Your Right to Federal Records Questions and Answers on the Freedom of Information Act and the Privacy Act 1992 Introduction This brochure provides basic guidance about the Freedom of Information Act (FOIA) and the Privacy Act of 1974. A question-and-answer format is used to present information about these laws in a clear, simple manner to assist members of the public in exercising their rights. This publication is not intended to be a comprehensive treatment of the complex issues associated with the FOIA and the Privacy Act. The questions answered in this brochure are those frequently asked by persons who contact the Federal Information Center (FIC) for information on the FOIA and the Privacy Act. The answers were compiled by the FIC and the Consumer Information Center (CIC) of the U.S. General Services Administration. They were reviewed by the Department of Justice, the agency responsible for coordinating administration of the FOIA and encouraging agency compliance. The Office of Management and Budget, which has a similar responsibility for the Privacy Act, reviewed the answers to questions on the Privacy Act. The FOIA, enacted in 1966, generally provides that any person has a right of access to federal agency records. This right of access is enforceable in court except for those records that are protected from disclosure by the nine exemptions to the FOIA, which are discussed in the text. Closely related to the Freedom of Information Act is the Privacy Act, another federal law regarding federal government records. The Privacy Act establishes certain controls over how the executive branch agencies of the federal government gather, maintain, and disseminate personal information. The Privacy Act can also be used to obtain access to information, but it pertains only to records the federal government keeps on individual citizens and lawfully admitted resident aliens. The FOIA, on the other hand, covers all records under the custody and control of federal executive branch agencies. This brochure contains information about the most significant provisions of the FOIA and the Privacy Act. We hope you find it helpful. The Freedom of Information Act What information is available under the FOIA? The FOIA provides access to all federal agency records (or portions of those records) except those which are protected from release by nine specific exemptions (reasons an agency may withhold records from a requester). The exemptions cover such material as (1) classified national defense and foreign relations information, (2) internal agency personnel rules and practices, (3) material prohibited from disclosure by another law, (4) trade secrets and other confidential business information, (5) certain inter-agency or intra-agency communications, (6) personnel, medical, and other files involving personal privacy, (7) certain records compiled for law enforcement purposes, (8) matters relating to the supervision of financial institutions, and (9) geological information on oil wells. The Freedom of Information Act, as most recently amended in 1986, is printed in its entirety later in the text. The FOIA does not apply to Congress or the courts, nor does it apply to records of state or local governments. However, nearly all state governments have their own FOIA-type statutes. You may request information about a state's law by writing the attorney general of the state. The FOIA does not require a private organization or business to release any information directly to the public, whether it has been submitted to the government or not. However, information submitted by private firms to the federal government may be available through a FOIA request provided that the information is not a trade secret, confidential business information, or protected by some other exemption. Under the FOIA, you may request and receive a copy of any record that is in an agency's official files and is not covered by one of the exemptions. For example, suppose you have heard that a certain toy is being investigated as a safety hazard and you want to know the details. In this case, the Consumer Product Safety Commission could probably help you. Perhaps you want to read the latest inspection report on conditions at a nursing home certified for Medicare. Your local Social Security office keeps such records on file. Or, you might want to know if the Federal Bureau of Investigation has a file that includes you. In all these examples, you may use the FOIA to request information from the appropriate federal agency. (See discussion below on how to find the right agency and address.) When you make a FOIA request, you must describe the material you want as specifically as possible. If the agency cannot identify what you have requested with a reasonable amount of effort, it is under no obligation to you. The FOIA does not require agencies to do research for you, to compile or analyze data, or to answer questions. Whom do I contact in the federal government with my request? How do I get the right address? No one office handles all FOIA requests. Each request for information must be made to the particular agency that has the records sought. For example, if you want to know about an investigation of motor vehicle defects, write to the Department of Transportation. If you want information about a work-related accident at a nearby job site or manufacturing plant, write to the Department of Labor (at its office in the region where the accident occurred). Some of the larger departments and agencies have several Freedom of Information offices. Some have one for each major bureau or component; others have one for each region of the country. You may have to do a little research to find the proper office to handle your inquiry, but you will save time in the long run if you send your request directly to the appropriate office. For assistance, you can contact the Federal Information Center (FIC). With telephone numbers throughout the country, the FIC is specially prepared to help you find the right agency, the right office, and the right address. The FIC is administered by the U.S. General Services Administration. See later text for information