are 
for a purpose similar to the purpose of privileged intra-agency 
communications. Some of the most-commonly applicable privileges are 
described in the following paragraphs:
    (a) Deliberative process privilege. This privilege protects the 
decision-making processes of government agencies. Information is 
protected under this privilege if it is predecisional and deliberative. 
The purpose of the privilege is to prevent injury to the quality of the 
agency decision-making process by encouraging open and frank internal 
discussions, by avoiding premature disclosure of decisions not yet 
adopted, and by avoiding the public confusion that might result from 
disclosing reasons that were not in fact the ultimate grounds for an 
agency's decision. Purely factual material in a deliberative document 
is within this privilege only if it is inextricably intertwined with 
the deliberative portions so that it cannot reasonably be segregated, 
if it would reveal the nature of the deliberative portions, or if its 
disclosure would in some other way make possible an intrusion into the 
decision-making process. We will release purely factual material in a 
deliberative document unless that material is otherwise exempt. The 
privilege continues to protect predecisional documents even after a 
decision is made; however, we will release predecisional deliberative 
communications that were created 25 years or more before the date on 
which the records are requested.
    (b) Attorney work product privilege. This privilege protects 
records prepared by or for an attorney in anticipation of or for 
litigation. It includes documents prepared for purposes of 
administrative and court proceedings. This privilege extends to 
information directly prepared by an attorney, as well as materials 
prepared by non-attorneys working for an attorney.
    (c) Attorney-client communication privilege. This privilege 
protects confidential communications between an attorney and the 
attorney's client where legal advice is sought or provided.


Sec.  402.140  The FOIA Exemption 6: Clearly unwarranted invasion of 
personal privacy.

    We may withhold records about individuals if disclosure would 
constitute a clearly unwarranted invasion of their personal privacy.
    (a) Balancing test. When we decide whether to release records that 
contain personal or private information about someone else, we weigh 
the foreseeable harm of invading a person's privacy against the public 
interest in disclosure. When we determine whether disclosure would be 
in the public interest, we will consider whether disclosure of the 
requested information would shed light on how a Government agency 
performs its statutory duties.
    (b) Agency employees. To protect the safety of agency employees, we 
will not disclose information when the information sought is contact 
information and/or duty stations of one or more Federal employees if 
the disclosure would place employee(s) at risk of injury or other harm.
    (c) Examples. We generally withhold the personally identifiable 
information

[[Page 102720]]

of individuals if we do not have the consent (consistent with Sec.  
401.100 of this chapter) of the number holder, including but not 
limited to the number holder's home address, age, Social Security 
number, claims file, and other personal information. If the information 
requested concerns agency employees, we will determine disclosure on a 
case-by-case basis. For example, our redaction of management officials' 
information may be treated differently depending on how the balancing 
test applies in a given circumstance.


Sec.  402.145  The FOIA Exemption 7: Law enforcement.

    Exemption 7 authorizes our agency to withhold certain records that 
the government has compiled for law enforcement purposes. The records 
may apply to actual or potential violations of either criminal or civil 
laws or regulations. We can withhold these records only to the extent 
that releasing them would cause harm in at least one of the following 
situations:
    (a) Enforcement proceedings. Pursuant to the FOIA Exemption 7(A) (5 
U.S.C. 552(b)(7)(a)), we may withhold information whose release could 
reasonably be expected to interfere with prospective or ongoing law 
enforcement proceedings. Investigations of fraud and mismanagement, 
employee misconduct, and civil rights violations may fall into this 
category. In certain cases--such as when a fraud investigation is 
likely--we may refuse to confirm or deny the existence of records that 
relate to the violations in order not to disclose that an investigation 
is in progress, or may be conducted.
    (b) Fair trial or impartial adjudication. Under the FOIA Exemption 
7(B) (5 U.S.C. 552(b)(7)(b)), we may withhold records whose release 
would deprive a person of a fair trial or an impartial adjudication 
because of prejudicial publicity.
    (c) Personal privacy. Under the FOIA Exemption 7(C) (5 U.S.C. 
552(b)(7)(c)), we may withhold the personally identifiable information 
of individuals when the disclosure could reasonably be expected to 
constitute an unwarranted invasion of personal privacy. When a name 
surfaces in an investigation, that person is likely to be vulnerable to 
innuendo, rumor, harassment, and retaliation.
    (d) Confidential sources and information. Pursuant to the FOIA 
Exemption 7(D) (5 U.S.C. 552(b)(7)(d)), we may withhold the identity of 
confidential sources, as well as the records obtained from the 
confidential sources in criminal investigations or by an agency 
conducting a lawful national security investigation. A confidential 
source may be an individual; a State, local, or foreign government 
agency; or any private organization. The exemption applies whether the 
source provides information under an express promise of confidentiality 
or under circumstances from which such an assurance could be reasonably 
inferred; however, inferred confidentiality is determined in a case-by-
case analysis. Also protected from mandatory disclosure is any 
information which, if disclosed, could reasonably be expected to 
jeopardize the system of confidentiality that assures a flow of 
information from sources to investigatory agencies.
    (e) Techniques and procedures. Under the FOIA Exemption 7(E) (5 
U.S.C. 552(b)(7)(e)), we may withhold records that would disclose 
techniques and procedures for law enforcement investigations or 
prosecutions, or would disclose guidelines for law enforcement 
investigations or prosecutions if such disclosure could reasonably be 
expected to risk circumvention of the law. In some cases, it is not 
possible to describe even in general terms those techniques without 
disclosing the very material to be withheld.
    (f) Life and physical safety. Under the FOIA Exemption 7(F) (5 
U.S.C. 552(b)(7)(f)), we may withhold records whose disclosure could 
reasonably be expected to endanger the life or physical safety of any 
individual. This protection extends to threats and harassment, as well 
as to physical violence.


