Predictive analytics at NYC Administration for Children’s Services

Beryl Lipton filed this request with the Administration of Children’s Services of New York City, NY.
Tracking #

FOIL-2019-067-00135

Status
Completed

Communications

From: Beryl Lipton


To Whom It May Concern:

Pursuant to the New York Freedom of Information Law, I hereby request the following records:

Materials related to any predictive or automated analysis software and algorithms used by this agency in the performance of its responsibilities.

These materials should include, but not be limited to, those regarding the software and algorithm used via mobile devices like the Microsoft Surface Pro tablet. For reference and help retrieving responsive documents, this program was publicly discussed in the following press release: https://www1.nyc.gov/assets/acs/pdf/PressReleases/2018/ACSMobileTechnology.pdf

Please provide the following records related to the above program and any similar programs:

1. ALGORITHM or CODE
Any algorithm or code developed for implementation of or as part of this "software" or program or any related system that conducts calculations or decision making. This includes any algorithm or software developed by or with, given to, used by, purchased or licensed to this agency for implementation of the above referenced program, as well as any algorithm or source code in use by this program or by which this system conducts calculations or decision making. This would include original source code, any compiled binaries (also known as executables), specification documents, spreadsheets, program scripts, and other digital materials used to calculate any data in the above program. Collectively, these responsive materials will be referred to as "the software" in the following paragraphs.

2. INPUT DATA
Any input training data for the "software" or related machine learning algorithms or programs.

For the aspects of the software that require an input (for example, to compute a value), please provide:
• a copy of the five most recent sets of data that were used for input, as well as
• the five most recent outputs of the software

in whatever their native format is.

If these inputs or outputs include exempt information, please provide all material save for specific information that is specifically exempted by law. Please also provide a description of input and output data fields that will aid in understanding the type of information that is submitted to the software and that is produced by the software.

3. AUDITS, REPORTS, and VALIDATION STUDIES
A copy of all reports concerning or mentioning the "software," including audit records, annual reports that mention the use of the "software," reports to legislative bodies, misuse reports, reports to oversight bodies.

This also includes all impact and validation studies. Please provide a copy of any validation studies conducted with respect to the program or with respect to any software or algorithms used in connection with the program. Please also provide a copy of any records pertaining to inquiries for the need of validation studies or discussion of potential or actual validation studies. A “validation study” in this context is any study designed to assess how accurate the program is in predicting what it is supposed to predict, used to assess whether the program may err in the direction of either under- or overestimating likelihoods or predicted outcomes, or intended to evaluate whether the software does or will produce any results that are biased or unexpected in any way.

4. AGREEMENTS and CONTRACTS
Any and all agreements related to the acquisition and use of this "software," algorithm, or program.

This includes (but is not limited to):
• all contracts (as well as associated amendments, attachments, and exhibits),
• data sharing agreements
• insurance agreement
• intergovernmental services agreements
• licensing agreement
• memorandums of understanding, and
• nondisclosure agreements

regarding or relevant to this software or program.

Please provide a copy of any informal agreements, insurance agreements, liability waivers, and warranties that reference this technology or otherwise guide its use or the relationship between this agency, the provider or developer of the "software," or any other partner or entity that may use or access it.

5. BIDDING and PROCUREMENT
A copy of any available or relevant Requests for Expressions of Interest, Requests For Proposal (or equivalent calls for bids), responses to Requests for Expressions of Interest, letters of interest, responses to Requests for Proposal, sole source or limited source justification and approval documentation, documentation of selection, and other materials generated in the consideration and selection of the technology in question.

6. FINANCIAL and FUNDING MATERIALS
Any records related to the financing or funding of this "software," including a copy of any related funding opportunity announcements, grant applications, grantor status/progress reports, purchase orders, invoices, and other memoranda and documentation related to the payment or cost (or lack thereof) of the "software," related technology, personnel, equipment, or other elements concerning this "software" or program.

7. INSTRUCTIONAL MATERIALS and TRAINING
All instructional materials, presentations, and presentation materials (including recorded video and audio, PowerPoint files, prepared remarks, and slides formats), and other guidance on the use of "the software."

This includes any notes taken during meetings that discussed the use of the software, any explanations (whether generated internally or externally) of how the software works, and any other document that has been used to help explain the use of "the software" to any party, including internal documentation, public relations materials, and executive summaries.