on how to contact the FIC. Also, a booklet called the Consumer's Resource Handbook tells what federal agencies are responsible for specific consumer problems and where to write for assistance. (The Handbook is free; to order, send your name and address to: Handbook, Pueblo, CO 81009). The U.S. Government Manual, the official handbook of the federal government, may also be useful. It describes the programs within each federal agency and lists the names of top personnel and agency addresses. The Manual is available at most public libraries or can be purchased from the Superintendent of Documents. (Ordering instructions appear later in the text). How do I request information under the FOIA? When you get the agency's name and address, write a letter of request to the agency's Freedom of Information Office. (Note on the envelope and at the top of the letter "Freedom of Information Act Request.") Identify the records you want as accurately as possible. Although you do not have to give the document's name or title, your request must reasonably describe the records sought. Any facts or clues which you can furnish about the time, place, persons, events, subjects, or other details of the information or records you seek will be helpful to agency personnel in deciding where to search and in determining which records pertain to your request. This can save you and the government time and money and also improve your prospects for getting what you want. A sample request is shown below. Keep a copy of your request. You may need it in the event of an appeal or if your original request is not answered. If you are not sure whether the information you want falls under one of the nine exemptions, you may request it anyway. It might help your case to state your reason(s) for such a request, even though the FOIA does not require you to do so. (A requester should, however, always provide the reason(s) for requesting a waiver of fees.) Agencies usually have discretion to release material that falls under these exemptions. Stating your reason(s) for a request may persuade an agency to give you access to records it might otherwise deny as legally exempt. In addition, giving reasons for a request might help the agency to locate information which is useful to you. What about costs for getting records under the FOIA? An agency may charge only for the actual cost of searching for the material and the cost of making copies for you. Search fees usually range from $10 to $30 per hour; the rates generally reflect salary levels of the personnel needed for the search. The charge for copying letter-size and legal-size pages can be as much as 25 cents apiece, but 10 cents per page is common in most agencies. Actual costs can vary from agency to agency. For noncommercial requests, agencies will not charge for the first two hours of search time or for the first 100 pages of photocopies. Agencies also will waive further charges if the total cost is minimal. If fees are charged, you may receive a waiver or reduction of fees if you request it and can show that the information you are seeking will, when released, contribute significantly to the public understanding of the operations or activities of the government. How long will it take to answer my request? Federal agencies are required to answer your request for information within 10 working days of receipt (excluding Saturdays, Sundays, and holidays). If you have not received a reply by the end of that time (be sure to allow for mailing time), you may write a follow-up letter or telephone the agency to ask about the delay. Sometimes an agency may need more than 10 working days to find the records, examine them, possibly consult other persons or agencies, and decide whether it will disclose the records requested. If so, the agency is required to inform you before the deadline. Agencies have the right to extend this period up to 10 more working days. A few agencies, particularly law enforcement agencies, receive large numbers of requests, some of which involve massive numbers of pages or require particular care to process correctly. If an agency has a backlog of requests that were received before yours and has assigned a reasonable portion of its staff to work on the backlog, the agency usually will handle requests on a first-come, first-served basis and may not respond to all requests within the statutory period. What happens if the agency refuses to give me the information? An agency ordinarily will deny a FOIA request, in whole or in part, only if it has a serious practical problem with granting it, supported by a legal reason for denial (an exemption). If an agency denies your request, it must be able to prove that the information is covered by one of the nine exemptions listed in the Act. The agency must give you the reason (the exemption) for denial in writing and inform you of your right to appeal the decision. How do I appeal a denial? You should promptly send a letter notifying the agency that you want to appeal. Most agencies require that appeals be made within 30 to 45 days after you get a notification of denial. The denial letter should tell you to whom your appeal letter should be addressed. To appeal, simply ask the agency to review your FOIA request and change its decision. It is a good idea also to give your reason(s) for believing that the denial was wrong. Be sure you refer to all communications you have had on the matter. It will save time in acting on your appeal if you include copies of the original request for information and the agency's letter of denial. You do not need to enclose copies of any documents released to you. The agency has 20 working days after it receives your appeal letter to respond. Under certain circumstances, it may also take an extension of up to 10 working days. If, however, an agency took 10 extra days to deny your initial request, it would not be entitled to an extension on the appeal. What can I do if my appeal is rejected? If you are willing to invest the time and money, you may take the matter to court. You can file a FOIA lawsuit in the U.S. District Court where you live, where you have your principal place