----------------------------------------------------------------------- PLEASE DO NOT BREAK THIS FILE UP INTO SMALLER SECTIONS FOR ANY REASON ----------------------------------------------------------------------- Filename: FOIA-PA.DOC (FOIA-PA.ZIP) Type : Document Author : Unknown Date : 09/20/91 Desc : Citizen's Guide to the FOIA and the Privacy Act Note : With Appendix and Address Listings (Approx: 60 Pages overall) ----------------------------------------------------------------------- G O V E R M E N T R E C O R D S A N D P R I V A C Y ----------------------------------------------------------------------- A Citizen's Guide on Using the Freedom of Information Act and the Privacy Act of 1974 to Request Government Records INTRODUCTION: ------------- A popular Government without popular information or the means of acquiring it, is but a Prologue to a Farce or a Tragedy or perhaps both. Knowledge will forever govern ignorance, and a people who mean to be their Governors, must arm themselves with the power knowledge gives. - James Madison The Freedom of Information Act (FOIA) established a presumption that records in the possession of agencies and departments of the Executive Branch of the United States government are accessible to the people. This was not always the approach to the federal information disclosure policy. Before enactment of the Freedom of Information Act in 1966, the burden was on the individual to establish a right to examine these government records. There were statutory guidelines or procedures to help a person seeking information. There judicial remedies for those denied access. With the passage of the FOIA, the burden of proof shifted from the individual to the government. Those seeking information are no longer required to show a need for information. Instead, the "need to know" standard has been replaced by a "right to know" doctrine. The government now has to justify the need for secrecy. The FOIA sets standards for determining which records must be made available for public inspection and which records can be withheld from disclosure. The law also provides administrative and judicial remedies for those denied access to records. Above all, the statute requires federal agencies to provide the fullest possible disclosure of information to the public. The Privacy Act of 1974 is a companion to the FOIA. The Privacy Act regulates federal government agency record keeping and disclosure practices. The Act allows most individuals to seek access records about themselves. The Act requires that personal information in agency files be accurate, complete, relevant, and timely. The Act allows the subject of a record to challenge the accuracy if the information. The Act requires that agencies obtain information directly from the subject of the record and that information gathered for one purpose not be used for another purpose. As with the FOIA, the Privacy Act provides civil remedies for individuals whose rights have been violated. Another important feature of the Privacy Act is the requirement that each federal agency publish a description of each system of records maintained by the agency that contains personal information. This prevents agencies from keeping secret records. The Privacy Act also restricts the disclosure of personally identifiable information by federal agencies. Together with the FOIA, the Privacy Act permits disclosure of most personal files to the individual who is the subject of the files. The two laws restrict disclosure of personal information to others when disclosure would violate privacy interests. While both the FOIA and the Privacy Act encourage the disclosure of agency records, both laws also recognize the legitimate need to restrict disclosure of some information. For example, agencies may withhold information classified in the interest of national security or foreign policy, trade secrets, and criminal investigatory files. Other specifically defined categories of confidential information may also be withheld. The essential feature of both laws is that they make federal agencies accountable for information disclosure policies and practices. While neither laws grant an absolute right to examine government documents, both laws provide a right to request records and to receive a response to the request. If a request record cannot be released, the requester has a right to appeal the denial and, if necessary, to challenge it in court. These procedural rights granted by the FOIA and the Privacy Act make the laws valuable and workable. The disclosure of governmental information cannot be controlled by arbitrary or unreviewable actions. WHICH ACT TO USE: ----------------- The access provisions of the FOIA and the Privacy Act overlap in part. The two laws have different procedures and different exemptions. As a result, sometimes information exempt under one law will be disclosed under the other. In order to take maximum advantage of the laws, and individual seeking information about himself or herself should normally cite both laws. Requests by an individual for information that does not relate solely to himself or herself should be made under the FOIA. Congress intended that the two laws be considered together in the processing of requests for information. Many government agencies will automatically handle requests from individuals in a way that will maximize the amount that is disclosable. However, a requester should still make a request in a manner that is most advantageous and that fully protects all available legal rights. A requester who has any doubts about which law to use should always site both the FOIA and the Privacy Act when seeking documents from the federal government. THE SCOPE OF THE FREEDOM OF INFORMATION ACT: -------------------------------------------- The federal Freedom of Information Act applies to documents held by agencies in the executive branch of the federal government. The executive branch includes cabinet departments, military departments, government corporations, government controlled corporations, independent regulatory agencies, and other establishments of the executive branch. The FOIA does not apply to elected officials of the federal government, including the President, Vice President, Senators, and Congressmen, or the federal judiciary. The FOIA also does not apply to private companies; persons who receive who received federal contracts or grants; tax-exempt organizations; or state or local governments. All states and some localities have passed laws like the FOIA that allow people to request access to records. In addition, there are other federal and state laws that may permit access to documents held by organizations not covered by the FOIA. WHAT RECORDS CAN BE REQUESTED UNDER FOIA: ---------------------------------------- The FOIA requires agencies to publish or make available some types of information. This includes: (1) Description of agency organization and office addresses; (2) statement of the general course and method of agency operation; (3) rules of procedure and descriptions of forms; (4) substantive rules of general applicability and general policy statements; (5) final opinions made in the adjudication of cases; and (6) administrative staff manuals that affect the public. This information must either be published or made available for inspection and copying without the formality of an FOIA request. All other "agency records" may be requested under the FOIA. However, the FOIA does not define "agency record." Material that is in the possession, custody, or control of an agency is usually considered to be an agency record under the FOIA. Personal notes of agency employees may not be agency record. A record that is not an "agency record" will not be available under the FOIA. The form in which a record is maintained by an agency does not affect its availability. A request may seek a printed or typed document, tape recording map, computer print out, computer tape, or similar item. Of course, not all records that can be requested must be disclosed. Information that is exempt from disclosure is described below in the section entitled "Reasons Access May be Denied Under the FOIA." The FOIA carefully provides that a requester may ask for records rather than information. This means that an agency is only required o look for an existing record or document in response to an FOIA request. An agency is not obliged to create a new record to comply with a request. An agency is not required to collect information it does not have. Nor must an agency do research or analyze data for a requester. Requesters may ask for existing records. Requests may have to be carefully written in order to obtain the information that is desired. Sometimes, an agency will help a requester identify the specific document that contains the information being sought. Other times, a requester may need to be creative when writing an FOIA request in order to identify an existing document or set of documents containing the desired information. There is a second general limitation on FOIA requests. The law requires that each request must reasonably describe the records being sought. This means that a request must be specific enough to permit a professional employee of the agency who is familiar with the subject matter to locate the record in a reasonable period of time. Because different agencies organized and index records in different ways, one agency may consider a request to be reasonably descriptive while another agency may reject a similar request as too vague. For example, the federal Bureau of Investigation has a central index for its primary record system. As a result, the FBI is able to search for records about a specific person. However, agencies that do not maintain a central name index may be unable to conduct the same type of search. These agencies may reject a similar request because the request does not describe records that can be identified. Requesters should make their requests as simple as possible. If a specific document is required, it should be identified as precisely as possible, preferably by date and title. However, a request does not have to be that specific. A requester who cannot identify a specific record should clearly explain his or her needs. A requester should make sure, however, that the request is broad enough to cover the information that is needed. For example, assume that a requester wants to obtain a list of toxic sites near his home. A request to the Environmental Protection Agency for all records on toxic waste would cover many more records than are needed. The fees for such a request might be very high, and it is possible that the request might be rejected as too vague. A request for al toxic waste sites within three miles of a particular address is very specific. But is unlikely that EPA would have an existing record containing data organized in that fashion. As a result, the request might be denied because there is no existing record containing the information. The requester might do better to ask for a list of toxic waste sites in his city, county, or state. It is more likely that existing records might contain this information. The requester might also want to tell the agency in the request letter exactly what information is desired. The additional explanation will help the agency to find a record that meets the request. Many people include their phone numbers in their requests. Sometimes questions about the scope of a request can be resolves quickly when the agency employee and the requester talk. This is an efficient way to resolve questions that arise during the processing of FOIA requests. It is to everyone's advantage if requests areas precise and as narrow as possible. The requester benefits because the request can be processed faster and cheaper. The agency benefits because it can do a better job of responding to the request. The agency will also be able to use its scarce resources to respond to more requests. The FOIA works best when both the requester ad the agency act cooperatively. MAKING AN FOIA REQUEST: ----------------------- The first step in making a request under the FOIA is to identify the agency that has the records. An FOIA request must be addressed to a specific agency. There is no central governmental record office that services FOIA requests. Often, a requester knows beforehand which agency has the desired record. If not, a requester can consult a government directory such as the United States Government Manual. This manual has a complete list of all federal agencies, a description of agency functions, and the address of each agency. A requester who is uncertain about which agency has the records that are needed can make FOIA requests at more than one agency. All agencies normally require that FOIA requests be in writing. Letters requesting records under the FOIA can be short and simple. No one needs a lawyer to make an FOIA request. Appendix 1 of this guide contains a sample letter. The request letter should be addressed to the agency's FOIA officer or to the head of the agency. The envelope containing the written request should be marked "Freedom of Information Act Request" in the bottom left hand corner. There are three basic elements to an FOIA request letter. First, the letter should state that the request is being made under the Freedom of Information Act. Second, the request should identify the records that are being sought as specifically as possible. Third, the name and address of the requester must be included. In addition, in 1986 amendments to the FOIA, the fees chargeable vary with the status or purpose of the requester. As a result, the requester may have to provide additional information to permit the agency to determine the appropriate fees. Different fees can be charged to commercial users, representatives of the news media, educational and noncommercial scientific institutions, and individuals. The next section, "Fees and Fee Waivers", explains the new fee structure in more detail. There are several optional items that are often included in an FOIA request. The first is the telephone number of the requester. This permits an agency employee processing a request to talk with the requester if necessary. A second optional item is a limitation on the fees that the requester is willing to pay. It is common for requesters to br contacted if the charges will exceed a fixed amount. This allows a requester to modify or withdraw a request if the cost is too high. A third optional item sometimes included in an FOIA request is a request for waiver or reduction of fees. THe 1986 amendments waived or reduced the rules for fee waivers. Fees must be waived or reduced 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 request. Decisions about granting fee waives are separate from and different from decisions about the amount of fees that can be charged to requesters. Requesters should keep a copy of their request letter and related correspondence until the request has been fully resolved. FEES AND FEE WAIVERS: --------------------- FOIA requesters may have to pay fees covering some or all of the cost of processing their request. As amended in 1986, the law establishes three types of charges that may be imposed on requesters. The 1986 law makes the process of determining the applicable fees more complicated. However, the new rules reduce or eliminate entirely the cost for small, noncommercial requests. First, fees can be imposed to recover the cost od copying documents. All agencies have a fixed price for making copies using copying machines. Requesters are usually