Citizen's Guide to using the Freedom of Information Act of 1974

                                   39 006 CC                                

                                       1997                                  

                                                                         

                                                                         


                              Union Calendar No. 25                          


       105th  Congress, 1st  Session                     House Report 105 37  


  A CITIZEN'S GUIDE ON USING THE FREEDOM OF INFORMATION ACT AND THE      
 PRIVACY ACT OF 1974 TO REQUEST GOVERNMENT RECORDS                       

                                                                           


 FIRST REPORT                                                            


 by the                                                                  


 COMMITTEE ON GOVERNMENT                                                 

 REFORM AND OVERSIGHT                                                    



                                                                         

[Graphic Image Not Available]
                                                                         


   March 20, 1997.--Committed to the Committee of the Whole House on the 
 State of the Union and ordered to be printed                            

                        COMMITTEE ON GOVERNMENT REFORM AND OVERSIGHT              

       DAN BURTON, Indiana,  Chairman                                          



          BENJAMIN A. GILMAN, New York                             HENRY A. WAXMAN, California

          J. DENNIS HASTERT, Illinois                              TOM LANTOS, California
          CONSTANCE A. MORELLA, Maryland                           ROBERT E. WISE,  Jr.,  West Virginia
          CHRISTOPHER SHAYS, Connecticut                           MAJOR R. OWENS, New York
          STEVEN H. SCHIFF, New Mexico                             EDOLPHUS TOWNS, New York
          CHRISTOPHER COX, California                              PAUL E. KANJORSKI, Pennsylvania
          ILEANA ROS-LEHTINEN, Florida                             GARY A. CONDIT, California
          JOHN M.  McHUGH,  New York                               CAROLYN B. MALONEY, New York
          STEPHEN HORN, California                                 THOMAS M. BARRETT, Wisconsin
          JOHN L. MICA, Florida                                    ELEANOR HOLMES NORTON, Washington, DC
          THOMAS M. DAVIS, Virginia                                CHAKA FATTAH, Pennsylvania
          DAVID M.  McINTOSH,  Indiana                             TIM HOLDEN, Pennsylvania
          MARK E. SOUDER, Indiana                                  ELIJAH E. CUMMINGS, Maryland
          JOE SCARBOROUGH, Florida                                 DENNIS KUCINICH, Ohio
          JOHN SHADEGG, Arizona                                    ROD R. BLAGOJEVICH, Illinois
          STEVEN C.  LaTOURETTE,  Ohio                             DANNY K. DAVIS, Illinois
          MARSHALL ``MARK'' SANFORD, South Carolina                JOHN F. TIERNEY, Massachusetts
          JOHN E. SUNUNU, New Hampshire                            JIM TURNER, Texas
          PETE SESSIONS, Texas                                     THOMAS H. ALLEN, Maine
          MIKE PAPPAS, New Jersey                                        ------
          VINCE SNOWBARGER, Kansas                                 BERNARD SANDERS, Vermont (Independent)
          BOB BARR, Georgia                                        
          ------ ------                                            

        Kevin Binger,  Staff Director                                          

        Daniel R. Moll,  Deputy Staff Director                                 

        Judith McCoy,  Chief Clerk                                             

        Phil Schiliro,  Minority Staff Director                                

              GOVERNMENT MANAGEMENT, INFORMATION, AND TECHNOLOGY SUBCOMMITTEE     

       STEPHEN HORN, California,  Chairman                                     



          PETE SESSIONS, Texas                         CAROLYN MALONEY, New York

          TOM DAVIS, Virginia                          PAUL E. KANJORSKI, Pennsylvania
          JOE SCARBOROUGH, Florida                     MAJOR R. OWENS, New York
          MARK SANFORD, South Carolina                 ROD R. BLAGOJEVICH, Illinois
          JOHN E. SUNUNU, New Hampshire                DANNY K. DAVIS, Illinois
          ------ ------                                

                                         EX OFFICIO                               



          DAN BURTON,  Indiana           HENRY A. WAXMAN, California

        J. Russell George,  Staff Director and Counsel                         

        Mark Uncapher,  Counsel                                                

        Andrea Miller,  Clerk                                                  

        Dave McMillen,  Minority Professional Staff                            

                                            (II)                                  