of business, where the documents are kept, or in the District of Columbia. In court, the agency will have to prove that the withheld records, or the withheld portions of them, are covered by one of the exemptions listed in the Act. If you win a substantial portion of your case, the court may require the government to pay court costs and reasonable attorney's fees for you. The Privacy Act What is the Privacy Act? The federal government compiles a wide range of information on individuals. For example, if you were ever in the military or employed by a federal agency, there should be records of your service. If you have ever applied for a federal grant or received a student loan guaranteed by the government, you are probably the subject of a file. There are records on every individual who has ever paid income taxes or received a check from Social Security or Medicare. The Privacy Act, passed by Congress in 1974, establishes certain controls over what personal information is collected by the federal government and how it is used. The Act guarantees three primary rights: (1) the right to see records about yourself, subject to the Privacy Act's exemptions, (2) the right to amend that record if it is inaccurate, irrelevant, untimely, or incomplete, and (3) the right to sue the government for violations of the statute including permitting others to see your records unless specifically permitted by the Act. It also provides for certain limitations on agency information practices, such as requiring that information about a person be collected from that person to the greatest extent practicable; requiring agencies to ensure that their records are relevant, accurate, timely, and complete; and prohibiting agencies from maintaining information describing how an individual exercises his or her First Amendment rights unless the individual consents to it, a statute permits it, or it is within the scope of an authorized law enforcement investigation. What information may I request under the Privacy Act? The Privacy Act applies only to documents about individuals maintained by agencies in the executive branch of the federal government. It applies to these records only if they are in a "system of records," which means they are retrieved by an individual's name, social security number, or some other personal identifier. In other words, the Privacy Act does not apply to information about individuals in records that are filed under other subjects, such as organizations or events, unless the agency also indexes and retrieves them by individual names or other personal identifiers. Like the FOIA, the Privacy Act mainly applies to records held by federal agencies. There are 10 exemptions to the Privacy Act under which an agency can withhold certain kinds of information from you. Examples of exempt records are those containing classified information on national security or those concerning criminal investigations. Another exemption often used by agencies is that which protects information that would identify a confidential source. For example, if an investigator questions a person about your qualifications for federal employment and that person agrees to answer only if his identity is protected, then his name or any information that would identify him can be withheld. The 10 exemptions are set out in the Act. If you are interested in more details, you should read the Privacy Act in its entirety. Though the Act is too lengthy to publish as part of this brochure, it is readily available. It is printed in the U.S. Code (Section 552a of Title 5), which can be found in many public and school libraries. You may also order a copy of the Privacy Act of 1974, Public Law 93-579, from the Superintendent of Documents. (Ordering instructions appear later in the text.) Whom do I contact in the federal government with my request? How do I get the right address? As with the FOIA, no one office handles all Privacy Act requests. To locate the proper agency to handle your request, follow the same guidelines as for the Freedom of Information Act. How do I know if an agency has a file on me? If you think a particular agency has a file pertaining to you, you may write to the Privacy Act Officer or head of the agency. Agencies are generally required to inform you, upon request, whether or not they have files on you. In addition, agencies are required to report publicly the existence of all systems of records they keep on individuals. The Office of the Federal Register publishes a listing of each agency's systems of records notices, including exemptions, as well as its Privacy Act regulations. The multi-volume work, Privacy Act Issuances Compilation, is updated every two years and can be found in most large reference and university libraries. How do I request information under the Privacy Act? Write a letter to the agency that you believe may have a file pertaining to you. Address your request to the Privacy Act Officer or head of the agency, such as "Secretary, Department of Health and Human Services." Be sure to write "Privacy Act Request" clearly on both the letter and the envelope. Most agencies require some proof of identity before they will give you your records. Therefore, it is a good idea to enclose proof of identity (such as a copy of your driver's license) with your full name and address. Do not send the original documents. Remember to sign your request for information, since your signature is a form of identification. (A notarized signature is better and is required by many agencies.) If an agency needs more proof of identity before releasing your files, it will let you know. Give as much information as possible as to why you believe the agency has records about you. The agency should process your request or contact you for additional information. What about costs for getting records under the Privacy Act? Under the Privacy Act, an agency can charge only for the cost of copying records for you, not for time spent locating them. How long will it take to answer my request? Under the terms of the Privacy Act, the agency is not required to reply to a request within a given period of time. However, most agencies