charged the actual cost of copying computer tapes, photographs, or other nonstandard documents. Second, fees can also be imposed to recover the cost of searching for documents. This includes the time spent looking for material responsive to a request. Requesters can minimize search charges by making clear, narrow, requests for identifiable documents wherever possible. Third, fees can be charged to recover review costs. Review is the process of examining documents to determine whether any portion is exempt from disclosure. Before the effective date of the 1986 amendments, no review charges were imposed on any requester. Effective April 25, 1987, review charges may be imposed on commercial requesters only. Review charges only include costs incurred during the initial examination of a document. An agency may not charge for any cost incurred in resolving issues of law or policy that may arise while processing a request. Different fees apply to different categories of requests. There are three basic groups of FOIA requesters. The first includes representatives of the news media, the educational or noncommercial scientific institutions whose purpose is scholarly or scientific research. Requesters in this category who are not seeking records for commercial use can only be billed for reasonable standard document duplication charges. A request for information from a representative of the news media is not considered to be for commercial use if the request is in support of a news gathering or dissemination function. The second group includes FOIA requesters seeking records for commercial use. Commercial use is not defined in the law, but generally includes profit making activities. Commercial users pay a reasonable standard charges for document duplication, search, and review. The third group of FOIA requesters includes everyone not included in either of the first two groups. People seeking information for their own use, public interest groups, and non-profit organizations are examples of requesters who fall into the third group. Charges for these requests are limited to reasonable standard charges for document duplication and search. No review charges may be imposed. The 1986 amendments did not change the fees charged to these requesters. Small requests are free to requesters in the first and third groups. This includes all requesters except commercial users. There is no charge for the first two hours of search time and the first 100 pages of documents. Noncommercial requesters who limit their requests to a small number of easily found records will not pay any fees at all. In addition, the law also prevents agencies from charging fees in the cost of collecting the fee would exceed the amount collected. This limitation applies to all requests, including those seeking documents for commercial use. Thus, if the allowable charges for any FOIA request are small, no fees are imposed. Each agency sets charges for duplication, search, and review based on its own cost. The amount of these charges is included in the agency FOIA regulations. Each agency also sets its own threshold for minimum charges. The 1986 FOIA amendments changed the law on fee waivers. The new rules require that fees must be waived or reduced if disclosure of the information is in the public interest because it is likely to contribute significantly to public understanding of the operation or activities of the government and is not primarily in the commercial interest of the requester. The new rules for fees and fee waivers have created some confusion. Determinations about fee are separate and apart from determinations about eligibility for fee waivers. For example, a news reporter may only be charged duplication fees and may ask that the duplication fees be waived. There is no need for a reporter to ask for a waiver of search and review costs because search and review costs are not charged to reporters. Only after a requester has been categorized to determine applicable fees does the issue of a fee waiver arise. A requester who seeks a fee waiver should include a separate request in the original request letter. The requester should describe how disclosure will contribute to the public understanding of the operations or activities of the government. The sample request letter in the appendix includes optional language asking for a fee waiver. Any requester may ask for a fee waiver. Some will find it easier to qualify than others. A news reporter who is charged only duplication costs may still ask that the charges be waived because of the public benefits that will result from disclosure. Representatives of the news media and public interest groups are very likely to qualify for a waiver of fees. Commercial users will find it more difficult to qualify. The eligibility of other requesters will vary. A key element in qualifying for a fee waiver is the relationship of the information to public understanding of the operations or activities of the government. Another important factor is ability of the requester to convey that information to other interested members of the public. A requester is not eligible for a fee waiver solely because of indigence. REQUIREMENTS FOR AGENCY RESPONSES: ---------------------------------- Each agency is required to determine within 10 days (excluding Saturdays, Sundays, and legal Holidays) after the receipt of a request whether to comply with the request. The actual disclosure of documents is required to follow promptly thereafter. If a request for records is denied in whole or in part, the agency must tell the requester the reason for the denial. The agency must also tell the requester that there is a right to appeal ny adverse determination to the head of the agency. The FOIA permits agencies to extend the time limits up to ten days in unusual circumstances. These circumstances include the need to collect records from remote locations, review large numbers of records, and consult with other agencies. Agencies are suppose to notify the requester whenever an extension is invoked. The statutory time limit for responses are not always met. Agencies sometimes receive an unexpectedly large number of FOIA requests at one time and are unable to meet the deadlines. Some agencies assign inadequate resources to FOIA offices. The Congress does not condone the failure of any agency to meet the law's limit. However, as a practical matter, there is little that a requester can do about it. The courts have been reluctant to provide relief solely because the FOIA's time limits have not been met. The best advice to requesters is to be patient. The law allows a requester to consider a request to be denied if it has not been decided within the time limit. This permits the requester to file an administrative appeal. However, this is not always the best course of action. The filing of an administrative or judicial appeal does not normally result in any faster processing of the request. Agencies generally process requests in the order in which they were received. Some agencies will expedite the processing of urgent requests. Anyone with a pressing need for records should consult with the agency FOIA office about how to ask for expedited treatment of requests. REASONS ACCESS MAY BE DENIED UNDER THE FOIA: -------------------------------------------- An agency may refuse to disclose an agency record that falls within any of the FOIA's nine statutory exemptions. The exemptions protect against the disclosure of information that would harm national defense or foreign policy, privacy of individuals, proprietary interests of business, functioning of government, or other important interest. A record that does not qualify as an "Agency record" may be denied because only the agency records are available under the FOIA. Personal notes of agency employees may be denied on that basis. An agency may withhold exempt information, but is not always required to do so. For example, an agency may disclose an exempt internal memorandum because no harm would result from its disclosure. However, an agency is not likely to agree to disclose an exempt document that is classified or that contains a trade secret. When a record contains some information that qualifies as exempt, the entire record is not necessarily exempt. Instead, the FOIA specifically provides that any reasonably segregable portion of a record must be provided to a requester after the deletion of the portions that are exempt. This is a very important requirement because it prevents an agency from withholding an entire document simply because one line or one page is exempt. EXEMPTION 1: CLASSIFIED DOCUMENTS --------------------------------- The first FOIA exemption permit the withholding of properly classified documents. Information may be classified to protect it in the interest of national defense or foreign policy. Information that has been classified as "confidential," "Secret," or "Top Secret" under the procedures of the Executive Order on Security Classifications can qualify under the first exemption. The rules for classification are established by the President and not the FOIA or other law. The FOIA provides that, if a document has been properly classified under the President's rules, the document can be withheld from disclosure. Classifies documents may be requested under the FOIA. An agency can review the document to determine if it still requires protection. In addition, the Executive Order on Security Classifications establishes a special procedure for requesting the declassification of documents. If a requested document is declassified, it can be released in response to an FOIA request. However, a document that was formerly classified may still be exempt under other FOIA exemptions. EXEMPTION 2: INTERNAL PERSONNEL RULES AND PRACTICES --------------------------------------------------- The second FOIA exemption covers matters that are related solely to an agency's internal personnel rules and practices. As interpreted by the courts, there are two separate classes of documents that are generally held to fall within exemption two. First, information relating to personnel rules or internal agency practices is exempt if it is a trivial administrative matter of no genuine public interest. A rule governing lunch hours for agency employees is an example. Second, internal administrative manuals can be exempt if disclosure would risk circumvention of laws or agency regulations. In order to fall into this category, the material will normally have to regulate internal agency conduct rather than public behavior. EXEMPTION 3: INFORMATION EXEMPT UNDER OTHER LAWS ------------------------------------------------ The third exemption incorporates into the FOIA other laws that restrict the availability of information. To qualify under exemption three, a statute must require that matters be withheld from the public in such a manner as to leave no discretion to the agency. ALternatively, the statute must establish particular criteria for withholding or refer to particular types of matters to be withheld. One example of a qualifying statute is the provision of the Tax Code prohibiting the public disclosure of tax returns and tax law designating identifiable census data as confidential. Whether a particular statute qualifies under exemption 3 can be a difficult legal determination. EXEMPTION 4: CONFIDENTIAL BUSINESS INFORMATION ---------------------------------------------- The fourth exemption protects from public disclosure two types of information: trade secrets and confidential business information. A trade secret is a commercially valuable plan, formula, process, or device. This is a narrow category of information. An example of a trade secret is the recipe for a commercial food product. The second type of protected data is commercial or financial information obtained from a person and privileged or confidential. The courts have held that the data qualifies for withholding if disclosure by the government would be likely to harm the competitive position of the person who submitted the information. Detail information on a company's market plans, profits, or costs can qualify as confidential business information. Information may also be withheld if disclosure would be likely to impair the government's ability to obtain similar information in the future. Only information obtained from a person other than a government agency qualifies under the fourth exemption. A person is an individual, a partnership, or a corporation. Information than an agency created on its own cannot normally be withheld under exemption four. Although there is no formal requirement under the FOIA, any agencies will notify a submitter of a business information that disclosure of the information is being considered. The submitted can file suit to block disclosure under the FOIA. Such lawsuits are generally referred to as "reverse" FOIA lawsuits because the FOIA is being used in an attempt to prevent rather than require disclosure of information. A reverse FOIA lawsuit may be filed when a submitter of documents and the government disagree whether the information is confidential. EXEMPTION 5: INTERNAL GOVERNMENT COMMUNICATIONS ----------------------------------------------- The FOIA's fifth exemption applies to internal government documents. One example is a letter from one government department to another about a joint decision that has not yet been made. Another example is a memorandum from an agency employee to his supervisor describing options for conducting the agency's business. The purpose of the exemption is to safeguard the deliberate policymaking process of the government. The exemption encouraged frank discussions of policy matters between agency officials by allowing supporting documents to be withheld from public disclosure. The exemption also protects against premature disclosure of policies before final adoption. While the policy behind the fifth exemption is well-accepted, the application of the exemption is complicated. The fifth exemption may be the most difficult FOIA exemption to understand and apply. For example, the exemption protects the policymaking process, but it does not protect purely factual information related to the policy process. Factual information must be disclosed unless it is inextricably intertwined with protected information about an agency decision. Protection for the decision making process is appropriate only for the period while the decisions are being made. Thus, the fifth exemption has been held to distinguish between documents that are pre-decisional and therefore may be protected, and those which are post-decisional and therefore not subject to protection. Once a policy is adopted, the public has a greater interest in knowing the basis for the decision. The exemption also incorporates some of the privileges that apply in litigation involving the government. For example, papers prepared by the government's lawyer are exempt in the same way that papers prepared by private lawyers for clients are not available through discovery in civil litigation. EXEMPTION 6: PERSONAL PRIVACY ----------------------------- The sixth exemption covers personnel, medical, and similar files that the disclosure of which would constitute a clearly unwarranted invasion of privacy. This exemption protects the privacy interests of individuals by allowing an agency to withhold from disclosure intimate personal data kept in government files. Only individuals have privacy interests. Corporations and other legal persons have no privacy right under the sixth exemption. The exemption requires agencies to strike