                                                                         


                                    LETTER OF TRANSMITTAL                         

                                                                        

       House of Representatives,                                               

       Washington, DC, March 20, 1997.                                         



          Hon.  Newt Gingrich,           Speaker of the House of Representatives,

       Washington, DC.                                                         

       Dear Mr. Speaker : By direction of the Committee on Government      
   Reform and Oversight, I submit herewith the committee's first report to 
   the 105th Congress. The committee's report is based on a study conducted
   by its Subcommittee on Government Management, Information, and          
   Technology.                                                             
        Dan Burton,                                                             

        Chairman.                                                               

            (iii)                                                                   

                                                                         


                               CONTENTS                                 
                                                                          Page
  Preface                                                                 1
  Introduction                                                            2
  Recommendations                                                         4
  How to use this guide                                                   5
  Which act to use                                                        5
  The Freedom of Information Act                                          6

     A. The scope of the Freedom of Information Act                          

        6                                                                       

     B. What records can be requested under the FOIA?                        

        6                                                                       

     C. Making a FOIA request                                                

        9                                                                       

     D. Fees and fee waivers                                                 

        11                                                                      

     E. Requirements for agency responses                                    

        13                                                                      

     F. Reasons access may be denied under the FOIA                          

        14                                                                      

     1. Exemption 1.--Classified documents                                   

        15                                                                      

     2. Exemption 2.--Internal personnel rules and practices                 

        16                                                                      

     3. Exemption 3.--Information exempt under other laws                    

        16                                                                      

     4. Exemption 4.--Confidential business information                      

        16                                                                      

     5. Exemption 5.--Internal Government communications                     

        17                                                                      

     6. Exemption 6.--Personal privacy                                       

        17                                                                      

     7. Exemption 7.--Law enforcement                                        

        18                                                                      

     8. Exemption 8.--Financial institutions                                 

        19                                                                      

     9. Exemption 9.--Geological information                                 

        19                                                                      

     G. FOIA exclusions                                                      

        19                                                                      

     H. Administrative appeal procedures                                     

        20                                                                      

     I. Filing a judicial appeal                                             

        21                                                                      

        VII.                                                                    

          The Privacy Act of 1974                                                 

        22                                                                      

     A. The scope of the Privacy Act of 1974                                 

        22                                                                      

     B. The Computer Matching and Privacy Protection Act                     

        23                                                                      

     C. Locating records                                                     

        24                                                                      

     D. Making a Privacy Act request for access                              

        26                                                                      

     E. Fees                                                                 

        27                                                                      

     F. Requirements for agency responses                                    

        27                                                                      

     G. Reasons access may be denied under the Privacy Act                   

        27                                                                      

     1. General exemptions                                                   

        28                                                                      

     2. Specific exemptions                                                  

        29                                                                      

     3. Medical records                                                      

        30                                                                      

     4. Litigation records                                                   

        30                                                                      

     H. Administrative appeal procedures for denial of access                

        31                                                                      

     I. Amending records under the Privacy Act                               

        31                                                                      

     J. Appeals and requirements for agency responses                        

        32                                                                      

     K. Filing for judicial appeal                                           

        33                                                                      

                                         APPENDIXES                               

   Appendix 1.--Sample request and appeal letters                          

        35                                                                      

    A. Freedom of Information Act request letter                            

        35                                                                      

    B. Freedom of Information Act appeal letter                             

        37                                                                      

    C. Privacy Act request for access letter                                

        39                                                                      

    D. Privacy Act denial of access appeal                                  

        40                                                                      

    E. Privacy Act request to amend records                                 

        41                                                                      

    F. Privacy Act appeal of refusal to amend records                       

        42                                                                      

      Appendix 2.--Bibliography of congressional publications on the       
   Freedom of Information Act                                              
        43                                                                      

      Appendix 3.--Bibliography of congressional publications on the       
   Privacy Act of 1974                                                     
        47                                                                      