have adopted the 10-day period in their regulations. If you do not receive any response within 4 weeks or so, you might wish to write again, enclosing a copy of your original request. What if I find that a federal agency has incorrect information about me in the files? The Privacy Act requires agencies maintaining personal information about individuals to keep complete, accurate, timely, and relevant files. If, after seeing your file, you believe that it contains incorrect information and should be amended, write to the agency official who released the record to you. Include all pertinent documentation for each change you are requesting. The agency will let you know if further proof is needed. The Act requires an agency to notify you of the receipt of such an amendment request within 10 working days of receipt. If your request for amendment is granted, the agency will tell you precisely what will be done to amend the record. You may appeal any denial. Even if an agency also denies your appeal, you have the right to submit a statement explaining why you think the record is wrong and the agency must attach your statement to the record involved. The agency must also tell you of your right to go to court and have a judge review the denial of your appeal. What can I do if I am denied information requested under the Privacy Act? There is no required procedure for Privacy Act appeals, but an agency should advise you of its own appeal procedure when it makes a denial. Should the agency deny your appeal, you may take the matter to court. If you win your case, you may be awarded court costs and attorney's fees. A Comparison of the Freedom of Information Act and the Privacy Act What is the relationship between FOIA and the Privacy Act? Although the two laws were enacted for different purposes, there is some similarity in their provisions. Both the FOIA and the Privacy Act give people the right of access to records held by agencies of the federal government. The FOIA's access rights are given to "any person," but the Privacy Act's access rights are only for the individual who is the subject of the records sought. The FOIA applies to all records of federal agencies. However, the Privacy Act applies only to federal agency records in "systems of records" which contain information about an individual and are retrieved by the use of a name or personal identifier. Each law has a somewhat different set of fees, time limits, and exemptions from its rights of access. If you request records about yourself under both laws, federal agencies may withhold the records from you only to the extent the records are exempt under both laws. If the information you want pertains to the activities of federal agencies or of another person, you should make your request under the FOIA, which covers all agency records. If the information you want is about yourself and you wish to avoid possible search fees, you should make the request under the Privacy Act, which covers most records of agencies that pertain to individuals. Sometimes you can use the FOIA to help you get records about yourself that are not in a Privacy Act "system of records." However, if the records you seek are covered only by the FOIA, you must "reasonably describe" them and you may be charged search fees. If you are in doubt about which law applies or would better suit your needs, you may refer to both in your request letter. Can I request information about other people? The FOIA contains a very important provision concerning personal privacy: Exemption 6. It protects you from others who may seek information about you, but it also may block you if you seek information about others. The FOIA's Exemption 6 permits an agency to withhold information about individuals if disclosing it would be a "clearly unwarranted invasion of personal privacy." This includes, for example, almost all of the information in medical files and much of the information in personnel files. The FOIA's Exemption 6 cannot be used to deny you access to information about yourself, only to deny you information about other persons. To be covered by Exemption 6, the information requested must be (1) about an identifiable individual, (2) an invasion of the individual's privacy if disclosed to others, and (3) "clearly unwarranted" to disclose. Release of information about an individual is considered an invasion of privacy if he or she could reasonably object because of its personal nature or its possible adverse effects upon himself or herself or family. But such information is not protected by Exemption 6 if the injury to the individual is outweighed by a public interest favoring disclosure. For example, home addresses are generally exempt from release for unspecified or random uses such as commercial solicitation, but are not exempt from release to state income tax authorities for state law enforcement. If you were seeking information about a federal employee's working status, an agency usually would disclose at least his or her name, grade, salary, job title, and permanent work location, but an agency will not usually disclose similar information about an employee of a private business. However, federal employees do receive some privacy protection. For example, if you want to see the details of an investigative report which led to an employee's demotion, an agency might decide that disclosure of these details is not justified on public interest grounds. This would be so even though the information generally would be available to the demoted employee. Other Sources of Information Consumer's Resource Handbook Published by the U.S. Office of Consumer Affairs, this comprehensive booklet tells consumers how to complain and get results. It lists the federal agencies which are responsible for resolving particular consumer problems and tells where help is available in state and local governments and private organizations. Single copies are free and may be obtained by writing to Handbook, Consumer Information Center, Pueblo, CO 81009. U.S. Government Manual This is the official handbook of the federal government. Published by the National Archives and Records Administration, it