a balance between an individual's privacy interests and the public's right to know. However, since only a clearly unwarranted invasion of privacy is a basis for withholding, there is a perceptible tilt in favor of disclosure over exemption. Nevertheless, the sixth exemption makes it hard to obtain information about another individual without the consent of the individual. The Privacy Act of 1974 also regulates the disclosure of personal information about individuals. The FOIA and the Privacy Act overlap in part, but there is no inconsistency. Individuals seeking records about themselves should cite both laws when making a request. This ensures that the maximum amount of disclosable information will be released. Records that can be denied to an individual under the Privacy Act are not necessarily exempt under the FOIA. EXEMPTION 7: LAW ENFORCEMENT ---------------------------- The seventh exemption allows agencies to withhold law enforcement records in order to protect the law enforcement process from interference. The exemption was amended slightly in 1986, but it still retains six specific subexemptions Exemption (7)(A) allows the withholding of law enforcement records that could reasonably be expected to interfere with enforcement proceedings. This exemption protects active law enforcement investigations from interference from premature disclosure. Exemption (7)(B) allows the withholding of information that would deprive a person of a right ta a fair trial or an impartial adjudication. This exemption is rarely used. Exemption (7)(C) recognizes that individuals have a privacy interest in information maintained in law enforcement files. If the disclosure of information could reasonably be expected to constitute an unwarranted invasion of personal privacy, the information is exempt from disclosure. The standards for privacy protection in Exemption 6 and Exemption (7)(C) differ slightly. Exemption (7)(C) refers only to unwarranted invasions of personal privacy rather than to clearly unwarranted invasions. Exemption (7)(D) protects the identity of confidential sources. Information that could reasonable be expected to reveal the identity of a confidential source is exempt. A confidential source can be a state, local or foreign agency or authority, or a private institution that furnished the information on a confidential basis. In addition, the exemption protects information furnished by a confidential source if the data was compiled by a criminal law enforcement authority during a criminal investigation or by an agency conducting a lawful national security intelligence investigation. Exemption (7)(E) protects from disclosure information that would reveal techniques and procedures for law enforcement investigations or prosecutions or that would disclose guidelines for law enforcement investigations or prosecutions if disclosure of the information could reasonably be expected to risk circumvention of the law. Exemption (7)(F) protects law enforcement information that could reasonably be expected to endanger the life or physical safety of any individual. EXEMPTION 8: FINANCIAL INSTITUTIONS ----------------------------------- The eighth exemption protects information that is contained in or related to examination, operating, or condition reports prepared by or for a bank supervisory agency such as the Federal Deposit Insurance Corporation, or the Federal Reserve, or similar agencies. EXEMPTION 9: GEOLOGICAL INFORMATION ----------------------------------- The ninth exemption covers geological and geophysical information, data, and maps about wells. This exemption is rarely used. FOIA EXCLUSIONS: ---------------- The 1986 amendments to the FOIA gave limited authority to agencies to respond to a request without confirming the existence of the requested records. Ordinarily, any proper request must receive an answer stating whether there is any responsive information, even if the requested information is exempt from disclosure In some narrow circumstances, acknowledgement of the existence of a record can produce consequences similar to those resulting from disclosure of the record itself. In order to avoid this type of problem, the 1986 amendments established three "record exclusions." However, these exclusions do not broaden the ability of agencies to withhold documents. The exclusions allow agencies to treat certain exempt records as if the records were not subject to the FOIA. Agencies are not required to confirm the existence of three specific categories of records. If those records are requested, agencies may state that there are no disclosable records responsive to the request. However, these exclusions give agencies no authority to withhold additional categories of information from the public. The first exclusion is triggered when a request seeks information that is exempt because disclosure could reasonably be expected to interfere with a current law enforcement investigation. There are specific prerequisites for the application of this exclusion. First, the investigation in question must involve a possible violation of criminal law. Second, there must be a reason to believe that the subject of the investigation is not already aware that the investigation is underway. Third, disclosure of the existence of the record - as distinguished from the contents of the record - could reasonably be expected to interfere with enforcement proceedings. When all three of these conditions are present, an agency may respond to an FOIA request for investigatory records as if the records are not subject to the requirements of the FOIA. In other words, the agency's response does not have to reveal that it is conducting an investigation. The second exclusion applies to informant records maintained by a criminal law enforcement agency under the informant's name pr personal identifier. The agency is not required to required to confirm the existence of these records unless the informant's status has been officially confirmed. This exclusion helps agencies to protect the identity of confidential informants. Information that might identify informants has always been exempt under the FOIA. The third exclusion applies only to records maintained by the Federal Bureau of Investigation which pertain to foreign intelligence, counter intelligence, or international terrorism. When the existence of those types of records is classified, the FBI may treat the records as not subject to the requirements of the FOIA. This exclusion does not apply to all classified records on the specific subjects. It only applies when the records are classified and when the existence of the record is also classified. Since the underlying records must be classified before the exclusion is relevant, agencies have no new substantive withholding authority. In enacting these exclusions, congressional sponsors stated that it was their intent that agencies must inform FOIA requesters that these exclusions are available for agency use. Requesters who believe that records were improperly withheld because of the exclusions can seek judicial review. ADMINISTRATIVE APPEAL PROCEDURES: --------------------------------- Whenever an FOIA request is denied, the agency must inform the requester of the reasons for the denial and the requester's right to appeal the denial to the head of the agency. A requester may appeal the denial of a request for a document or for fee waiver. A requester may contest the type or amount of the fees that were charged. A requester may appeal any other adverse determination including a rejection of a request for failure to describe adequately the documents being requested. A requester can also appeal because the agency failed to conduct an adequate search for the documents that were requested. A person whose request was granted in part and denied in part may appeal the partial denial. If any agency has agreed to disclose some but not all of the requested documents, the filing of an appeal does not affect the release of the documents that are disclosable. There are no risks to the requester in filing an appeal. The appeal to the head of an agency is a simple administrative appeal. A lawyer can be helpful, but no one needs a lawyer to file an appeal. Anyone who can write a latter can file an appeal. Appeals to the head of an agency often result in the disclosure of some records that have been withheld. A requester who is not convinced that the agency'sinitial decision is correct should appeal. There is no charge for filing an appeal. An appeal is files by sending a letter to the head of the agency. The letter must identify the FOIA request that is being appealed. The envelope containing the letter of appeal should be marked in the lower left hand corner with the words "Freedom of Information Act Appeal." Many agencies assign a number to all FOIA requests that are received. The number should be included in the appeal letter, along with the name and address of the requester. It is a common practice to include a copy of the agency's initial decision letter as part of the appeal, but it is not required. It can also be helpful for the requester to include a telephone number in the appeal letter. An appeal will normally include the requester's arguments supporting disclosure of the documents. A requester may include any facts or any arguments supporting the case for reversing the initial decision. However, an appeal letter does not have to contain any argument at all. It is sufficient to state that the agency's initial decision is being appealed. Appendix 1 includes a sample appeal letter. The FOIA does not set a time limit for filing an administrative appeal of an FOIA denial. However, it is good practice to file an appeal promptly. Some agency regulations establish a time limit for filing an administrative appeal. A requester whose appeal is rejected by an agency because it it too late may refile the original FOIA request and start the process again. A requester who delays filing an appeal runs the risk that the documents could be destroyed. However, as long as an agency is considering a request or an appeal, the agency must preserve the document. An agency is required to make a decision on an appeal within twenty days (excluding Saturdays, Sundays, and federal holidays.) It is possible for an agency to extend the time limits by an additional ten days. Once the time period has elapsed, a requester may consider that the appeal had been denied and may proceed with a judicial appeal. However, unless there is an urgent need for records, this is not always the best course of action. The courts are not sympathetic to appeals based solely on an agency's failure to comply with the FOIA's time limit. FILING A JUDICIAL APPEAL: ------------------------- When an administrative appeal is denied, a requester has the right to appeal the denial in court. An FOIA appeal can be files in the United States District Court in the district where the requester lives. The requester can also file suit in the district where the documents are located or in the District of Columbia. When a requester goes to court, the burden of justifying the withholding of documents is on the government. This is a distinct advantage for the requester. Requesters are sometimes successful when they go to court, but the results vary considerably. Some requesters who file judicial appeals find that an agency will disclose some documents previously withheld rather than fight the disclosure in court. This does not always happen, and there is no guarantee that the filing of a judicial appeal will result in any additional disclosure. Most requesters require the assistance of an attorney to file a judicial appeal. A person who files a lawsuit and substantially prevails may be awarded reasonable attorney fees and litigation cost reasonably incurred. Some requesters may be able to handle their own appeal without an attorney. Since this is not a litigation guide, details of the judicial appeal process have not been included. Anyone considering filing an appeal can begin by reviewing the provisions of the FOIA on judicial review ----------------------------------------------------------------------- T H E P R I V A C Y A C T O F 1 9 7 4 ----------------------------------------------------------------------- The Privacy Act of 1974 provides safeguards against an invasion of privacy through misuse of records by federal agencies. In general, the Act allows citizens to learn how records are collected, maintained, used and disseminated by the federal government. The Act also permits individuals to gain access to most personal information maintained by the federal agencies and to seek amendment of any incorrect or incomplete information. The Privacy Act applies to personal information maintained by agencies in the executive branch of the federal government. The executive branch includes cabinet departments, military departments, government corporations, government controlled corporations, independent regulatory agencies, and other establishments in the executive branch. Agencies subject to the Freedom of Information Act (FOIA) are also subject to the Privacy Act. The Privacy Act does not generally apply to records maintained by state and local governments or private companies or organizations. The Privacy Act grants rights only to United States citizens and aliens lawfully admitted for permanent residence. As a result, foreign nationals cannot use the Act's provisions. However foreigners may use the FOIA to request records about themselves. The only records subject to the Privacy Act are records about individuals that are maintained in a system of records. The idea of a "system of records" in unique to the Privacy Act and requires explanation. The Act defines a "record" to include most personal information maintained by an agency about an individual. A record contains information about education, financial transactions, medical history, criminal history, or employment history. A system of records is a group of records from which information is actually retrieved by name, social security number, or other identifying symbol to an individual. Some personal information is not kept in a system of records. This information is not subject to the provisions of the Privacy Act, although access may be requested under the FOIA. Most personal information in government files is subject to the Privacy Act. The Privacy Act also establishes general record management requirements for federal agencies. In summary, there are five basic requirements that are more relevant to individuals. First, agencies must establish procedures allowing individuals to see and copy records about themselves. An individual may also seek to amend any information that is not accurate, relevant, timely, or complete. The right to inspect and to correct records are the most important provisions of the Privacy Act. This guide explains in more detail how an individual ca exercise these rights. Second, agencies must publish notices describing all systems of records. The notice includes a complete description of personal-data record keeping policies, practices, and systems. This requirement prevents the maintenance of secret record systems. Third, agencies must make reasonable efforts to maintain accurate, relevant, timely, and complete records about individuals. Agencies are prohibited from maintaining information about how individuals exercise rights guaranteed by the First Amendment to the U.S. Constitution unless maintenance of the information is specifically authorized by statute or relates to authorized law enforcement