   Appendix 4.--Text of the Freedom of Information Act                     

        50                                                                      

   Appendix 5.--Text of the Privacy Act of 1974                            

        60                                                                      

                                            (V)                                   

                                                                         


     Union Calendar No. 25                                                   

105 th Congress                                                         

Report                                                                  

                                                                            

                                                                             

HOUSE OF REPRESENTATIVES                                                

1st Session                                                             

105 37                                                                  

                                                                        


  A CITIZEN'S GUIDE ON USING THE FREEDOM OF INFORMATION ACT AND THE      
 PRIVACY ACT OF 1974 TO REQUEST GOVERNMENT RECORDS                       
                                                                         

   March 20, 1997.--Committed to the Committee of the Whole House on the 
 State of the Union and ordered to be printed                            
                                                                         

  Mr. Burton, from the Committee on Government Reform and Oversight,     
 submitted the following                                                 
 FIRST REPORT                                                            


      On March 12, 1997, the Committee on Government Reform and Oversight  
   approved and adopted a report entitled ``A Citizen's Guide on Using the 
   Freedom of Information Act and the Privacy Act of 1974 To Request       
   Government Records.'' The chairman was directed to transmit a copy to   
   the Speaker of the House.                                               
                                         I. PREFACE                               

      In 1977, the House Committee on Government Operations issued the     
   first Citizen's Guide on how to request records from Federal            
   agencies.\1\                                                            
    The original Guide was reprinted many times and widely distributed. The
   Superintendent of Documents at the Government Printing Office reported  
   that almost 50,000 copies were sold between 1977 and 1986 when the Guide
   went out of print. In addition, thousands of copies were distributed by 
   the House Committee on Government Operations, Members of Congress, the  
   Congressional Research Service, and other Federal agencies. The original
   Citizen's Guide is one of the most widely read congressional committee  
   reports in history.                                                     
   \1\ A Citizen's Guide on How to Use the Freedom of Information Act and  
   the Privacy Act in Requesting Government Documents, H. Rept. 95 796,    
   95th Cong., 1st sess. (1977).                                           
   In 1987, the committee issued a revised  Citizen's Guide. \2\           

    The new edition was prepared to reflect changes to the Freedom of      
   Information Act made during 1986. As a result of special efforts by the 
   Superintendent of Documents at the Government Printing Office, the      
   availability of the new Guide was well publicized. The 1987 edition     
   appeared on GPO's ``Best Seller'' list in the months following its      
   issuance.                                                               
   \2\ A Citizen's Guide on Using the Freedom of Information Act and the   
   Privacy Act of 1974 To Request Government Records, H. Rept. 100 199,    
   100th Cong., 1st sess. (1987).                                          
      During the 100th Congress, major amendments were made to the Privacy 
   Act of 1974. The Computer Matching and Privacy Protection Act of 1988\3\
    added new provisions to the Privacy Act and changed several existing   
   requirements. None of the changes affects citizen's rights to request or
   see records held by Federal agencies, but some of the information in the
   1987 Guide became outdated as a result, and a third edition was issued  
   in 1989.\4\                                                             
                                                                           

   \3\102 Stat. 2507.                                                      

   \4\ A Citizen's Guide on Using the Freedom of Information Act and the   
   Privacy Act of 1974 To Request Government Records, H. Rept. 101 193,    
   101st Cong., 1st sess. (1989).                                          
      During the 101st Congress, the Privacy Act of 1974 was amended       
   through further adjustments to the Computer Matching and Privacy        
   Protection Act of 1988. The changes did not affect access rights. A     
   fourth edition of the Citizen's Guide reflected all changes to the FOIA 
   and Privacy Act made through the end of 1990.\5\                        
    A fifth edition of the Guide, produced in 1993, included an expanded   
   bibliography and editorial changes.\6\                                  
                                                                           

   \5\ A Citizen's Guide on Using the Freedom of Information Act and the   
   Privacy Act of 1974 To Request Government Records, H. Rept. 102 146,    
   102d Cong., 1st sess. (1991).                                           
   \6\ A Citizen's Guide on Using the Freedom of Information Act and the   
   Privacy Act of 1974 To Request Government Records, H. Rept. 103 104,    
   103d Cong., 1st sess. (1993).                                           
      A sixth edition contained bibliography additions and editorial       
   changes and represented the first report issued by the new Government   
   Reform and Oversight Committee.\7\                                      
                                                                           