describes the programs in each federal agency, lists the names of top personnel, the mailing address, and a general information telephone number. It is available in most public libraries or can be purchased for $21.00 by sending a check or money order to the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. The Privacy Act of 1974 This Act gives citizens the right to see files about themselves, subject to its exemptions; to request an amendment if the record is incomplete, untimely, irrelevant, or inaccurate; and the right to sue the government for permitting others to see their files unless specifically permitted by the Act. A complete copy of the Privacy Act can be found as Section 552a of Title 5 of the U.S. Code. Or you may order a copy of the Privacy Act, Public Law 93-579, from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402, for $2.50. Please note stock number 022-003-90866-8. A Citizens Guide on Using the Freedom of Information Act and the Privacy Act of 1974 to Request Government Records This booklet, written by the Committee on Government Operations, U.S. House of Representatives, provides a much more detailed explanation of the Freedom of Information Act and the Privacy Act than this brochure. It may be purchased for $2.25 from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. Please note stock number 052-071-00929-9. Freedom of Information Act Guide and Privacy Act Overview This book is updated annually by the Justice Department's Office of Information and Privacy. It contains the "Justice Department's Guide to the Freedom of Information Act," a comprehensive summary of the law which includes a discussion of the nine FOIA exemptions and its most important procedural aspects. The "Privacy Act Overview," which is prepared in coordination with the Office of Management and Budget, is an overview discussion of the provisions of the Privacy Act. You may order a copy from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. Freedom of Information Case List This book, updated annually by the Justice Department's Office of Information and Privacy, contains up-to-date lists of cases under the Freedom of Information Act, the Privacy Act, the Government in the Sunshine Act, and the Federal Advisory Committee Act. The book includes the texts of those four statutes and a list of related law review articles. You may order a copy from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. FOIA Update This newsletter of information and guidance for federal agencies, published quarterly by the Justice Department's Office of Information and Privacy, is available from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. Please note stock number 727-002-00000-6. Annual subscription price: $5.00 domestic; $6.25 foreign. Federal Information Center The Federal Information Center serves metropolitan areas around the country. You may call the number for your area or state for aid in contacting the proper Federal agency with your Freedom of Information Act or Privacy Act request. If your area is not listed, please call (301) 722-9098. If you would prefer to write, please mail your inquiry to the Federal Information Center, P.O. Box 600, Cumberland, MD 21502. Users of Telecommunications Devices for the Deaf (TDD/TTY) may call toll-free from any point in the United States by dialing (800) 326-2996. Alabama Birmingham, Mobile (800) 366-2998 Alaska Anchorage (800) 729-8003 Arizona Phoenix (800) 359-3997 Arkansas Little Rock (800) 366-2998 California Los Angeles, San Diego San Francisco, Santa Ana (800) 726-4995 Sacramento (916) 973-1695 Colorado Colorado Springs Denver, Pueblo (800) 359-3997 Connecticut Hartford, New Haven (800) 347-1997 Florida Ft. Lauderdale, Jacksonville Miami, Orlando, St. Petersburg Tampa, West Palm Beach (800) 347-1997 Georgia Atlanta (800) 347-1997 Hawaii Honolulu (800) 733-5996 Illinois Chicago (800) 366-2998 Indiana Gary (800) 366-2998 Indianapolis (800) 347-1997 Iowa All locations (800) 735-8004 Kansas All locations (800) 735-8004 Kentucky Louisville (800) 347-1997 Louisiana New Orleans (800) 366-2998 Maryland Baltimore (800) 347-1997 Massachusetts Boston (800) 347-1997 Michigan Detroit, Grand Rapids (800) 347-1997 Minnesota Minneapolis (800) 366-2998 Missouri St. Louis (800) 366-2998 All other locations (800) 735-8004 Nebraska Omaha (800) 366-2998 All other locations (800) 735-8004 New Jersey Newark, Trenton (800) 347-1997 New Mexico Albuquerque (800) 359-3997 New York Albany, Buffalo, New York Rochester, Syracuse (800) 347-1997 North Carolina Charlotte (800) 347-1997 Ohio Akron, Cincinnati, Cleveland, Columbus, Dayton, Toledo (800) 347-1997 Oklahoma Oklahoma City, Tulsa (800) 366-2998 Oregon Portland (800) 726-4995 Pennsylvania Philadelphia, Pittsburgh (800) 347-1997 Rhode Island Providence (800) 347-1997 Tennessee Chattanooga (800) 347-1997 Memphis, Nashville (800) 366-2998 Texas Austin, Dallas, Fort Worth, Houston, San Antonio (800) 366-2998 Utah Salt Lake City (800) 359-3997 Virginia Norfolk, Richmond, Roanoke (800) 347-1997 Washington Seattle, Tacoma (800) 726-4995 Wisconsin Milwaukee (800) 366-2998 Text of the Freedom of Information Act 1.01 The Freedom Of Information Act, 5 U.S.C. 552, As Amended By Public Law No. 99-570, 1801-1804 (1986) Public information; agency rules, opinions, orders, records, and proceedings (a) Each agency shall make available to the public information as follows: (1) Each agency shall separately state and currently publish in the Federal Register for the guidance of the public-- (A) descriptions of its central and field organization and the established places at which, the employees (and in the case of a uniformed service, the members) from whom, and the methods whereby, the public may obtain information, make submittals or requests, or obtain decisions; (B) statements of the general course and method by which its functions are channeled and determined, including the nature and requirements of all formal and informal procedures available; (C) rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations; (D) substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by the agency; and (E) each amendment, revision, or