activity. Fourth, the Act establishes rules governing the use and disclosure of personal information. The Act specifies that information collected for one purpose may not be used for another purpose without notice to or the consent of the subject of the record. The Act also requires that agencies keep a record of some disclosures of personal information. Fifth, the Act provides legal remedies that permit individuals to seek enforcement of rights under the Act. In addition, there are criminal penalties that apply to federal employees who fail to comply with the Act's provision. LOCATING RECORDS: ----------------- There is no central index of federal government records. An individual who wants to inspect records about himself or herself must first identify which agency has the record. Often, this will not be difficult. For example, an individual who was employed by the federal government knows that the employing agency or the Office of Personnel Management maintains personal records. Similarly, an individual who receives veterans' benefits will normally find the related records at the Veterans Administration or at the Defense Department. Tax records are maintained by the Internal Revenue Service, social security records by the Social Security Administration, passport records by the State Department, etc. For those who are uncertain about which agency has the records that are needed, there are several sources of information. First, and individual can ask an agency that might maintain the records. If that agency does not have the records, it may be able to identify the proper agency. Second, a government directory such as the United States Government Manual contains a complete list of all federal agencies, a description of agency functions, and the addresses of the agency and its field offices. An agency responsible for operating a program normally maintains the records related to that program. Third, a Federal Information Center can help you to identify government agencies, their functions, and their records. These Centers, which are operated by the General Services Administration, serve as clearinghouses for information about the federal government. There are several dozen Federal Information Centers throughout the country. Fourth, the Office of Federal Register publishes an annual compilation of system of records notices for all agencies. These notices contain a complete description of each record system maintained by each agency. The compilation -- which is published in five large volumes -- is the most complete reference for information about federal agency personal information practices. The information that appears in the compilation is also published occasionally in the Federal Register. The compilation - formerly called Privacy Act Issuance -- may be difficult to find. Copies will be available in some federal depository libraries and possibly in other libraries as well. ALthough the compilation is the best single source of detailed information about personal records maintained by the federal government, it is not necessary to consult the compilation before making a Privacy Act request. A requester is not required to identify the specific system of records that contains the information being sought. It is sufficient to identify the agency that has the records. Using information provided by the requester, the agency will determine which system of records has the files that have been requested. Those who request records under the Privacy Act can help the agency by identifying the type of record being sought. Large agencies maintain dozens or even hundreds of different record systems. A request is processed faster if the requester tells the agency that he or she was employed by the agency, was the recipient of benefits under an agency program, or had other specific contacts with the agency. MAKING A PRIVACY ACT REQUEST FOR ACCESS: ---------------------------------------- The fastest way to make a Privacy Act request is to identify the specific system of records. The request can be addressed to the system manager. Few people do this. Instead, most people address their request to the head of the agency that has the records or the agency's Privacy Act Officer. The envelope containing the written request should be marked "Privacy Act Request" in the bottom left-hand corner. There are three basic elements to a request for records under the Privacy Act. First, the letter should state that the request is being made under the Privacy Act. Second, the letter should include the name, address, and signature of the requester. Third, the request should describe as specifically as possible the records that are wanted. Appendix 1includes a sample Privacy Act request letter. It is a common practice for an individual seeking records about himself or herself to make the request both under the Privacy Act of 1974 and the Freedom of Information Act. See the discussion in the front of this guide about which act to use. A requester can describe the records by identifying a specific system of records by describing his or her contacts with an agency, or by simply asking for all records about himself or herself. The broader and less specific a request is, the longer it may take for an agency to respond. It is a good practice for a requester to describe the type of records that he or she expects to find. For example, an individual seeking a copy of his service record in the Army should state he was in the Army and include the approximate dates of service. This will help the Defense Department narrow its search to record systems that are likely to contain the information being sought. An individual seeking records from the Federal Bureau if Investigations may ask that files in specific field offices be searched in addition to the FBI's central office files. The FBI does not routinely search field office records without a specific request. Agencies generally require requesters to provide some proof of identity before records will be disclosed. Agencies may have different requirements. Some agencies will accept a signature; others may require a notarized signature. If an individual goes to the agency to inspect records, standard personal identification may be acceptable. More stringent requirements may apply if the records being sought are especially sensitive. Agencies will inform requesters of a special identification requirement. Requesters who need records quickly should first consult regulations ir talk to the agency's Privacy Act Officer to find out how to provide adequate identification. An individual who visits an agency office to inspect a Privacy Act record may wish to bring along a friend or relative to review the record. When a requester brings another person , the agency may ask the requester to sign a written statement authorizing discussion of the record in the presence of that person. It is a crime to knowingly and willfully request or obtain records under the Privacy Act under false pretenses. A request for access under the Privacy Act can be made only by the subject of the record. An individual cannot make a request under the Privacy Act for a record about another person. The only exception if for a parent or legal guardian who can request records for a minor or a person who has been declared incompetent. FEES: ----- Under the Privacy Act, fees can be charged only for the cost of conveying records. No fees may be charged for the time it takes to search for the records or the time it takes to review the records to determine if any exemptions apply. This is a major difference from the FOIA. Under the FOIA, fees can sometimes be charged to cover search costs and review costs. The different fee structure in the two laws is one reason why many requesters seeking records about themselves cite both laws. This minimizes allowable fees Many agencies will not charge fees for making copies of files under the Privacy Act, especially when the files are small. If paying the copying charges is a problem, the requester should explain in the request letter. An agency can waive fees under the Privacy Act. REQUIREMENTS FOR AGENCY RESPONSES: ---------------------------------- Unlike FOIA, there is no fixed time when an agency must respond to a request for access to records under the Privacy Act. It is a good practice for an agency to acknowledge receipt of a Privacy Act request writing ten days and to provide the requested records within thirty days. At many agencies, FOIA and Privacy Act requests are processed by the same personnel. When there is is a backlog of requests, it takes longer to receive a response. As a practical matter, there is little that a requester can do when an agency response is delayed. Requesters can be patient. Agencies generally process requests in the order in which they are received. Some agencies will expedite the processing of urgent requests. Anyone with a pressing need for records should consult the agency Privacy Act Officer about how to ask for expedited treatment of requests. REASONS ACCESS MAY BE DENIED UNDER THE PRIVACY ACT: --------------------------------------------------- Not all records about an individual must be disclosed under the Privacy Act. Some records may be withheld to protect important government interests such as national security or law enforcement. The Privacy Act exemptions are different from the exemptions of the FOIA. Under the FOIA, any record may be withheld from disclosure if it contains exempt information when a request is received. The decision to apply an FOIA exemption is made only after a request has been made. In contrast, Privacy Act exemptions apply not only to records but to a systems of records. Before an agency can apply a Privacy Act exemption, the agency must first issue a regulation stating that there may be exempt records in that system of records. Thus, there is a procedural prerequisite for the application of the Privacy Act exemptions. Without reviewing agency regulations, it is hard to tell whether particular Privacy Act records are exempt from disclosure. However, it is a safe assumption that any system of records that qualifies for an exemption has been exempted by the agency. Since most record systems are not exempt, the exemptions ate not relevant to most requests. Also, agencies do not automatically rely upon Privacy Act exemptions unless there is a specific reason to do so. Thus, some records that are exempt may be disclosed upon request. Because Privacy Act exemptions are complex and used infrequently, most requesters need not worry about them. The exemptions are discussed here for those interested in the law's detail and for reference when an agency withholds a record. Anyone interested in more information about the Privacy Act's exemptions can begin by reading the relevant sections of the Act. The Privacy Act's exemptions differ from those of the FOIA in another important way. The FOIA in mostly a disclosure law. Information exempt under the FOIA is exempt from disclosure only. That is not true of the Privacy Act. It imposes many separate requirements on personal records. No system of records is exempt from all Privacy Act requirements. For example, no system of records is ever exempt from the requirement that a description of the system be published. No system of records can be exempted from the limitations on disclosure of records outside the agency. No system is exempt from the requirements to maintain an accounting for disclosures. No system is exempt from the restrictions against the maintenance of unauthorized information on the exercise of First Amendment rights. All systems are subject to the requirement that reasonable efforts be taken to assure that records disclosed outside the agency be accurate, complete, timely, and relevant. Agencies must maintain proper administrative controls and security for all systems. Finally, the Privacy Acts's criminal penalties remain fully applicable to each system of records. 1: General Exemptions: ---------------------- There are two general exemptions under the Privacy Act. The first applies to all records maintained by the Central Intelligence Agency. The second genera exemption applies to to selected records maintained by an agency or component whose principal function is any activity pertaining to criminal law enforcement. Records of these criminal law enforcement agencies can be exempt under the Privacy Act if the records consist of (A) information compiled to identify individual criminal offenders and which consist only of identifying that and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole or probation status: (B) criminal investigatory records associated with an identifiable individual; or (C) reports identifiable to a particular individual compiled at any stage from arrest through release from supervision. Systems of records subject to these general exemptions may be exempt from many of the Privacy Act's requirements. Exemption from the Act's access and correction provisions is the most important. Individuals have no right under the Privacy Act to ask for a copy of records that are generally exempt or to seek correction of erroneous records. In practice, these exemptions are not as expansive as they sound. Most agencies that have exempt records will accept and process Privacy Act requests. The records will be reviewed on a case-by-case basis. Agencies will often disclose any information that does not require protection. Agencies also tend to follow a similar policy for requests of correction. Individuals interested in obtaining records from the Central Intelligence Agency or from law enforcement agencies should not be discouraged from making requests for access. Even of the Privacy Act access exemption is applied, portions if the records may still be disclosable under the FOIA. This is a primary reason individuals should cite both the Privacy Act and the FOIA when requesting records. The general exemption from access does not prevent requesters from filing a lawsuit under the Privacy Act when access is denied. The right to sue under the FOIA is not changed because of a Privacy Act exemption. 