   \7\ A Citizen's Guide on Using the Freedom of Information Act and the   
   Privacy Act of 1974 To Request Government Records, H. Rept. 104 156,    
   104th Cong., 1st sess. (1995).                                          
      In the closing days of the 104th Congress, the Senate and the House  
   of Representatives completed action on the Electronic Freedom of        
   Information Act Amendments of 1996. The President signed this           
   legislation into law on October 2, 1996, when it became Public Law 104  
   231. With the exception of two sections, these amendments become        
   effective 180 days after enactment of the legislation. The other two    
   sections become effective 1 year after enactment. Because the 1996      
   amendments change some FOIA access rights, this seventh edition of the  
   Guide was prepared to reflect these modifications. It also contains     
   bibliography additions and editorial changes.\8\                        
                                                                           

   \8\The committee wishes to acknowledge the assistance of Harold C.      
   Relyea, Specialist, American National Government, Government Division,  
   Congressional Research Service, in the preparation of this report.      
                                      II. 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 own Governors,   
          must arm themselves with the power knowledge gives.-- James   
          Madison\9\                                                    
                                                                           

   \9\Letter to W.T. Barry, Aug. 4, 1822, in G.P. Hunt, ed., IX The        
   Writings of James Madison 103 (1910).                                   

      The Freedom of Information Act [FOIA] establishes a presumption that 
   records in the possession of agencies and departments of the executive  
   branch of the U.S. Government are accessible to the people. This was not
   always the approach to Federal information disclosure policy. Before    
   enactment of the FOIA in 1966, the burden was on the individual to      
   establish a right to examine these government records. There were no    
   statutory guidelines or procedures to help a person seeking information.
   There were no 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        
   disclosed and which records may be withheld. 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 recordkeeping and disclosure        
   practices. The act allows most individuals to seek access to Federal    
   agency records about themselves. The act requires that personal         
   information in agency files be accurate, complete, relevant, and timely.
   The subject of a record may challenge the accuracy of 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 may 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 support the disclosure of    
   agency records, both laws also recognize the legitimate need to restrict
   disclosure of some information. For example, agencies may withhold      
   information properly classified in the interest of national defense or  
   foreign policy and criminal investigatory files. Other specifically     
   defined categories of 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 law grants an absolute right to examine government documents,   
   both laws establish the right to request records and to receive a       
   response to the request. If a record cannot be released, the requester  
   is entitled to be told the reason for the denial. The requester also 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. As a result, the disclosure of Federal  
   Government information cannot be controlled by arbitrary or unreviewable
   actions.                                                                
                                    III. RECOMMENDATIONS                          

      The committee recommends that this Citizen's Guide be made widely    
   available at low cost to anyone who has an interest in obtaining        
   documents from the Federal Government. The Government Printing Office   
   and Federal agencies subject to the Freedom of Information Act and the  
   Privacy Act of 1974 should continue to distribute this report widely.   
      The committee also recommends that this Citizen's Guide be used by   
   Federal agencies in training programs for government employees who are  
   responsible for administering the Freedom of Information Act and the    
   Privacy Act of 1974. The Guide should also be used by those government  
   employees who only occasionally work with these two laws.               
      In following these recommendations, however, agencies are not        
   relieved of their obligation to comply with the provisions of the 1996  
   FOIA amendments requiring agencies to make publicly available, upon     
   request, reference material or an agency guide for requesting records or
   information. This agency guide should include an index and description  
   of all major information systems of the agency, and guidance for        
   obtaining various types and categories of public information from the   
   agency.                                                                 
      The agency guide is intended to be a short and simple explanation for
   the public of what the FOIA is designed to do, and how a member of the  
   public can use it to access government records. Each agency should      
   explain, in clear and simple language, the types of records that can be 
   obtained from the agency through FOIA requests; why some records cannot,
   by law, be made available; and how the agency makes the determination of
   whether or not a record can be released.                                
      Each agency guide should explain how to make a FOIA request, and how 
   long a requester can expect to wait for a reply from the agency. In     
   addition, the guide should explain the requester's rights under the law 
   to appeal to the courts to rectify agency action. The guide should give 
   a brief history of recent litigation the agency has been involved in,   
   and the resolution of those cases. If an agency requires that certain   
   requests, such as applications for expedited access, be completed on    
   agency forms, then the forms should be part of the guide.               
      The agency guide is intended to supplement other information locator 
   systems, like the Government Information Locator System (GILS) mandated 
   by the Paperwork Reduction Act of 1995.\10\                             
    Thus, the guide should reference systems and explain how a requester   
   can obtain more information about them. Any agency specific locator     
   systems should be similarly referenced in the guide.                    
   \10\109 Stat. 163; 44 U.S.C. 3501 3520 (1995).                          