repeal of the foregoing. Except to the extent that a person has actual and timely notice of the terms thereof, a person may not in any manner be required to resort to, or be adversely affected by, a matter required to be published in the Federal Register and not so published. For the purpose of this paragraph, matter reasonably available to the class of persons affected thereby is deemed published in the Federal Register when incorporated by reference therein with the approval of the Director of the Federal Register. (2) Each agency, in accordance with published rules, shall make available for public inspection and copying-- (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register; and (C) administrative staff manuals and instructions to staff that affect a member of the public; unless the materials are promptly published and copies offered for sale. To the extent required to prevent a clearly unwarranted invasion of personal privacy, an agency may delete identifying details when it makes available or publishes an opinion, statement of policy, interpretation, or staff manual or instruction. However, in each case the justification for the deletion shall be explained fully in writing. Each agency shall also maintain and make available for public inspection and copying current indexes providing identifying information for the public as to any matter issued, adopted, or promulgated after July 4, 1967, and required by this paragraph to be made available or published. Each agency shall promptly publish, quarterly or more frequently, and distribute (by sale or otherwise) copies of each index or supplements thereto unless it determines by order published in the Federal Register that the publication would be unnecessary and impracticable, in which case the agency shall nonetheless provide copies of such index on request at a cost not to exceed the direct cost of duplication. A final order, opinion, statement of policy, interpretation, or staff manual or instruction that affects a member of the public may be relied on, used, or cited as precedent by an agency against a party other than an agency only if-- (i) it has been indexed and either made available or published as provided by this paragraph; or (ii) the party has actual and timely notice of the terms thereof. (3) Except with respect to the records made available under paragraphs (1) and (2) of the subsection, each agency, upon any request for records which (A) reasonably describes such records and (B) is made in accordance with published rules stating the time, place, fees (if any), and procedures to be followed, shall make the records promptly available to any person. (4)(A)(i) In order to carry out the provisions of this section, each agency shall promulgate regulations, pursuant to notice and receipt of public comment, specifying the schedule of fees applicable to the processing of requests under the section and establishing procedures and guidelines for determining when such fees should be waived or reduced. Such schedule shall conform to the guidelines which shall be promulgated, pursuant to notice and receipt of public comment, by the Director of the Office of Management and Budget and which shall provide for a uniform schedule of fees for all agencies. (ii) Such agency regulations shall provide that-- (I) fees shall be limited to reasonable standard charges for document search, duplication, and review, when records are requested for commercial use; (II) fees shall be limited to reasonable standard charges for document duplication when records are not sought for commercial use and the request is made by an educational or noncommercial scientific institution, whose purpose is scholarly or scientific research; or a representative of the news media; and (III) for any request not described in (I) or (II), fees shall be limited to reasonable standard charges for document search and duplication. (iii) Documents shall be furnished without any charge or at a charge reduced below the fees established under clause (ii) if disclosure of the information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requester. (iv) Fee schedules shall provide for the recovery of only the direct costs of search, duplication, or review. Review costs shall include only the direct costs incurred during the initial examination of a document for the purposes of determining whether the documents must be disclosed under this section and for the purposes of withholding any portions exempt from disclosure under this section. Review costs may not include any costs incurred in resolving issues of law or policy that may be raised in the course of processing a request under this section. No fee may be charged by any agency under this section-- (I) if the cost of routine collection and processing of the fee are likely to equal or exceed the amount of the fee; or (II) for any request described in clause (ii)(II) or (III) of this subparagraph for the first two hours of search time or for the first one hundred pages of duplication. (v) No agency may require advance payment of any fee unless the requester has previously failed to pay fees in a timely fashion, or the agency has determined that the fee will exceed $250. (vi) Nothing in this subparagraph shall supersede fees chargeable under a statute specifically providing for setting the level of fees for particular types of records. (vii) In any action by a requester regarding the waiver of fees under this section, the court shall determine the matter de novo, provided that the courts review of the matter shall be limited to the record before the agency. (B) On complaint, the district court of the United States in the district in which the complainant resides, or has his principal place of business, or in which the agency records are situated, or in the District of Columbia, has jurisdiction to enjoin the agency from withholding agency records and to order the production of any agency records improperly withheld from the complainant. In such a case the court shall determine the matter de novo, and may examine the contents of such agency records in camera to determine whether such records or any part