This also includes training material governing the use, sharing, or access to the "software" or any data related to or collected by the face recognition software/technology, including the legal standard that is required before using the technology.

This also includes any description of input and output data fields that will aid in understanding the type of information that is submitted to the software, and that is produced by the software.

8. PRIVACY ASSESSMENTS
A copy of any data retention guidelines or policies, data security policies, data security specifications, privacy impact assessments, security audits, or other materials evaluating or guiding the security of the "software" or the privacy of the data involved

9. USE POLICIES
Please provide a copy of any policy directives, guidance documents, memoranda, training materials, or similar records governing the use and function of this technology for immigration, law enforcement, or any purpose, including all those related to data retention, permissible and impermissible use, and security standards. This would include materials that describe the application, function, and use of the "software," including advertisements, emails, handouts, usage policies, PowerPoint presentations, specification documents, or standard operating procedures.

10. COMMUNICATION and MARKETING MATERIALS
All communications or marketing materials relevant to or mentioning this "software" or program.

This includes any correspondence between any staff at this agency with any other organization or vendor relevant to the use of the aforementioned technology or program, including records related to meetings or follow-up actions with any vendors, companies, or other private entities marketing this technology for immigration, intelligence, law enforcement, or any use. This also includes correspondence in the form of emails, email attachments, paper letters, text message, and any other form of correspondence, as well as all marketing materials - unsolicited, requested, or otherwise - acquired from vendors of this technology.

____

If your office has questions about this request, please feel free to direct them to the address associated with this request or call the MuckRock office at 617-299-1832.

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 5 business days, as the statute requires.

Sincerely,

Beryl Lipton

From: Administration of Children’s Services

Your request FOIL-2019-067-00135 has been successfully submitted to the Administration for Children's Services (ACS).
The details of your request are shown below.

Request Title: Predictive analytics at NYC Administration for Children’s Services

Request Description: Please See attachment for description

Attached File: MR_83900.docx: MR_83900.docx (https://a860-openrecords.nyc.gov/response/804299)


Requester's Contact Information



Name:
Beryl Lipton

Title:
Not provided

Organization:
Not provided

Email:
requests@muckrock.com (mailto:requests@muckrock.com)

Phone Number:
Not provided

Fax Number:
Not provided

Street Address (line 1):
Not provided

Street Address (line 2):
Not provided

City:
Not provided

State:
Not provided

Zip Code:
Not provided

You can view the request and take any necessary action at the following webpage: https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has acknowledged your FOIL request FOIL-2019-067-00135. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)
You can expect a response on or about Tuesday, January 7, 2020.

Additional Information:
Please be advised that we are processing your request which includes searching for what, if any, responsive documents exist. You may expect to receive a response on or about January 7, 2020. If we are unable to provide a substantive response on that date, we will provide a time frame of when the response will be complete.

Please visit FOIL-2019-067-00135 to view additional information and take any necessary action. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)
Request Information:
Request Title: Predictive analytics at NYC Administration for Children’s Services
Request Description: Please See attachment for description

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has extended the time to respond to your FOIL request FOIL-2019-067-00135 for the following reasons: (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)
You can expect a response on or about Friday, April 10, 2020.

Additional Information:
Public Officer's Law Section 89(3)(a) states that where a determination cannot be made within twenty days, the agency may provide a date certain within a reasonable period, depending on the circumstances, by which a determination will be made. According to FOIL, circumstances for determining a reasonable period include available staffing and complexity of pending FOIL requests. Based on other complicated FOIL requests currently being handled, ACS needs additional time to complete your request. ACS anticipates responding on or about April 10, 2020.

Please visit FOIL-2019-067-00135 to view additional information and take any necessary action. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)
Request Information:
Request Title: Predictive analytics at NYC Administration for Children’s Services
Request Description: Please See attachment for description

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has extended the time to respond to your FOIL request FOIL-2019-067-00135 for the following reasons: (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135) You can expect a response on or about Tuesday, June 9, 2020.

Additional Information:
Based on the nature of other complicated FOIL requests currently being handled, along with the information to be reviewed and analyzed in this request, ACS needs additional time to complete review of responsive records and respond to this request.

Please visit FOIL-2019-067-00135 to view additional information and take any necessary action. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has extended the time to respond to your FOIL request FOIL-2019-067-00135 for the following reasons: (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135) You can expect a response on or about Friday, August 7, 2020.