      All agency guides should be available through electronic means, and  
   should be linked to agency annual reports on FOIA administration. A     
   citizen examining an agency guide should learn how to access the        
   agency's annual reports, and any potential requester reading an annual  
   report should learn about the agency guide, and how to access it.       
                                 IV. HOW TO USE THIS GUIDE                        

      This report explains how to use the Freedom of Information Act and   
   the Privacy Act of 1974. It reflects all changes to the laws made since 
   1996. Major amendments to the Freedom of Information Act passed in 1974,
   1986, and 1996. A major addition to the Privacy Act of 1974 was enacted 
   in 1988. Minor amendments to the Privacy Act were made in 1989 and 1990.
      This Guide is intended to serve as a general introduction to the     
   Freedom of Information Act and the Privacy Act.\11\                     
    It offers neither a comprehensive explanation of the details of these  
   acts nor an analysis of case law. The Guide will enable those who are   
   unfamiliar with the laws to understand the process and to make a        
   request. In addition, the complete text of each law is included in an   
   appendix.                                                               
   \11\This Guide is primarily intended to help the general public. It     
   includes a complete explanation of the basics of the two laws. In the   
   interest of producing a guide that would be both simple and useful to   
   the intended audience, the committee deliberately avoided addressing    
   some of the issues that are highly controversial. The committee cautions
   against treating the neutrally written descriptions contained in this   
   report as definitive expressions of the committee's views of the law or 
   congressional intent.                                                   
      Readers should be aware that FOIA litigation is a complex area of    
   law. There are thousands of court decisions interpreting the FOIA.\12\  
    These decisions must be considered in order to develop a complete      
   understanding of the principles governing disclosure of government      
   information. Anyone requiring more details about the FOIA, its history, 
   or the case law should consult other sources. There has been less       
   controversy and less litigation over the Privacy Act, but there is,     
   nevertheless, a considerable body of case law for the Privacy Act as    
   well. There are also other sources of information on the Privacy Act.   
   \12\See, e.g., U.S. Department of Justice, Office of Information and    
   Privacy, Freedom of Information Case List (published biennially) and    
   Freedom of Information Act Guide & Privacy Act Overview (published      
   annually).                                                              
      However, no one should be discouraged from making a request under    
   either law. No special expertise is required. Using the Freedom of      
   Information Act and the Privacy Act is as simple as writing a letter.   
   This Citizen's Guide explains the essentials.                           
                                    V. 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         
   disclosable under the other.                                            
      In order to take maximum advantage of the laws, an individual seeking
   information about himself or herself should ordinarily cite both laws.  
   Requests by an individual for information that does not relate solely to
   himself or herself should be made only under the FOIA.                  
      Congress intended that the two laws be considered together in the    
   processing of requests for information. Most government agencies will   
   automatically handle requests from individuals in a way that will       
   maximize the amount of information 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 cite  
   both the FOIA and the Privacy Act when seeking documents from the       
   Federal Government.                                                     
                             VI. THE FREEDOM OF INFORMATION ACT                   

              A. THE SCOPE OF THE FREEDOM OF INFORMATION ACT             

      The Federal Freedom of Information Act applies to documents held by  
   agencies of 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.  
      The FOIA does not apply to elected officials of the Federal          
   Government, including the President,\13\                                
    Vice President, Senators, and Congressmen.\14\                         