thereof shall be withheld under any of the exemptions set forth in subsection (b) of this section, and the burden is on the agency to sustain its action. (C) Notwithstanding any other provision of law, the defendant shall serve an answer or otherwise plead to any complaint made under this subsection within thirty days after service upon the defendant of the pleading in which such complaint is made, unless the court otherwise directs for good cause shown. (D) [Except as to cases the court considers of greater importance, proceedings before the district court, as authorized by this subsection, and appeals therefrom, take precedence on the docket over all cases and shall be assigned for hearing and trial or for argument at the earliest practicable date and expedited in every way.] Repealed. Pub. L. 98-620, Title IV, 402(2), Nov. 8, 1984, 98 Stat. 3335, 3357. (E) The court may assess against the United States reasonable attorney fees and other litigation costs reasonably incurred in any case under this section in which the complainant has substantially prevailed. (F) Whenever the court orders the production of any agency records improperly withheld from the complainant and assesses against the United States reasonable attorney fees and other litigation costs, and the court additionally issues a written finding that the circumstances surrounding the withholding raise questions whether agency personnel acted arbitrarily or capriciously with respect to the withholding, the Special Counsel shall promptly initiate a proceeding to determine whether disciplinary action is warranted against the officer or employee who was primarily responsible for the withholding. The Special Counsel, after investigation and consideration of the evidence submitted, shall submit his findings and recommendations to the administrative authority of the agency concerned and shall send copies of the findings and recommendations to the officer or employee or his representative. The administrative authority shall take the corrective action that the Special Counsel recommends. (G) In the event of noncompliance with the order of the court, the district court may punish for contempt the responsible employee, and in the case of a uniformed service, the responsible member. (5) Each agency having more than one member shall maintain and make available for public inspection a record of the final votes of each member in every agency proceeding. (6)(A) Each agency, upon any request for records made under paragraph (1), (2), or (3) of this subsection, shall-- (i) determine within ten days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of any such request whether to comply with such request and shall immediately notify the person making such request of such determination and the reasons therefor, and of the right of such person to appeal to the head of the agency any adverse determination; and (ii) make a determination with respect to any appeal within twenty days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of such appeal. If on appeal the denial of the request for records is in whole or in part upheld, the agency shall notify the person making such request of the provisions for judicial review of that determination under paragraph (4) of this subsection. (B) In unusual circumstances as specified in this subparagraph, the time limits prescribed in either clause (i) or clause (ii) of subparagraph (A) may be extended by written notice to the person making such request setting forth the reasons for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days. As used in this subparagraph, "unusual circumstances" means, but only to the extent reasonably necessary to the proper processing of the particular request-- (i) the need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request; (ii) the need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or (iii) the need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request or among two or more components of the agency having substantial subject-matter interest therein. (C) Any person making a request to any agency for records under paragraph (1), (2), or (3) of this subsection shall be deemed to have exhausted his administrative remedies with respect to such request if the agency fails to comply with the applicable time limit provisions of this paragraph. If the Government can show exceptional circumstances exist and that the agency is exercising due diligence in responding to the request, the court may retain jurisdiction and allow the agency additional time to complete its review of the records. Upon any determination by an agency to comply with a request for records, the records shall be made promptly available to such person making such request. Any notification of denial of any request for records under this subsection shall set forth the names and titles or positions of each person responsible for the denial of such request. (b) This section does not apply to matters that are-- (1)(A) specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy and (B) are in fact properly classified pursuant to such Executive order; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute (other than section 552b of this title), provided that such statute (A) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (B) establishes particular criteria for withholding or refers to particular types of matter to be withheld; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency; (6) personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; (7) records or information compiled for law enforcement purposes, but to the extent that the production of such law enforcement records or information (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency or authority or any private institution which furnished information on a confidential basis, and, in the case of a record or information compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, information furnished by a confidential source, (E) 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, or (F) could reasonably be expected to endanger the life or physical safety of any individual; (8) contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or (9) geological and geophysical information and data, including maps, concerning wells. Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection. (c)(1) Whenever a request is made which involves access to records described in subsection (b)(7)(A) and-- (A) the investigation or proceeding involves a possible violation of crimina law; and (B) there is reason to believe that (i) the subject of the investigation or proceeding is not aware of its pendency, and (ii) disclosure of the existence of the records could reasonably be expected to interfere with enforcement proceedings, the agency may, during only such time as that circumstance continues, treat the records as not subject to the requirements of this section. (2) Whenever informant records maintained by a criminal law enforcement agency under an informant's name or personal identifier are requested by a third party according to the informants name or personal identifier, the agency may treat the records as not subject to the requirements of the section unless the informant's status as an informant has been officially confirmed. (3) Whenever a request is made which involves access to records maintained by the Federal Bureau of Investigation pertaining to foreign intelligence or counterintelligence, or international terrorism, and the existence of the records is classified information as provided in subsection (b)(1), the Bureau may, as long as the existence of the records remains classified information, treat the records as not subject to the requirements of this section. (d) This section does not authorize withholding of information or limit the availability of records to the public, except as specifically stated in this section. This section is not authority to withhold information from Congress. (e) On or before March 1 of each calendar year, each agency shall submit a report covering the preceding calendar year to the Speaker of the House of Representatives and President of the Senate for referral to the appropriate committees of the Congress. The report shall include-- (1) the number of determinations made by such agency not to comply with requests for records made to such agency under subsection (a) and the reasons for each such determination; (2) the number of appeals made by persons under subsection (a)(6), the result of such appeals, and the reason for the action upon each appeal that results in a denial of information; (3) the names and titles or positions of each person responsible for the denial of records requested under this section, and the number of instances of participation for each; (4) the results of each proceeding conducted pursuant to subsection (a)(4)(F), including a report of the disciplinary action taken against the officer or employee who was primarily responsible for improperly withholding records or an explanation of why disciplinary action was not taken; (5) a copy of every rule made by such agency regarding this section; (6) a copy of the fee schedule and the total amount of fees collected by the agency for making records available under this section; and (7) such other information as indicates efforts to administer fully this section. The Attorney General shall submit an annual report on or before March 1 of each calendar year which shall include for the prior calendar year a listing of the number of cases arising under this section, the exemption involved in each case, the disposition of such case, and the cost, fees, and penalties assessed under subsections (a)(4)(E), (F), and (G). Such report shall also include a description of the efforts undertaken by the Department of Justice to encourage agency compliance with this section. (f) For purposes of this section, the term "agency" as defined in section 551(1) of this title includes any executive department, military department, Government corporation, Government controlled corporation, or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent regulatory agency. * * * * * Effective Dates: (a) The amendments made by section 1802 [the modification of Exemption 7 and the addition of the new subsection (c)] shall be effective on the date of enactment of this Act [October 27, 1986], and shall apply with respect to any requests for records, whether or not the request was made prior to such date, and shall apply to any civil action pending on such date. (b)(1) The amendments made by section 1803 [the new fee and fee waiver provisions] shall be effective 180 days after the date of the enactment of this Act [April 25, 1987], except that regulations to implement such amendments shall be promulgated by such 180th day. (2) The amendments made by section 1803 shall apply with respect to any requests for records, whether or not the request was made prior to such date, and shall apply to any civil action pending on such date, except that review charges applicable to records requested for commercial use shall not be applied by an agency to requests made before the effective date specified in paragraph (1) of this subsection or before the agency has finally issued its regulations. Sample FOIA Request Letter Date Agency Head or FOIA Officer Name of agency or agency component Address (see discussion above on whom to contact) Dear __________: Under the Freedom of Information Act, 5 U.S.C. subsection 552, I am requesting access to, or copies of [identify the records as clearly and specifically as possible]. If there are any fees for copying or searching for the records, please let me know before you fill my request. [Or, please supply the records without informing me of the cost if the fees do not exceed $ ______, which I agree to pay.] Optional: I am requesting this information because [state the reason(s) if you think it will help you obtain the information]. If you deny all or any part of this request, please cite each specific exemption you think justifies your refusal to release the information and notify me of appeal procedures available under the law. Optional: If you have any questions about handling this request, you may telephone me at __________(home phone) or at ___________(office phone). Sincerely, Name Address