Additional Information:
Based on the complexity of the information to be reviewed and analyzed in this FOIL request, along with the nature of other complicated FOIL requests currently being handled, ACS needs additional time to complete review and analysis of responsive records and respond to this request. ACS anticipates responding to your request on or before Friday, August 7 2020

Please visit FOIL-2019-067-00135 to view additional information and take any necessary action. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has provided additional information about your Freedom of Information Law (FOIL) ID number FOIL-2019-067-00135. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135) A file in request FOIL-2019-067-00135 is available for you to view. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)

Link to file: 1._Memorandum_of_Understanding_Between_The_New_York_City_Administration_for_Childrens_Services_and_The_City_University_of_New_York.pdf (https://a860-openrecords.nyc.gov/response/1152445)

  • 1._Memorandum_of_Understanding_Between_The_New_York_City_Administration_for_Childrens_Services_a.pdf

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has provided additional information about your Freedom of Information Law (FOIL) ID number FOIL-2019-067-00135. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135) A file in request FOIL-2019-067-00135 is available for you to view. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)

Link to file: 2._Building_Capacity_to_Use_Predictive_Analytic_Modeling_in_Child_Welfare_May_24_2016.pdf (https://a860-openrecords.nyc.gov/response/1152447)

  • 2._Building_Capacity_to_Use_Predictive_Analytic_Modeling_in_Child_Welfare_May_24_2016.pdf

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has provided additional information about your Freedom of Information Law (FOIL) ID number FOIL-2019-067-00135. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135) A file in request FOIL-2019-067-00135 is available for you to view. (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)

Link to file: 3._NYU_Collaborating_Organization_Statement_of_Intent.pdf (https://a860-openrecords.nyc.gov/response/1152446)

  • 3._NYU_Collaborating_Organization_Statement_of_Intent.pdf

From: Administration of Children’s Services

The Administration for Children's Services (ACS) has closed your FOIL request FOIL-2019-067-00135 for the following reasons: (https://a860-openrecords.nyc.gov/request/view/FOIL-2019-067-00135)