    The FOIA does not apply to the Federal judiciary. The FOIA does not    
   apply to private companies; persons who receive Federal contracts or    
   grants; private organizations; or State or local governments.           
   \13\The Presidential Records Act of 1978, 44 U.S.C. 2201 2207 (1982),   
   does make the documentary materials of former Presidents subject to the 
   FOIA in part. Presidential papers and documents generated after Jan. 20,
   1981, will be available--subject to certain restrictions and            
   delays--under the general framework of the FOIA.                        
   \14\Virtually all official records of the Congress are available to the 
   public. The Congressional Record, all bills introduced in the House and 
   the Senate, and all committee reports (except for those containing      
   classified information) are printed and disseminated. Most committee    
   hearings are also printed and available. Copies of most congressional   
   publications are available at Federal depository libraries throughout   
   the country. Historical records of the Congress are made available in   
   accordance with procedures established by House and Senate rules.       
      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 Federal FOIA.\15\                      
                                                                           

   \15\See, e.g., the Federal Fair Credit Reporting Act, 15 U.S.C. 1681 et 
   seq. (1982) (providing for access to files of credit bureaus), the      
   Federal Family Educational Rights and Privacy Act of 1974, 20 U.S.C.    
   1232g (1982) (providing for access to records maintained by schools and 
   colleges). Some States have enacted laws allowing individuals to have   
   access to personnel records maintained by employers. See, e.g., Michigan
   Compiled Laws Annotated 423.501.                                        
             B. WHAT RECORDS CAN BE REQUESTED UNDER THE FOIA?            

      The FOIA requires agencies to publish in the Federal Register        
   --thereby, under the Government Printing Office Electronic Information  
   Access Enhancement Act of 1993,\16\                                     
    making such information available online--(1) descriptions of agency   
   organization and office addresses; (2) statements of the general course 
   and method of agency operation; (3) rules of procedure and descriptions 
   of forms; and (4) substantive rules of general applicability and general
   policy statements. The act also requires agencies to make available for 
   public inspection and copying: (1) final opinions made in the           
   adjudication of cases; (2) statements of policy and interpretations     
   adopted by an agency, but not published in the Federal Register; (3)    
   administrative staff manuals that affect the public; (4) copies of      
   records released in response to FOIA requests that an agency determines 
   have been or will likely be the subject of additional requests; and (5) 
   a general index of released records determined to have been or likely to
   be the subject of additional requests.\17\                              
    The 1996 FOIA amendments require that, within 1 year after their       
   enactment, these materials which an agency must make available for      
   inspection and copying without the formality of a FOIA request and which
   are created on or after November 1, 1996, must be made available by     
   computer telecommunications and in hard copy.\18\                       
                                                                           

   \16\44 U.S.C. 4101 (1993); the Government Printing Office Access website
   may be accessed at                                                      
   http://www.access.gpo.gov/su--docs/aces/aaces001.html.                  
   \17\The 1996 amendments to the FOIA require that, by December 31, 1999, 
   this general index should be made available by computer                 
   telecommunications. Since not all individuals have access to computer   
   networks or are near agency public reading rooms, requesters would still
   be able to access previously released FOIA records through the normal   
   FOIA process. 110 Stat. 3049.                                           
   \18\110 Stat. 3049; the 1996 FOIA amendments were signed into law by the
   President on October 2, 1996.                                           
      All other ``records'' of a Federal agency may be requested 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, photograph, computer printout, computer tape or    
   disk, or a similar item. The 1996 FOIA amendments affirm the general    
   policy that any record, regardless of the form in which it is stored,   
   that is in the possession and control of a Federal agency is usually    
   considered to be an agency record under the FOIA. Although the FOIA     
   occasionally uses terms other than ``record,'' including ``information''
   and ``matter,'' the definition of ``record'' made by the 1996 amendments
   should leave no doubt about the breadth of the policy or the            
   interchangability of terms.                                             
      Of course, not all records that can be requested under the FOIA 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, it should be noted, provides that a requester may ask for  
   records rather than information. This means that an agency is only      
   required to look for an existing record or document in response to a    
   FOIA request. An agency is not obliged to create a new record to comply 
   with a request. An agency is neither required to collect information it 
   does not have, nor must an agency do research or analyze data for a     
   requester.\19\                                                          
                                                                           