2: Specific Exemptions: ----------------------- There are seven specific Privacy Act exemptions that can be applied to many systems of records. Records subject to these exemptions are not exempt from as many of the Act's requirements as are the records subject to the general exemptions. However, records exempt under the specific exemptions are exempt from the Privacy Act's access and correction provision. Nevertheless, since the access and correction exemptions are not always applied when available, those seeking records should not being discouraged from making a request. Also, the FOIA can be used to seek access to records exempt under the Privacy Act. The first specific exemption covers records systems containing information that is properly classified. Classified information is also exempt from disclosure under the FOIA. Information that has been classified in the interest of national defense or foreign policy will normally be unavailable under either the FOIA or the Privacy Act. The second specific exemption applies to systems of records containing investigatory material compiled for law enforcement purposes other than material covered by the general law enforcement exemption. The specific law enforcement exemption is limited when -- as a result of the maintenance of the records -- an individual is denied any right, privilege, or benefit to which he or she would be entitled by federal law or for which he or she would otherwise be entitled. In such a case, disclosure is required except where disclosure would reveal the identity of a confidential source how furnished information to the government under an express promise that the identity of the source would be held in confidence. If the information was collected from a confidential source before the effective date of the Privacy Act (September 27th, 1975), an implied promise of confidentiality is sufficient to permit withholding of the source. The third specific exemption applies to systems of records maintained in connection with providing protective services to the President of the United States or other individuals who receive protection from the Secret Service. The fourth specific exemption applies to systems of records required by statute to be maintained and used solely as statistical records. The fifth specific exemption covers investigatory material compiled solely to determine suitability, eligibility, or qualifications for federal civilian employment, military service, federal contracts, or access to classified information. However, this exemption applies only to the extent that disclosure of information would reveal the identity of a confidential source who provided the information under a promise of confidentiality. The sixth specific exemption applies to systems of records that contain testing or examination of material used solely to determine individual qualifications for appointment or promotion in federal service but only when disclosure would compromise the objectivity or fairness of the testing or examination process. Effectively, this exemption permits withholding of questions used in employment tests. The seventh specific exemption covers evaluation material used to determine potential for promotion in the armed services. The material is only exempt to the extent that disclosure would reveal the identity of a confidential source how provided the information under promise of confidentiality. 3:Medical Records: ------------------ Medical records maintained by federal agencies -- for example, records at Veterans Administration hospitals -- are not formally exempt from the Privacy Act's access provision. However, the Privacy Act authorized a special procedure for medical records that operated, at least in part, like an exemption. Agencies may deny individuals direct access to medical records, including psychological records, if the agency deems it necessary. An agency reviews medical requested by an individual. If the agency determines that direct disclosure is unwise, it can arrange for disclosure to a physician selected by the individual or possible to another person chosen by an individual. 4: Litigation Records: ---------------------- The Privacy Act access provisions include a general limitation on access to litigation records. The Act does not require an agency to disclose to an individual any information compiled in reasonable anticipation of a civil action or proceeding. This limitation operates like an exemption, although there is no requirement that the exemption be applied to a system of records before it can be used. ADMINISTRATIVE APPEAL PROCEDURES FOR DENIAL OF ACCESS: ------------------------------------------------------ Unlike the FOIA, the Privacy Act does not provide an administrative appeal of the denial of access. However, many agencies have established procedures that will allow Privacy Act requesters to appeal a denial of access without going to court. An administrative appeal is often allowed under the Privacy Act, even though it is not required, because many individuals cite both the FOIA and Privacy Act when making a request. The FOIA provides specifically for an administrative appeal, and agencies are required to consider an appeal under the FOIA. When a Privacy Act request for access is denied, agencies usually inform the requester of any appeal rights that are available. If no information on appeal rights is included in the denial letter, the requester should ask the Privacy Act Officer. Unless an agency has established an alternative procedure, it is possible that an appeal files directly with the head of the agency will be considered by the agency. When a request for access is denied under the Privacy Act, the agency explains the reason for the denial. The explanation must name the system of records and explain which exemption is applicable to the system. An appeal may be made on the basis that the record is not exempt, that the system of records has not been properly exempted, or that the record is exempt but no harm to an important interest will result if the record is disclosed. There are three basic elements to a Privacy Act appeal letter. First, the letter should state that the appeal is being made under the Privacy Act of 1974. If the FOIA was cited when the request for access was made, the letter should state that the appeal is also being made under the FOIA. This is important because the FOIA grants requesters statutory appeal rights. Second, a Privacy Act appeal letter should identify the denial that is being appealed and the records that were withheld. The appeal letter should also explain why the denial of access is improper or unnecessary. Third, the appeal should include the requester's name and address. It is good practice to also include a telephone number when making an appeal. Appendix 1 includes a sample letter of appeal. AMENDING RECORDS UNDER THE PRIVACY ACT: --------------------------------------- The Privacy Act grants an important right in addition to the ability to inspect records. The act permits an individual to request a correction of a record that is not accurate, relevant, timely, or complete. This remedy allows an individual to correct errors and to prevent those errors from being disseminated by the agency or used unfairly against the individual. The right to seek a correction extends only to records subject to te Privacy Act. Also, an individual can only correct errors in a record that pertain to himself for herself. Records disclosed under the FOIA cannot be amended through the Privacy Act unless the records are also subject to the Privacy Act. Records about unrelated events or about other people cannot be amended unless the records are in a Privacy Act file maintained under the name of the individual who is seeking to make the correction. A request to amend a record should be in writing. Agency regulations explain the procedures in greater detail, but the process is not complicated. A letter requesting an amendment of a record will normally be addressed to the Privacy Act Officer of the agency or to the agency official responsible for the maintenance of the record system containing the erroneous information. The envelope containing the request should be marked "Privacy Act Amendment Request" on the lower left corner. There are five basic elements to a request for amending a Privacy Act record. First, the letter should state that it is a request to amend a record under the Privacy Act of 1974. Second, the request should identify the specific record and the specific information in the record for which an amendment is being sought. Third, the request should state why the information is not accurate, relevant, timely, or complete. Supporting evidence may be included with the request. Fourth, the request should state what new or additional information, if any, should be included in place of the erroneous information. Evidence of the validity of the new or additional information should be included. If the information in the file is wrong and needs to be removed rather than supplemented or corrected, the request should make this clear. Fifth, the request should include the name and address of the requester. It is a good idea for the requester to include a telephone number. Appendix 1 includes a sample letter requesting amendment of a Privacy Act record. APPEALS AND REQUIREMENTS FOR AGENCY RESPONSES: ---------------------------------------------- An agency that receives a request for amendment under the Privacy Act must acknowledge receipt of the request within ten days (not including Saturdays, Sundays, and legal holidays.) The agency must promptly rule on the request. The agency may make the amendment requested. If so, the agency must notify any person or agency to which the record had previously been disclosed of the correction. If the agency refuses to make the change requested, the agency must inform the requester of: (1) the agency's refusal to amend the record; (2) the reason for refusing to amend the request; and (3) the procedures for requesting a review of the denial. The agency must provide the name and business address of the official responsible for conducting the review. An agency must decide an appeal of denial of a request for amendment within thirty days (excluding Saturdays, Sundays, and legal holidays,) unless the time period is extended by the agency for good cause. If the appeal is granted, the record will be corrected. If the appeal is denied, the agency must inform the requester of the right to judicial review. In addition, a requester whose appeal has been denied also has the right to place in the agency file a concise statement of disagreement with the information that was the subject of the request for amendment. When a statement of disagreement has been files and an agency is disclosing the disputed information, the agency must mark the information and provide copies of the statement of disagreement. The agency may also include a concise statement of its reasons for not making the requested amendments. The agency must also give a copy of the statement of disagreement to any person or agency to whom the record had previously been disclosed. FILING A JUDICIAL APPEAL: ------------------------- The Privacy Act provides a civil remedy whenever an agency denies access to a record or refuses to amend a record. An individual may sue an agency if the agency fails to maintain records with accuracy, relevance, timeliness, and completeness as is necessary to assure fairness in an agency determination and the agency makes a determination that is adverse to the individual. An individual may also sue an agency if the agency fails to comply with other Privacy Act provisions in a manner that has an adverse effect on the individual. The Privacy Act protects a wide range of rights about personal records maintained by federal agencies. The most important are the right to inspect records and the right to seek correction of records. Other rights have also been mentioned here, and still others can be found in the text of the Act. Most of these rights can become the subject of litigation. An individual may file a lawsuit against an agency in the federal district court in which the individual lives, in which the records are situated, or in the District of Columbia. A lawsuit must be files within two years from which the basis of the lawsuit arose. Most individuals require the assistance of an attorney to files a judicial appeal. An individual who files a lawsuit and substantially prevails may be awarded reasonable attorney fees and litigation costs reasonably incurred. Some requesters may be able to handle their own appeal without an attorney. Since this is not a litigation guide, details about the judicial appeal process have not been included. Anyone considering filing an appeal can begin by reviewing the provisions of the Privacy Act on civil remedies. ---------------------------------------------------------------------- A P P E N D I C E S ---------------------------------------------------------------------- APPENDIX 1: Sample Request and Appeal Letter -------------------------------------------- A. FREEDOM OF INFORMATION ACT REQUEST LETTER -------------------------------------------- Agency Head [or Freedom of Information Act Officer] Name of Agency Address of Agency City, State, Zip Code RE: Freedom of Information Act Request Dear ...: This is a request under the Freedom of Information Act. I request that a copy of the following documents [or documents containing the following information] be provided to me: [identify the documents or information as specifically as possible.] In order to help determine my status to assess fees, you should know that I am (insert a suitable description of the requester and the purpose of the request. See sample descriptions below:) [Sample 1:] a representative of the news media affiliated with the newspaper (magazine, television station, etc) and this request is made as part of news gathering and not for commercial use. [Sample 2:] affiliated with an educational or noncommercial scientific institution and this request is made for scholarly or scientific purposes. [Sample 3:] an individual seeking information for personal use and not for a commercial use. [Sample 4:] affiliated with a private corporation and am seeking information for use in the Company business. [Optional:] I am willing to pay fees for this request up to a maximum of of $... If you estimate that the fees will exceed this limit, please inform me first. [Optional:] I request a waiver of all fees of this request. Disclosure of the requested information to me 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 my commercial interest. [include a specific explanation.] Thank you for your consideration of this request. Sincerely, Name Address City, State, Zip Code Telephone Number [optional] B. FREEDOM OF INFORMATION ACT APPEAL LETTER ------------------------------------------- Agency Head [or Freedom of Information Act Officer] Name of Agency Address of Agency City, State, Zip Code RE: Freedom of Information Act Appeal Dear ...: This is an appeal under the Freedom of Information Act. On (date,) I requested documents under the Freedom of Information Act. My request was assigned the following identification number (identification number.) On (date,) I received a response to my request in a letter signed by (name of official.) I appeal the denial of my request. [Optional:] The documents that were withheld must be disclosed under the FOIA because: [give specific reasons.] [Optional:] I appeal the decision to deny my request for a waiver of fees. I believe that I am entitled to a waiver of fees. Disclosure of the documents I requested is in the public interest because the information is likely to contribute significantly to the public understanding of the operations or activities of the government and is not primarily for commercial interest. (Provide details) [Optional:] I appeal the decision to require me to pay review costs for this request. I am not seeking the document for commercial use. (Provide details) [Optional:] I appeal the decision to require me to pay search charges for this request. I am a reporter seeking information as part of news gathering and not for commercial use. Thank you for your consideration of this request. Sincerely, Name Address City, State, Zip Code Telephone Number [optional] C. PRIVACY ACT REQUEST FOR ACCESS LETTER ---------------------------------------- Privacy Officer [or System of Records Manager] Name of Agency Address of Agency City, State, Zip Code RE: Privacy Act Request for Access Dear ...: This is a request under the Privacy Act of 1974. I request a copy of any record [or specifically named records[ about me maintained at your agency. [Optional:] To help you to locate my records. I have had the following contacts with your agency: (mention job applications, periods of employment, loans or agency programs applied for, etc.) [Optional:] Please consider that this request is also made under the Freedom of Information Act. Please provide any additional information that may be available