* Your request for records pursuant to the New York Freedom of Information Law (FOIL) has been reviewed and is granted in part and denied in part. ACS has uploaded, onto the OpenRecords portal, the following three (3) documents: 1. Memorandum of Understanding Between The New York City Administration for Children’s Services and The City University of New York, 2. Building Capacity to Use Predictive Analytic Modeling in Child Welfare (May 24, 2016) and 3. NYU Collaborating Organization Statement of Intent. Portions of these documents have been redacted: 1) Pursuant to New York State Public Officers Law § 87(2)(b) because the disclosure of the redacted information would “constitute an unwarranted invasion of personal privacy …” and 2) Pursuant to New York State Public Officers Law § 87(2)(d) because the redacted information was submitted to ACS “… by a commercial enterprise or derived from information obtained from a commercial enterprise and which if disclosed would cause substantial injury to the competitive position of the subject enterprise”.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Algorithm or Code” section of your request is denied in whole. Pursuant to New York State Public Officers Law § 87(2)(f), the requested records are exempt from disclosure because the disclosure of the records “could endanger the life or safety of any person.” See also Matter of Asian Am. Legal Defense & Educ. Fund v NY City Police Dept., 125 A.D.3d 531 (1 st Dept. 2015); Matter of Bellamy v NY City Police Dept., 87 A.D.3d 874 (1 st Dept. 2011).
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Input Data” section of your request is denied in whole. Pursuant to New York Public Officers Law § 87(2)(a), the request for the five most recent sets of data that were used for input and five most recent outputs is denied because the records “are specifically exempted from disclosure by state or federal statute.” The records you requested are exempt from disclosure pursuant to New York Social Services Law § 422. In addition, these records are deemed confidential and cannot be redacted. Matter of NY Civ. Liberties Union v NY City Police Dept., 32 N.Y.3d 556 (2018). Pursuant to New York Public Officers Law § 87(2)(g), the request for the description of input and output data fields that will aid in understanding the type of information that is submitted to the software and that is produced by the software is being withheld pursuant to Public Officer’s Law §87(2)(g) as Intra-Agency and Inter-Agency material that does not fall within the enumerated exceptions.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Audits, Reports and Validation Studies” section of your request is denied in whole. The request for the audit records, annual reports, reports to legislative bodies, misuse reports and reports to oversight bodies is denied. After a diligent search, ACS did not locate any such records responsive to your request. Pursuant to New York Public Officers Law § 87(2)(g), the request for all impact and validation studies and any records pertaining to inquiries for the need of validation studies or discussion of potential or actual validation studies is being withheld pursuant to Public Officer’s Law §87(2)(g) as Intra-Agency and Inter-Agency material that does not fall within the enumerated exceptions .
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Agreements and Contracts” section of your request is granted in part and denied in part. The request for data sharing agreements, insurance agreement, intergovernmental services agreements, licensing agreement, nondisclosure agreements, informal agreements, insurance agreements, liability waivers and warranties are denied. After a diligent search, ACS did not locate any such records responsive to your request, other than those already provided. The request for all contracts and memorandums of understanding is granted in whole. The records responsive to this request are included in the documents named: 1. Memorandum of Understanding Between The New York City Administration for Children’s Services and The City University of New York, 2. Building Capacity to Use Predictive Analytic Modeling in Child Welfare (May 24, 2016) and 3. NYU Collaborating Organization Statement of Intent.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Bidding and Procurement” section of your request is denied in whole. The request for relevant Requests for Expressions of Interest, Requests for Proposal (or equivalent calls for bids), responses to Requests for Expressions of Interest, letters of interest, responses to Requests for Proposal, sole source or limited source justification and approval documentation, documentation of selection and other materials generated in the consideration and selection of the technology in question is denied. After a diligent search, ACS did not locate any such records responsive to your request, other than those already provided.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Financial and Funding Materials” section of your request is granted in part and denied in part. The request for funding opportunity announcements, grant applications, grantor status/progress reports, purchase orders and invoices are denied. After a diligent search, ACS did not locate any such records responsive to your request, other than those already provided. The request for other memoranda and documentation related to the payment or cost (or lack thereof) of the “software” and related technology, personnel, equipment, or other elements concerning this “software” or program is granted in whole. After diligent search, the records responsive to this request are included in the documents named: 1. Memorandum of Understanding Between The New York City Administration for Children’s Services and The City University of New York, 2. Building Capacity to Use Predictive Analytic Modeling in Child Welfare (May 24, 2016) and 3. NYU Collaborating Organization Statement of Intent.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Instructional Materials and Training” section of your request is denied in whole. Pursuant to New York Public Officers Law § 87(2)(g), the request for notes taken during meetings that discussed the use of the software, any explanations (whether generated internally or externally) of how the software works, and any other document that has been used to help explain the use of “the software” to any party, including internal documentation, public relations materials, and executive summaries is denied because the records are being withheld pursuant to Public Officer’s Law §87(2)(g) as Intra-Agency and Inter-Agency material that does not fall within the enumerated exceptions . The request for training material governing the use, sharing or access to the “software” or any data related to or collected by the face recognition software/technology is denied. After a diligent search, ACS did not locate any such records responsive to your request. The request for the description of input and output data fields that will aid in understanding the type of information that is submitted to the software and that is produced by the software is denied. This request is a duplicate of the request that was denied in the “Input Data” section of this request.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Privacy Assessments” section of your request is denied in whole. After a diligent search, ACS did not locate any such records responsive to your request, other than those already provided.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Use Policies” section of your request is denied in whole. After a diligent search, ACS did not locate any such records responsive to your request.
* The request for records, related to the predictive or automated analysis software or program referenced in an October 30, 2018 ACS press release, listed in the “Communication and Marketing Materials” section of your request is denied in whole. After a diligent search, ACS did not locate any such records responsive to your request, other than those already provided.
You may appeal the decision to deny access to material that was redacted in part or withheld in entirety by contacting the agency's FOIL Appeals Officer: FOILAppeal@acs.nyc.gov within 30 days. (mailto:FOILAppeal@acs.nyc.gov?subject=FOIL-2019-067-00135%20-%20Appeal)

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  • 2._Building_Capacity_to_Use_Predictive_Analytic_Modeling_in_Child_Welfare_May_24_2016.pdf

  • 1._Memorandum_of_Understanding_Between_The_New_York_City_Administration_for_Childrens_Services_a.pdf

  • 3._NYU_Collaborating_Organization_Statement_of_Intent.pdf