   \19\When records are maintained in a computer, an agency is required to 
   retrieve information in response to a FOIA request. The process of      
   retrieving the information may result in the creation of a new document 
   when the data is printed out on paper or written on computer tape or    
   disk. Since this may be the only way computerized data can be disclosed,
   agencies are required to provide the data even if it means a new        
   document must be created.                                               
      Requesters must ask for existing records. Requests may have to be    
   carefully written in order to obtain the desired information. Sometimes,
   an agency will help a requester identify a specific document that       
   contains the information being sought. Other times, a requester may need
   to be creative when writing a 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 agencies organize 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 (FBI) 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 requests as specific as possible. If a        
   particular document is required, it should be identified precisely,     
   preferably by date and title. However, a request does not always 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 a request is broad enough to include all desired          
   information.                                                            
      For example, assume that a requester wants to obtain a list of toxic 
   waste sites near his home. A request to the Environmental Protection    
   Agency (EPA) 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 all toxic waste sites within 3 miles of a particular   
   address is very specific. However, it is unlikely that the 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.   
   This additional explanation may help the agency to find a record that   
   meets the request.                                                      
      Many people include their telephone number with their requests. Some 
   questions about the scope of a request can be resolved quickly when an  
   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 are as 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 resources to respond to more requests. The FOIA works best when 
   both the requester and the agency act cooperatively.                    
                         C. MAKING A FOIA REQUEST                        

      The first step in making a request under the FOIA is to identify the 
   agency that has the records. A FOIA request must be addressed to a      
   specific agency. There is no central government records office that     
   services FOIA requests.                                                 
      Often, a requester knows beforehand which agency has the desired     
   records. If not, a requester can consult a government directory such as 
   the United States Government Manual. \20\                               
    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.                                  
   \20\The United States Government Manual is sold by the Superintendent of
   Documents of the U.S. Government Printing Office. Virtually every public
   library should have a copy on its shelves. An electronic version of the 
   Manual may be found on the Office of the Federal Register website at    
   http://nara.gov/nara/fedreg/fedreg.html#ep.                             
      Agencies 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 a FOIA request. Appendix 1 of this Guide contains a sample request 
   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  
   lower left-hand corner.\21\                                             
                                                                           