under the FOIA. [Optional:] I am willing to pay fees for this request up to a maximum of $... If you estimate that the fees will exceed this limit, please inform me first. [Optional:] Enclosed is [a notarized signature or other identifying document] that will verify my identity. Thank you for your consideration of this request. Sincerely, Name Address City, State, Zip Code Telephone Number [optional] D: PRIVACY ACT DENIAL OF ACCESS LETTER -------------------------------------- Agency Head, or Appeal Office Name of Agency Address of Agency City, State, Zip Code RE: Appeal of Denial of Privacy Act Request Dear ...: This is an appeal under the Privacy Act of the denial of my request for access to records. On (date,) I requested access to records under the Privacy Act of 1974. My request was assigned the following identification number: (identification number.) On (date,) I received a response to my request in a letter signed by (name of official.) I appeal the denial of my request. [Optional:] The records that were withheld should be disclosed to me because... (give explanation) [Optional:] Please consider that this appeal is also made under the Freedom of Information Act. Please provide any additional information that may be available under the FOIA. Thank you for your consideration of this request. Sincerely, Name Address City, State, Zip Code Telephone Number [optional] E: PRIVACY ACT REQUEST TO AMEND RECORDS: ---------------------------------------- Privacy Act Officer [or System of Records Manager] Name of Agency Address of Agency City, State, Zip Code RE: Privacy Act Request to Amend Records Dear ...: This is a request under the Privacy Act to amend records about myself maintained by your agency. I believe that the following information is not correct: [Describe the information as specifically as possible.] The information is not (accurate)(relevant)(timely)(complete) because... (give detailed explanation) [Optional:] Enclosed are copies of documents that show that the information is incorrect. I request that the information be (deleted)(changed to read: [Give changes]) Thank you for your consideration of this request. Sincerely, Name Address City, State, Zip Code Telephone Number [optional] F: PRIVACY ACT APPEAL OF REFUSAL TO AMEND RECORDS: -------------------------------------------------- Agency Head, or Appeal Office Name of Agency Address of Agency City, State, Zip Code RE: Privacy Act Appeal Request to Amend Records Dear ...: This appeal is made under the Privacy Act of the refusal of your agency to amend records as I requested. On (date,) I was informed by (name of official) that my request was rejected. I appeal the rejection of my request. The rejection of my request for amendment was wrong because... (give specific details.) [Optional:] I enclose additional evidence that shows that the records are incorrect and that the amendment I requested is appropriate. Thank you for your consideration of this request. Sincerely, Name Address City, State, Zip Code Telephone Number [optional] ----------------------------------------------------------------------- F E D E R A L F O I A O F F I C E S ----------------------------------------------------------------------- The Office of Information and Privacy (OIP) is the principal contact point within the executive branch for advice and policy guidance on matters pertaining to the administration of the Freedom of Information Act (FOIA). Through OIP's FOIA Counselor service, experienced FOIA attorneys are available to respond to FOIA-related inquiries at: Department of Justice Office of Information and Privacy 10th & Constitution Ave., NW, Room 7238 Washington, DC 20530 Telephone: 1-(202)-633-3642. The following list contains the principal FOIA legal and administrative contacts at all federal agencies dealing regularly with FOIA matters. In some instances (e.g. the Department of Defense), all major agency components are listed individually under the agency. In other instances (e.g. the Food and Drug Administration), major agency components are listed separately. In still other instances (e.g. the Department of Labor), no components are listed, as it is the agency's preference that all FOIA contacts be made through its main FOIA office. All telephone numbers are FTS numbers unless a local code is shown. Where both legal and the administrative contacts (marked "L" and "A" respectively), are the at the same address, the common address follows the name of the administrative contact. OIP should be notified whenever there is a change in a legal or administrative contact or any change in title, telephone number, or address. ACTION ------ Steward A. Davis (202-634-9333) (L) Deputy General Counsel Ulysses G. Parnell (202-634-9242) (A) Management Analysis Division 806 Connecticut Ave., NW Washington, DC 20525 Administrative Conference of the Unites States ---------------------------------------------- Gary J. Edles (202-254-7020) (L) General Counsel 2120 L St., NW Suite 500 Washington, DC 20037 Agriculture Department (USDA) ----------------------------- Kenneth E. Cohne (202-447-8164) (L) Assistant General Counsel Room 2321, South Bldg. Washington, DC 20250-1400 Milton E. Sloan (202-447-8164) (A) FOIA/PA Coordinator Room 536A, Administration Bldg. Washington, DC 20250 American Battle Monuments Commission ------------------------------------ Col. William E. Ryan (202-272-0536) (A) Director of Operations and Finance 20 Massachusetts Ave., NW, Room 5127 Washington, DC 20314-0300 Appalachian Regional Commission ------------------------------- Joseph E. Napolitano (202-673-7822) (A) Special Assistant to the Co-Chairman 1666 Connecticut Ave., NW Washington, DC 20235 Arms Control and Disarmament Agency ----------------------------------- Fredrick Smith, Jr. (202-647-3442) (A) Information/Privacy Officer 320 21st St., NW, Room 5731 Washington, DC 20451 Board for International Broadcasting ------------------------------------ John A. Lindburg (202-254-8040) (L) General Counsel 1201 Connecticut Ave., NW Washington, DC 20036 Central Intelligence Agency (CIA) --------------------------------- W. George Jameson (703-874-3112) (L) Associate General Counsel Office of the General Counsel John H, Wright (703-351-2770) (A) Information and Privacy Coordinator Office of Information Services Washington, DC 20505 Commerce Department ------------------- Eric Moll (202-377-5391) (L) Chief, General Law Division J. Randall Blumenschein (202-377-3271) (A) Chief, Mgt. Support DIvision Washington, DC 20230 Commission on Civil Rights -------------------------- William H. Gillers (202-376-8514) (L) Solicitor 1121 Vermont Ave., NW, Room 606 Washington, DC 20425 Commodity Futures Trading Commission ------------------------------------ Glynn L. Mays (202- 254-9880) (L) Senior Assistant General Counsel Edward W. Colbert (202-254-3382) (A) Assistant Sec'y to the Commission 2033 K St., NW Washington, DC 20581 Consumer Product Safety Commission ---------------------------------- Alan C. Shakin (202-492-6980) (L) Assistant General Counsel Todd A. Stevenson (202-492-5785) (A) FOIA Officer 5401 Westbard Ave. Washington, DC 20207 Council on Environmental Quality -------------------------------- Edward Yates (202-395-5754) (A) Staff Attorney Office of the General Counsel 722 Jackson Pl, NW Washington, DC 10503 Customs Service --------------- Kathryn C. Peterson (202-566-8681) (L) Chief, Disclosure Law Branch Gerald Crowley (202-566-8681) (A) Paralegal Specialist 1301 Constitution Ave., NW Washington, DC 20229 Defense Department (DOD) ------------------------ Maurice E. White (202-695-6804) (L) Senior Attorney OGC/LC, Room 3E988 Charlie Y. Talbott (202-697-1180) (A) Chief, FOIA Division OASD (PA), Room 2C757 The Pentagon Washington, DC 20301 AIR FORCE: Susan P. Hotchkiss (202-475-7637) (L) HQ USAF/JACL Washington, DC 20324-1000 Richard C. Harding (202-694-4075) (L) HQ USAF/JACM Room eE409 John C. Wren (202-695-6552) (L) Office of General COunsel, Room 4c941 Barbara Carmichael (202-695-4992) (A) SAF/AADADF, Room 4A1088C The Pentagon Washington, DC 20330 ARMY: B.A. Wilkinson (202-697-8029) (L) Office of General Counsel, Room 2E725 The Pentagon Washington, DC 20310-0104 Janet W. Charvat (202-694-4316) (L) Administrative Law Division The Pentagon, Room 2E433 Washington, DC 20310-2200 Edith M. Miley (202-325-6163) (A) FOIA/PA Division USAISC-P(ASQNS-OP-F) Room 1146, Hoffman 1 Alexandria, Va 22331-00301 MARINE CORPS: Darrel L. Moore (202-694-2510) (L) Judge Advocate Division HQMC (JAR), Room 1102 B.L Thompson (202-694-4008) (A) Management Information Systems Division HQMC (Code M1-10), Room 4327, Navy Annex Washington, DC 20380 NAVY: Jane Virga (202-325-9860) (L) Office of the Judge Advocate General 200 Stoval St. Alexandria, VA. 22332 Roger T. MacNamara (202-692-7172) (L) Office of General COunsel, Room 480 Crystal Plaza 5 Washington, DC 20360-5110 Gwen R. Aitken (202-697-1459) (A) CNO (OP-09B30) The Pentagon, Room 5E521 Washington, DC 20350-2000 Defense Intelligence Agency (DIA) --------------------------------- Robert S. Gonzales (202-697-3945) (L) Assistant General Counsel The Pentegon, Room 2E238 Robert C. Hardzog (202-373-8361) (A) Chief, FOIA.PA Staff, RTS-1B Washington, DC 20340 Defense Logistics Agency ------------------------ Dave Henshall (202-274-6234) (A) Administrative Management Branch DLA-XAM, Cameron Station Alexandria, Va 22304-6100 Education Department -------------------- Robert Wexler (202-732-2690) (L) Office of the General Counsel, Room 4122 Alexia J. Roberts (202-732-4568 (A) Office of Public Affairs, Room 2089 FOB 6, 400 Maryland Ave., SW Washington, DC 20202 Energy Department (DOE) ----------------------- Ralph D, Goldenberg (202-586-8665) (L) Assistant General Counsel John H. Carter (202-586-5955) (A) 1000 Independence Ave., CW Washington, DC 20585 Environmental Protection Agency (EPA) ------------------------------------- Marlyne Lipfert (202-382-5460) (L) Office of General Counsel (LE-132G) Jeralene G., Green (202-382-4048) (A) FOIA Officer (A-101) 401 M St., SW Washington, DC 20460 Equal Employment Opportunity Commission (EEOC) ---------------------------------------------- Nicholas M. Inzeo (202-634-6592) (L) Assistant Legal Counsel 2401 E St., NW, Room 214 Washington, DC 20507 Executive Office of the President, Office of Administration ---------------------------------- Arnold Intrater (202-456-2273) (L) General Counsel 472 Old Executive Bldg. Washington, DC 20500 Neil W. Doering (202-395-3367) (A) Chief, Records and Publications Management Branch 2200 New Executive Bldg. Washington, DC 20503 Export-Import Bank ------------------ Stephen G. Glazer (202-566-8864) (L) Associate General Counsel 811 Vermont Ave., NW, Room 957 Washington, DC 20571 Farm Credit Administration (FCA) -------------------------------- James M. Morris (202-883-4020) (L) Office of General Counsel Ronald H. Erickson (202-883-4113) (A) FOIA Officer Office of Cong. and Public Affairs 1501 Farm Credit Dr. McLean, VA 22102-5090 Federal Communications Commission (FCC) --------------------------------------- Lawrence S. Schaffner (202-632-6990) (L) Assistant General Counsel 1919 M St., NW, Room 622 Washington, DC 20554 Federal Deposit Insurance Corporation (FDIC) -------------------------------------------- Thomas A. Schulz (202-898-7267) (L) Assistant General Counsel M. Jane Williamson (202-898-3712) (A) Assistant Executive Secretary 550 17th st., NW Washington, DC 20429 Federal Election Commission --------------------------- Vincent J. Convery, Jr. (202-376-5690) (L) Office of General COunsel Fred S. Eiland (202-376-3155) (A) FOIA Officer 999 E St., NW Washington, DC 20463 Federal Emergency Management Agency ----------------------------------- Lorri L. Jean (202-646-4093) (L) Associate General Counsel, Room 840 Linda M. Keener (202-646-3840) (A) FOIA/PA Specialist, Room 840 500 C St., SW Washington, DC 20472 Federal Energy Regulatory Commission ------------------------------------ Kathleen McDonough (202-357-8002) (L) Office of General Counsel, Room 4400 Victoria R. Calvert (202-357-8088) (A) Director, Public Affairs, Room 9200 825 N. Capitol St., NE Washington, DC 20426 Federal Home Loan Bank Board ---------------------------- William L. Van Lenten (202-906-6773) (L) Assistant General Counsel 1700 G St., NW Washington, DC 20552 Federal Home Loan Mortgage Corporation -------------------------------------- Keith H. Earley (202-759-8414) (L) Assistant General Counsel P.O. Box 4115 Reston, VA 22090 Federal Labor Relations Authority --------------------------------- William E. Persina (202-382-0781) (L) Acting Solicitor, Room 222 David L. Feder (202-382-0834) (A) Assistant General Counsel, Room 326 500 C St., SW Washington, DC 20424 Federal Maritime Commission --------------------------- Joseph C. Polking (202-523-5725) (A) Secretary 1100 L St., NW, Room 11101 Washington, DC 20573 Federal Mediation and Conciliation Service ------------------------------------------ Ted M. Chaskelson (202-653-5305) (L) General Counsel 2100 K St., NW Washington, DC 20427 Federal Mine Safety and Health Review Commission ------------------------------------------------ Richard Baker (202-653-5625) (L) Executive Director 1730 K St., NW, Room 614 Washington, DC 20006 Federal Reserve Board --------------------- Elaine M. Boutilier (202-452-2418) (L) Legal Division 20th & C Sts., NW, Room B1051B Washington, DC 20551 Federal Trade Commission ------------------------ Marc Wineman (202-326-2451) (L) Assistant to General Counsel Yvette Lewis-Byrd (202-326-2402) (A) Sixth St. & Pennsylvania Ave., NW Washington, DC 20580 Food and Drug Administration (FDA) ---------------------------------- Gerald H, Deighton (202-443-1812) (A) 5600 Fishers Lane, (HFI-30) Rockville, MD 20857 Foreign Claims Settlement Commission ------------------------------------ Judith H Lock (202-653-6155) (A) Administrative Officer 1111 20th St., NW, Room 400 Washington, DC 20579 General Accounting Office ------------------------- Nola Casieri (202-275-1970) (A) 441 G St., NW, Room 6800 Washington, DC 20548 General Services Administration (GSA) ------------------------------------- Helen C. Maus (202-566-1460) (L) Attorney-Advisor Barbara M. Williams (202-566-1643) (A) 18th & F Sts., NW Washington, DC 20405 Health & Human Services Department ---------------------------------- Mary C. McNamara (202-475-0153) (L) Office of the General Counsel Room 5362, Cohen Bldg. 330 Independence Ave., SW Washington, DC 20201 Russell M. Roberts (202-472-7453) (A) Director, FOIA/Privacy Division Room 645F, HHH Bldg. 200 Independence Ave.. SW Washington, DC 20201 Housing & Urban Development Division (HUDD) ------------------------------------------- Charles M. Farbstein (202-755-7137) (L) Assistant General Counsel, Room 10254 Doris Warner (202-755-6980) (A) Office of Public Affairs, Room 10132 451 7th St., SW Washington, DC 20410 United States Information Agency -------------------------------- Lorie J. Nierenberg (202-485-8827) (L) Assistant General Counsel Lola L. Secora (202-485-7499) (A) FOIA/PA Officer 301 4th St., SW Washington, DC 20547 Inter-American Foundation ------------------------- Charles M. Berk (202-841-3812) (L) General Counsel Melvin Asterken (202-841-3812) (A) FOIA Officer 1515 Wilson Blvd. Rosslyn, VA 22209 Interior Department ------------------- John D. Trezise (202-343-5216) (L) Assistant Solicitor 18 & E Sts., NW Washington, DC 20240 Internal Revenue Service (IRS) ------------------------------ Peter V. Filpi (202-566-4109) (L) Assistant Chief Counsel John Fuhrman (202-566-3359) (A) Chief, FOIA/PA Branch 1111 Constitution Ave., NW Washington, DC 