Sec.  402.150  The FOIA Exemptions 8 and 9: Records on financial 
institutions; records on wells.

    Exemption 8 permits us to withhold records about regulation or 
supervision of financial institutions. Exemption 9 permits the 
withholding of geological and geophysical information and data, 
including maps, concerning wells.


Sec.  402.155  Records available for public inspection.

    (a) Under the FOIA, SSA is required to make available for public 
inspection in an electronic format:
    (1) Final opinions made in the adjudication of cases;
    (2) An agency's statements and interpretations of policy that have 
been adopted but are not published in the Federal Register;
    (3) Administrative staff manuals and instructions that affect the 
public; and
    (4) Copies of records, regardless of form or format, that an agency 
determines will likely become the subject of subsequent requests, as 
well as records that have been requested and released three or more 
times, unless said materials are published and copies are offered to 
sale.
    (b) SSA will not use or cite instructional manuals issued to our 
employees, general statements of policy, and other materials which are 
used in processing claims as a precedent for an action against a person 
unless we have indexed the record and published it or made it 
available, or unless the person has timely notice of the record.
    (c) Records that SSA makes available for public inspection in an 
electronic format may be accessed through www.ssa.gov free of charge. 
Such records include:
    (1) Compilation of Social Security Laws and Regulations;
    (2) SSA regulations under the retirement, survivors, disability, 
and supplemental security income programs, i.e., 20 CFR parts 401, 402, 
404, 416, and 422;
    (3) Social Security Handbook;
    (4) Social Security Rulings and Acquiescence Rulings;
    (5) SSA's Public Programs Operations Manual System;
    (6) SSA's Organizational Structure;
    (7) State and Local Coverage Handbook for State Social Security 
Administrators; and
    (8) SSA's Public Hearings, Appeals, and Litigation Law Manual.


Sec.  402.160  Where records are published.

    (a) Methods of publication. Materials we are required to publish 
pursuant to the provisions of 5 U.S.C. 552(a)(1) and (a)(2), we publish 
in one of the following ways:
    (1) By publication in the Federal Register of Social Security 
Administration regulations, and by their subsequent inclusion in the 
Code of Federal Regulations;
    (2) By publication in the Federal Register of appropriate general 
notices;
    (3) By other forms of publication, when incorporated by reference 
in the Code of Federal Regulations with the approval of the Director of 
the Federal Register;
    (4) By publication in the ``Social Security Rulings'' of indexes of 
precedential social security orders and opinions issued in the 
adjudication of claims, statements of policy and interpretations that 
have been adopted but have not been published in the Federal Register; 
and
    (5) By posting in the FOIA library.
    (b) Publication of rulings. Although not required pursuant to 5 
U.S.C. 552(a)(1) and (a)(2), we publish the following rulings in the 
Federal Register and by other forms of publication:

[[Page 102721]]

    (1) We publish Social Security Rulings in the Federal Register 
under the authority of the Commissioner of Social Security. They are 
binding on all components of SSA. These rulings represent precedent 
final opinions and orders and statements of policy and interpretations 
that we have adopted.
    (2) We publish Social Security Acquiescence Rulings in the Federal 
Register under the authority of the Commissioner of Social Security. 
They are binding on all components of SSA, except with respect to 
claims subject to the relitigation procedures established in 20 CFR 
404.985(c) and 416.1485(c). For a description of Social Security 
Acquiescence Rulings, see 20 CFR 404.985(b) and 416.1485(b).


Sec.  402.165  Publications for sale through the Government Publishing 
Office.

    The public may purchase publications containing information 
pertaining to the program, organization, functions, and procedures of 
SSA from the electronic U.S. Government Bookstore maintained by the 
Government Publishing Office. The publications for sale include but are 
not limited to:
    (a) Title 20, parts 400 through 499, of the Code of Federal 
Regulations;
    (b) Federal Register issues; and
    (c) Compilation of the Social Security Laws.

[FR Doc. 2024-29647 Filed 12-17-24; 8:45 am]
BILLING CODE 4191-02-P`