20224 International Development Cooperation Agency -------------------------------------------- Jan Miller (202-647-8218) (L) Assistant General Counsel for Employee & Public affairs, Room 6829 James L. Harper (202-647-1859) (A) Office of Public Inquires, Room 5756 320 21st St., NW Washington, DC 20523 Interstate Trade Commission --------------------------- W.W. Gearhart (202-252-1091) (L) Assistant General Counsel Kenneth R. Mason (202-252-1000) (A) Secretary to the Commission 500 E St., SW Washington, DC 20436 Interstate Commerce Commission ------------------------------ Robert S Burk (202-275-7312) (L) General Counsel, Room 5211 S. Arnold Smith (202-275-7076) (A) FOIA/PA Officer, Room 3132 12the & Constitution Ave., NW Washington, DC 20423 Justice Department (DOJ) ------------------------ Richard L. Huff (202-633-FOIA) (L) Daniel J. Metcalfe Co-Directors, Room 7238 Office of Information and Privacy Washington, DC 20530 Rhonda S. Gains (202-633-1938) (A) FOIA/PA Section, Room B-327 Justice Management Division Washington, DC 20530 Antitrust Division Leo D. Neshkes (202-633-2692) (A) FOIA/PA Officer, Room 3232 Washington, DC 20530 Bureau of Prisons Renee Barley (202-724-3062) (A) FOIA/PA Officer, Room 767 HOLC Washington, DC 20534 Civil Division Elizabeth A. Pugh (202-633-3178) (L) Federal Programs Branch, Room 3646 Leonard Schaitman (202-633-3441) (L) Appellate Staff, Room 3614 James M. Kovakas (202-633-2319) (A) FOIA/PA Office, Room 3343 Washington, DC 20530 Civil Rights Division Nelson D. Hermilla (202-633-2319) (A) Chief, FOIA/PA Branch, Room 7266 Washington, DC 20530 Criminal Justice Division L. Jeffery Ross (202-786-4637) (A) Chief, FOIA/PA Unit, Room 3126 BOND Washington, DC 20005 Drug Enforcement Agency (DEA) John H. Langer (202-633-1396) (A) Chief, FOIA Section, Room 200 EYE Washington, DC 20537 Executive Office for U.S Attorneys Margaret A. Smith (202-272-9826) (A) Attorney-in-charge, Room 6410 PAT Washington, DC 20530 Federal Bureau of Investigations (FBI) Emil P. Moschella (202-324-5520) (A) Chief, FOIA/PA Section, Room 6296 JEH Washington, DC 20535 Immigration and Naturalization Service Russell A. Powell (202-633-1554) (A) FOIA/PA Section, Room 5056 CAB Washington, DC 20536 Land and Natural Resources Division ----------------------------------- Anne H. Shields (202-633-2586) (A) Section Chief, Room 2133 Washington, DC 20530 Marshals Service ---------------- Florastine P. Graham (202-307-9054) (A) FOIA/PA Officer 600 Army Navy Drive Arlington, VA 22202-4210 Parole Division --------------- Janice G, McLeod (202-492-5959) (A) 5550 Friendship Blvd., Room 420 Chevy Chase, MD 20815 Tax Division ------------ J. Brian Ferrel (202-724-6423) (L) Assistant Chief, CTS, Central Region, Room 6124 JCB Pamela Jones (202-724-7419) (A) FOIA Unit, Room 6823 JCB Washington, DC 20530 Labor Department ---------------- Miriam McD. Miller (202-523-8188) (L) Office of the Solicitor, Room N-2428 200 COnstitution Ave., NW Washington, DC 20210 Legal Services Corporation -------------------------- Joanne Gretch (202-863-1823) (L) FOIA Officer 400 Virginia Ave, SW Washington, DC 20024-2751 Library of Congress ------------------- Dorthy M. Schrader (202-707-8380) (L) General Counsel William C. Froelich (202-707-8380) (A) Copyright Office, Department 17 1st St. & Independence Ave., SE Washington, DC 20540 Merit Systems Production Board ------------------------------ Michael K. Martin (202-653-8261) (L) Office of the General Counsel Michael H. Hoxie (202-653-7200) (A) Director, Information Services Division 1120 Vermont Ave., NW Washington, DC 20419 National Aeronautics and Space Administration (NASA) ---------------------------------------------------- George E. Reese (202-453-2465) (L) Associate General Counsel (Code GG) Patricia M. Riep (202-453-2939) (A) FOIA Officer (Code LN) 400 Maryland Ave., SW Washington, DC 20546 National Credit Union Administration ------------------------------------ Hattie M. Ulan (202-682-9630) (L) Office of the General Counsel 1776 G St., NW Washington, DC 20456 National Endowment for the Arts (NEA) ------------------------------------- Arthur A. Warren (202-682-5418) (L) Deputy General Counsel 1100 Pennsylvania Ave., NW Washington, DC 20506 National Endowment for the Humanities (NEH) ------------------------------------------- Rex O. Arney (202-786-0322) (L) General COunsel 1100 Pennsylvania Ave., NW Washington, DC 20506 National Labor Relations Board ------------------------------ John W. Hornbeck (202-254-9350) (L) Office of the General Counsel, Room 1107 John J. Toner (202-254-9430) (A) Associate Executive Secretary, Room 701 1717 Pennsylvania Ave., NW Washington, DC 20570 National Mediation Board ------------------------ Ronald M. Etters (202-523-5944) (L) General Counsel 1425 K St., NW, Suite 910 Washington, DC 20572 National Railroad Passenger Corporation (AMTRAK) ------------------------------------------------ William F. Erkelenz (202-383-3975) (L) General Solicitor Medaris W. Oliveri (202-383-2728) (A) FOIA Officer 400 N, Capitol St., NW Washington, DC 20001 National Science Foundation --------------------------- Lewis E. Grotke (202-357-9435) (L) Assistant General Counsel, Room 501 Maryellen Schoolmaster (200-357-9494) (A) FOIA Officer, Room 527 1800 G St., NW Washington, DC 20550 National Security Agency (NSA) ------------------------------ Vito T. Potenza (301-688-6054) (L) Assistant General Counsel/Litigation James V. Pasquarelli (301-688-6527) (A) Chief, Information Policy Division Ft. George C. Meade, MD 20755-6000 National Security Council (NSC) ------------------------------- Nicholas Rostow (202-456-6538) (L) Legal Adviser 378 Old Executive Office Bldg. Nancy V. Menan (202-395-3103) (A) Senior Director of FOIA 375 Old Executive Office Bldg. Washington, DC 20506 National Transportation Safety Board ------------------------------------ Ronald S. Battocchi (202-382-6546) (L) Office of General Counsel, Room 818 B. Michael Levins (202-382-6700) (A) Bureau of Administration, Room 802 800 Independence Ave., SW Washington, DC 20594 Nuclear Regulatory Commission (NRC) ----------------------------------- Mary Katherine Hembree (202-492-1559) (L) Attorney, Office of General Counsel Linda L. Robinson (202-492-8133) (A) Chief, FOIA/LPDR Washington, DC 20555 Occupational Safety and Health Review Board ------------------------------------------- Earl R. Ohman, Jr. (202-634-4015) (L) General Counsel Linda A. Whitsett (202-634-7943) (A) 1825 K St., NW Washington, DC 20006 Office of Federal Inspector for Alaskan Natural Gas Pipeline ------------------------------------------------------------ Nancy M. Ellett (202-586-4669) (A) Administrative Officer, Code FA-1 1000 Independence Ave., SW Washington, DC 20585 Office of Management and Budget ------------------------------- Mac Reed (202-395-5600) (L) ** Assistant General Counsel 464 Old Executive Office Bldg. Darrel A. Johnson (202-395-7250) (A) Assistant Director for Administration 9026 New Executive Office Bldg. Washington, DC 20503 ** For policy guidance on the Privacy Act and on FOIA fee matters, contact OMB's Robert N. Veeder, at 202-395-4814 Office of Personnel Management ------------------------------ Kathleen O. Martin (202-632-4632) (L) Office of General Counsel Charles R. Chesek (202-632-2860) (A) 1900 E St., NW Washington, DC 20415 Office of Science & Technology Policy ------------------------------------- Barbara J. Diering (202-395-7347 (A) Special Assistant 5013 New Executive Office Bldg. washington, DC 20506 Office of U.S. Trade Representative ----------------------------------- Dorothy S. Balaben (202-395-3432) (A) FOIA Officer 600 17th St., NW Washington, DC 20506 Office of the Vice President ---------------------------- Diane G. Weinstein (202-456-2326) (L) Counselor to the Vice President 271 Old Executive Office Bldg. Washington, DC 20501 Overseas Private Investment Corporation --------------------------------------- Herbert A. Glaser (202-457-7015) (L) Office of the General Counsel 1615 M St.,, NW Washington, DC 20527 Panama Canal Commission ----------------------- John L. Haines, Jr. (011-507-527511) (L) General COunsel (Balboa, Panama) APO Miami, Fl 34011-5000 Barbara A. Fuller (202-634-6441) (A) Assistant to the Secretary for Commission Affairs 2000 L St., NW, Suite 550 Washington, DC 20036-4996 Peace Corps ----------- Robert L. Martin (202-254-3114) (L) Associate General Counsel John M. von Reyn (202-254-6020) (A) 1990 K St., NW Washington, DC 20526 Pension Benefit Guaranty Corporation ------------------------------------ Philip R. Hertz (202-778-8821) (L) Office of the General Counsel, Room 7218 E. William Fitzgerald (202-778-8840) (A) Disclosure Officer, Room 7016 2020 K St., NW Washington, DC 20006 Pennsylvania Avenue Development Corporation ------------------------------------------- Staff (202-724-9091) 1331 Pennsylvania Ave., NW Suite 1220 North Washington, DC 20004 Postal Service -------------- Charles D. Hawley (202-268-2971) (L) Assistant General Counsel Philip J.G. Skelly (202-268-2924) (A) Records Officer 475 L'Enfant Plaza West, SW Washington, DC 20260 Railroad Retirement Board ------------------------- Karl T. Blank (312-386-4941) (L) Bureau of Law LeRoy F. Blommaert (312-386-4548) (A) FOIA Officer 844 Rush St. Chicago, IL 60611 Securities & Exchange Commission -------------------------------- Richard M. Humes (202-272-2454) (L) Assistant General Counsel Hannah R. Hall (202-272-7422) (A) FOIA Officer 450 5th St., NW Washington, DC 20549 Selective Service System ------------------------ Henry N. Williams (202-724-1167) (L) General Counsel 1023 31st St., NW Washington, DC 20435 Small Business Administration ----------------------------- Mona K. Mitnick (202-653-6762) (L) Office of General COunsel Beverly K. Linden (202-653-6460) (A) Chief, Office of FOIA/PA 1441 L St., NW Washington, DC 20416 Social Security Administration ------------------------------ David Hartly (202-625-3133) (L) Office of General Counsel, Room 614, Altmeyer Bldg. Timothy D. Robertson (202-625-2736) (A) FOIA Officer, Room 4100 Annex 6401 Security Blvd. Baltimore, MD 21235 State Department ---------------- Mary Catherine Malin (202-647-3022) (L) Attorney-Adviser, Room 4427A Frank M. Machak (202-647-7740) (A) FOIA Coordinator, Room 1239 2201 C St., NW Washington, DC 20520 Tennessee Valley Authority (TVA) -------------------------------- Maureen H. Dunn (615-632-4131) (L) Assistant General COunsel James A Carmichael (615-632-8018) (A) Manager, Office of Public Affairs 400 West Summit Hill Dr. Knoxville, TN 37902 Transportation Department (DOT) ------------------------------- Robert I. Ross (202-366-9154) (L) Office of General Counsel (C-10) Rebecca H. Lima (202-366-4542) (A) Chief, FOIA Division (A-32) 400 7th St., SW Washington, DC 20590 Treasury Department ------------------- Raymond J. McKenna (202-566-2327) (L) Office of General Counsel, Room 1414 Karne B. Cameron (202-566-2789) (A) Disclosure Officer, Room 1054 1500 Pennsylvania Ave., NW Washington, DC 20220 Veterans Affairs Department --------------------------- Thomas Gessell (202-233-3584) (L) Office of General Counsel (O24K) Lynn H. Covington (202-233-3616) (A) Director, PMRS (73) 810 Vermont Ave., NW Washington, DC 20420 The White House --------------- C. Boyden Gray (202-456-2632) (L) Counsel to the President 1600 Pennsylvania Ave., NW Washington, DC 20500 ----------------------------------------------------------------------- S T A T E F O I A O F F I C E S ----------------------------------------------------------------------- HOW TO USE STATE OPEN RECORDS LAWS - FREEDOM OF INFORMATION ----------------------------------------------------------- Just as the Freedom of Information Act, enacted by Congress in 1966, gave individuals the right to request and receive information held by the federal government, all states have laws giving the public access to their government records. Many of these laws, often called the Open Record laws, are modeled after the federal act. The state statutes have some similarities. What is covered under the act, for example, invariably covers all books, maps, photographs and other documents made or received by any government agency in transaction with public business. And just as the federal act has exemptions to the rules, so do the state laws. While most of them exempt personnel, medical and other personal files as well as criminal intelligence information and "trade secrets," there are less common ones. For example, in SOuth Dakota, commercial fertilizer reports are exempt. In Florida, information provided to an agency for the purpose of ride-sharing arrangements is exempt, and in New Hampshire, meat inspection records are closed. Companies can get a wide range of information from the state's Open Record laws. Here are a few examples of how these laws have been successfully used at the state level: Bookstore Gets School Reading List ---------------------------------- In Maryland, a bookstore used the state Open Records Law to obtain the required reading list for various courses at the state university in order to stock those books for the coming school year. Environmental Group Obtains Damaging Drinking Water Study --------------------------------------------------------- In New York, and environmental group was able to get reports, analyses, and ��records �concerning �soil �borings �regarding �a �drinking �water treatment plant prepared by a consulting firm for the city �of �Niagara Falls Advertiser Gets State's Mailing List ------------------------------------ Through the Open Record Law in Mississippi, a company wishing to expand its advertising list was able to get a list of all the states residents who had a drivers license. The way laws are administered varies. Some states have time limits for agencies to respond to requests -- usually between three to ten working days; others do not. Some states have administrative review processes available to individuals who have been denied their request. In other states a person's only recourse is to go to court. Some laws state whether or not the motive of the requester is relevant in allowing access to records; some provide sanctions for violations of the statutes, others do not. In addition, several states publish pamphlets explaining their law and how to file a request for records. New York, for example, has a committee on Open Government composed of members of the government and the public. It furnishes advice to agencies, the public and the news media and annually reports its recommendations and observations to the governor and the legislature. Unlike the federal act, which has been amended only a few times, state acts are often changed on a frequent basis. Information on a state's FOIA can usually be obtained from the office of the attorney general. Listed below are their addresses, telephone numbers, and some information about the laws and their exemptions. The common exemptions --personal records, criminal investigation files, library and academic -- are not listed for each state. Some of the exemptions that are listed are exempted by other state laws. States may charge fees to cover the cost of searches and/or the cost of copying records. ----------------------------------------------------------------------- S T A T E F R E E D O M O F I N F O R M A T I O N O F F I C E S ----------------------------------------------------------------------- Alabama : Office of the Attorney General Alabama State House 11 S. Union St. Montgomery, AL 36130 205-261-7300 Exemptions include income tax returns, records of child care facilities, certain conservation and natural resource information. Alaska : Office of Attorney General Department of Law P.O. Box K State Capitol Juneau, AK 99811 907-465-3600 Exemptions because of other state laws include: geological and other information submitted for persons applying to lease or buy land, reports, logs, and surveys held by the Department of Natural Resources relating to oil wells for which a permit to drill was issued by the department, information contained in audit reports or tax returns. There is no time limit for responding to a request. Arizona : Office of Attorney General 1275 W. Washington Phoenix, AZ 85997 602-542-4266 Exemptions include consumer fraud reports, racketeering investigations, minutes of executive sessions of public bodies. Arkansas : Office of Attorney General 210 E. Markham St. Heritage West Building Little Rock, AR 72201 501-371-2007 Exemptions include state income tax records, grand jury minutes. Records specifically declared open include motor vehicle citations and blood alcohol tests, payroll records of covered bodies, juvenile court records. Records must be made available within three working days of the time requested. California : Office of Attorney General Department of Justice P.O. Box 944255 Sacramento, CA 94244-2550 916-322-3360 Exemption include requests for bilingual election material, records of regulations of financial institutions, records of utility systems development or market of crop reports, real estate appraisals, statements of finances required by licensing agency. Agencies have ten working days to comply with requests. If denied access, an individual may request a review with the information practices coordinator. Colorado : Office of Attorney General 1525 Sherman St. - 3rd Floor Denver, CO 80203 303-866-3611 Access may be denied for information pertaining to licensing, specific details of state research projects, real estate appraisals by the state before any purchase. Records must be turned over within three working days after a request has been made. Connecticut : Freedom of Information Commission 97 Elm St. - Rear Hartford, CT 06106 203-566-5682 Exemptions include real estate appraisals, collective bargaining, antitrust investigations and state sales and use tax. Any person denied the records requested may appeal to the Freedom of Information Commission. Delaware : Office of Attorney General 820 N. French St. - 8th Floor Wilmington, DE 19801 302-571-2500 Exemptions include labor negotiations, records of permits for concealed weapons, anonymous contributors to charity. District of Columbia : Office of Corporate Counsel District Building 1350 Pennsylvania Ave., NW Washington, DC 20004 202-727-6248 Exemptions include information related to civil antitrust investigations, fire loss information furnished by insurer to fire marshal. Records declared open include names, salaries, title and dates of employment of all employees or officers of the mayor and an agency. Florida : Office of Attorney General The Capitol Tallahassee, FL 32399-1050 904-487-1963 Exemption include home addresses, phone numbers and photos of law enforcement personnel. Records held legally open include autopsy reports, inspection records of nursing homes compiled by the Department of Health, appraisal reports of land acquisitions made by a city, vote sheets, final orders and other documents of the Public Service Commission. Georgia : Office of Attorney General Department of Law 132 State Judicial Building Atlanta, GA (zip?) 404-656-3300 Exemptions include tax returns, medical peer review group records. Records declared to be confidential by court decision or attorney general's opinions include: salary information of county employees contained only in personnel files and not included as part of another public record. Hawaii : Office of Attorney General Hawaii State Capitol, Room 405 Honolulu, HI 96813 808-548-4740 Exemption through other state laws include applications for licenses to manufacture or sell motor vehicles, fire investigation records of county fire chiefs may be withheld. There is no time limit for responding to requests. Idaho : Office of Attorney General Boise, ID 83722 208-334-2400 Exemptions include papers filed with the judicial council or masters appointed by the supreme court concerning removal, discipline or retirement of judges or justices. Illinois : Office of Attorney General Springfield. IL 62706 217-782-1090 Exemption include taxpayer information, research data, proposals and bids for contracts, grants and agreements, architects' and engineers' plans. Indiana : Office of Attorney General 219 State House Indianapolis, IN 46204 317-232-6201 Exemption include information concerning research conducted under the auspices of institutions of higher learning. Information that may be withheld includes negotiations in progress with industrial, research, or commercial prospects. Iowa : Office of Attorney General Department of Justice Hoover Building Des Moines, IA 50319 515-281-5164 Exemptions include appraisal information for possible public land purchase, Iowa Development Commission information on industrial prospects in negotiations, and financial statements submitted to the state Commerce Commission. Records that have been legally open include the Book of Accounts required to be kept by county auditors, and jury lists. Kansas : Office of Attorney General Kansas Judicial Center - 2nd Floor Topeka, KS 66612 913-296-2215 Exemption include appraisals of property, software programs, well samples, logs and surveys, census and research records, and records of utility customers. Kentucky : Office of Attorney General Capitol Building Frankfort, KY 40601 502-564-7600 Exemptions include details of possible real estate acquisitions, prospective locations of unannounced business. Records legally open include coroner's reports, tax records in the custody of the property valuation administrator Records of disciplinary actions of the state board of medical licensure. A public body must respond in three working days to a request. Louisiana : Office of Attorney General Department of Justice 234 Loyola Building - 7th Floor New Orleans, LA 70112-2096 504-568-5575 Exemptions include tax return information, financial institution records, confidential miner reports, records in control of supervisor of public funds. Records held open under the law include budget requests of a city parish, records of association of public officials. An agency has three working days to respond to a request. Maine : Office of Attorney General State House Station - Six Augusta, ME 04333 207-289-3661 Exemptions include materials that have been exclusively prepared for labor negotiations, information on hazardous waste. Records legally open include private appraisal reports obtained by the Bureau of Parks and Recreation in connection with proposed land acquisitions. A public official has 10 working days to respond to a request. Maryland : Office of Attorney General Munsey Building Calvert and Fayette Streets Baltimore, MD 21202-1909 302-576-6300 Records that may be withheld include details of state research projects, real estate appraisals made for state. Records that must be withheld include confidential financial, geological, data, professional licensing records of individuals. Response to a request must not exceed 30 days. Massachusetts : Office of Attorney General 1 Ashburton Place Boston, MA 02108 617-727-2200 Exemptions include real estate appraisals, name and address of any person contained in an application to carry firearms Michigan : Department of Attorney General 525 West Ottawa St. Lansing, MI 48913 517-373-1110 Exemption include public bids, real estate appraisals, archaeological site information, records of any campaign committee. A public body has five working days to respond to a request. Minnesota : Office of Attorney General 102 Capitol Building St. Paul, MN 55155 612-296-6196 Exemptions include property complaint data, real estate appraisals, social recreation data, energy and financial data, public data. Mississippi : Office of Attorney General P.O. Box 220 Jackson, MS 39205 601-359-3680 Exemptions include individual tax records, certain appraisal records, archaeological records, commercial and financial records. Missouri : Office of Attorney General Supreme Court Building Jefferson City, MO 65102 314-751-3321 Exemption include records of state Militia, records of National Guard, records of labor negotiations. Montana : Office of Attorney General Justice Building 215 North Sanders Helena, MT 59620 406-444-2026 Exemption include unfair trade practice investigations, artificial insemination information, certain vehicle accident reports, reports of financial institutions to the department of commerce, and tax records. there is no time limit for responding to a request. Nebraska : Office of Attorney General 2115 State Capitol Building Lincoln, NE 68509 402-471-2682 Exemption include appraisal and negotiation records concerning purchase or sale of property, sales of use tax records, income tax records. Nevada : Office of Attorney General Heroes Memorial Building Carson, NV 89710 702-647-4170 Exemption include certain vital statistics, certain divorce records, certain prison commission records. New Hampshire : Office of Attorney General State Capitol Annex 25 Capitol Street Concord, NH 03301-6397 603-271-3658 Exemptions include certain bank records, Cancer commission records, certain records of Human Rights Commission, records of malpractice claims, certain tax information. Records legally open include city real estate records, salary information of school boards. New Jersey : Office of Attorney General Richard Highes Complex Center, CN-080 Trenton, NJ 08625 609-292-4919 Exemptions include cancer incident reports, certain records of casino control commission, health department research studies, audits of life insurance companies. New Mexico : Office of Attorney General P.O. Box 1508 Sante Fe, NM 87504 505-827-6000 Exemption include certain historical or educational materials, certain vital statistics. New York : Department of State Committee on Open Government 162 Washington Ave. Albany, NY 12231 518-474-2518 Exemption include records that if disclosed would impair contract awards and collective bargaining. An agency must respond to a request within 5 business days of receipt of request. North Carolina : Department of Justice P.O. �Box 629 Raleigh, NC 27602-0629 919-733-3377 Exemption include certain bank records, commercial feed information, communicable disease records, National Guard records, tax records. North Dakota : Office of Attorney General State Capitol Bismark, MD 58505 701-224-2210 Exemption include air pollution records, health studies, medical review records, legislative investigation records, veterans' records. Records legally open include medical coroner's records, school district records, state highway department records, water conservation commission records, state engineer records, records of charitable records on file with the Secretary of State. Ohio : Office of Attorney General State Office Tower 30 East Broad Street Columbus, OH 43266-0410 614-466-4320 Exemptions include victim impact statements, tax information, statistics concerning veterans exposure to caustic agents. Records legally open include city jail logs, employee address and payroll records of township trustees, complaints files with division of real estate. Oklahoma : Office of Attorney General State of Oklahoma Room 112, State Capitol Oklahoma City, OK 73105 405-521-3921 Exemption include income tax returns filed with the Oklahoma tax commission, certain bank records, income tax records, motor vehicle accident reports. Oregon : Department of Justice Justice Building Salem, OR 97310 503-378-4400 Exemptions include records received or compiled by superintendent of banks, mortality studies, motor vehicle accident reports, bank examinations, corporate tax information, personal property tax returns. Pennsylvania : Office of Attorney General Strawberry Square, 16th Floor Harrisburg, PA 17120 717-787-3391 Exemptions include records of the state ethics commission, records of the judicial inquiry and review board, records of the PA crime commission. Records legally open include salaries and employment address of commonwealth employees. Rhode Island : Department of Attorney General 72 Pine Street Providence, RI 02903 401-274-4400 Exemption include charitable contributions requesting anonymity, collective bargaining, all tax returns, real estate appraisals and engineering feasibility estimates. South Carolina : Office of Attorney General Rembert C. Dennis Building P.O. Box 11549 Columbus, SC 29211 803-734-3970 Exemption include income tax returns, certain records of the Board of Financial Institutions, Board of Dentistry records, contagious disease records, certain information given to the Securities Commission, State Development Board records. Each public body has 15 day to respond to a written request. South Dakota : Office of Attorney General 500 East Capitol State Capitol Building Pierre, SD 57501 605-773-3215 Exemption include commercial fertilizer reports, taxpayer information, hospital inspection information, savings and loan association records. Tennessee : Office of Attorney General 450 James Robertson Parkway Nashville, TN 37219-5025 615-741-6474 Exemption include appraisals of real and personal property, bank examinations, records of the medical review committee, tax records. Texas : Office of Attorney General Supreme Court Building Austin, TX 78711-2548 512-463-2100 Exemptions include real and personal property purchase appraisals and property price, agency reports concerning the supervision of financial institutions, geological information concerning wells, personal property tax records, sales use tax use records. Utah : Office of Attorney General 236 State Capitol Salt Lake City, UT 84114 801-533-5261 Exemptions include income tax returns, certain insurance commission records, certain liquor control commission records, Motor vehicle accident reports, sales tax returns, savings and loan association records. Vermont : Office of Attorney General 109 State Street Montpelier, VT 05602 802-828-3171 Exemptions include tax return records, real estate appraisals, contract negotiation records. A right to appeal a request denial to the agency head exists. Virginia : Office of Attorney General 101 North 8th Street Richmond, VA 23219 804-786-2071 Exemptions: None listed Washington : Public Disclosure Commission 403 Evergreen Plaza Mail Stop F-42 Olympia, WA 98505-3342 206-753-1111 Exemptions Include taxpayer information, real estate appraisal, research data, information identifying archaeological sites, bank exams, salary and fringe information survey. West Virginia : Office of Attorney General Charleston, WV 25305 303-348-2021 Exemption include motor vehicle accident reports, labor dispute records, tax returns, bar disciplinary records. Wisconsin : Department of Justice 123 West Washington Ave. P.O. Box 7857 Madison, WI 53707-7857 608-266-3076 Exemptions include air pollution control records, savings bank exams, public utility accident reports. Wyoming : Office of Attorney General 123 Capitol Building Cheyenne, WY 82002 307-777-7841 Exemption may include details of research projects, real estate appraisals. other statutory exemptions include motor vehicle accident reports, hospital inspection records, use tax records. ----------------------------------------------------------------------- PLEASE DO NOT BREAK THIS FILE UP INTO SMALLER SECTIONS FOR ANY REASON -----------------------------------------------------------------------