   \21\All agencies have issued FOIA regulations that describe the request 
   process in greater detail. For example, large agencies may have several 
   components each of which has its own FOIA rules. A requester who can    
   find agency FOIA regulations in the Code of Federal Regulations         
   (available in many libraries and an electronic version may be found on  
   the Office of the Federal Register website provided in note 20) might   
   find it useful to check these regulations before making a request. A    
   requester who follows the agency's specific procedures may receive a    
   faster response. However, the simple procedures suggested in this guide 
   will be adequate to meet the minimum requirements for a FOIA request.   
      There are three basic elements to a 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.                              
      Under the 1986 amendments to the FOIA, fees chargeable vary with the 
   status or purpose of the requester. As a result, a 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 or noncommercial         
   scientific institutions, and individuals. The next section explains the 
   fee structure in more detail.                                           
      There are several optional items that are often included in a FOIA   
   request. The first is the telephone number of the requester. This       
   permits an agency employee processing a request to speak 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 a requester to ask to be notified in
   advance if the charges will exceed a fixed amount. This allows the      
   requester to modify or withdraw a request if the cost may be too high.  
   Also, by stating a willingness to pay a set amount of fees in the       
   original request letter, a requester may avoid the necessity of         
   additional correspondence and delay.                                    
      A third optional item sometimes included in a FOIA request is a      
   request for a waiver or reduction of fees. The 1986 amendments to the   
   FOIA changed 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 requester. Decisions about granting fee      
   waivers are separate from and different than decisions about the amount 
   of fees that can be charged to a requester.                             
      A fourth optional item is the specification of the form or format in 
   which the requested material is sought. This is an important            
   consideration if a requester desires the responsive information in a    
   particular format. For example, should information maintained by an     
   agency in an electronic form be provided in that same form (perhaps on a
   disk or CD ROM) or in hardcopy (such as a paper printout)? The 1996     
   amendments to the FOIA require agencies to help requesters by providing 
   information in the form requested, including requests for the electronic
   form of records, if the agency can readily reproduce it in that form.   
   Part of this helping effort includes informing requesters of costs and  
   delays that format preferences might engender.                          
      A fifth optional consideration is seeking expedited processing of a  
   request by showing a ``compelling need'' for a speedy response. The 1996
   amendments to the FOIA require the agencies to promulgate regulations   
   authorizing expedited access where a requester demonstrates a           
   ``compelling need'' for quick response. These regulations are to become 
   operative 1 year after the enactment of the 1996 amendments.\22\        
    A ``compelling need'' warranting faster FOIA processing exists in two  
   categories of circumstances. In the first category, the failure to      
   obtain the records within an expedited deadline poses an imminent threat
   to an individual's life or physical safety. The second category requires
   a request by someone ``primarily engaged in disseminating information'' 
   and ``urgency to inform the public concerning actual or alleged Federal 
   Government activity.'' Agencies may determine other cases in which they 
   will make provision in their regulations for expedited processing.      
   \22\The 1996 FOIA amendments were signed into law by the President on   
   October 2, 1996.                                                        
      The specified categories for compelling need are intended to be      
   narrowly applied. A threat to an individual's life or physical safety   
   qualifying for expedited access should be imminent. A reasonable person 
   should be able to appreciate that a delay in obtaining the requested    
   information poses such a threat. A person ``primarily engaged in        
   disseminating information'' should not include individuals who are      
   engaged only incidentally in the dissemination of information. The      
   standard of ``primarily engaged'' requires that information             
   dissemination be the main activity of the requester, although it need   
   not be his or her sole occupation. A requester who only incidentally    
   engages in information dissemination, besides other activities, would   
   not satisfy this requirement.                                           
      The standard of ``urgency to inform'' requires that the information  
   requested should pertain to a matter constituting a current exigency for
   the American public and that a reasonable person might conclude that the
   consequences of delaying a response to a FOIA request would compromise a
   significant recognized interest. The public's right to know, although a 
   significant and important value, would not by itself be sufficient to   
   satisfy this standard.                                                  
      A requester should keep a copy of the request letter and related     
   correspondence until the request has been finally resolved.             
                         D. FEES AND FEE WAIVERS                         

      FOIA requesters may have to pay fees covering some or all of the     
   costs of processing their requests. As amended in 1986, the law         
   establishes three types of fees that may be charged. The 1986 law makes 
   the process of determining the applicable fees more complicated.        
   However, the 1986 rules reduce or eliminate entirely the cost for small,
   noncommercial requests.                                                 
      First, fees can be imposed to recover the cost of copying documents. 
   All agencies have a fixed price for making copies using copying         
   machines. A requester is usually charged the actual cost of copying     
   computer tapes, photographs, and other nonstandard documents.           
      Second, fees can also be imposed to recover the costs of searching   
   for documents. This includes the time spent looking for material        
   responsive to a request. The 1996 amendments to the FOIA define         
   ``search'' as a ``review, manually or by automated means,'' of ``agency 
   records for the purpose of locating those records responsive to a       
   request.'' Under the FOIA, an agency need not create documents that do  
   not exist. Computer records found in a data base rather than a file     
   cabinet may require the application of codes or some form of programming
   to retrieve the information. Under the definition of ``search'' in the  
   amendments, the review of computerized records would not amount to the  
   creation of records. Otherwise, it would be virtually impossible to get 
   records maintained completely in an electronic format, like computer    
   data base information, because some manipulation of the information     
   likely would be necessary to search the records. A requester can        
   minimize search charges by making clear, narrow requests for            
   identifiable documents whenever 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 1986 amendments took effect, no      
   review costs were charged to any requester. Review costs may be charged 
   to commercial requesters only. Review charges only include costs        
   incurred during the initial examination of a document. An agency may not
   charge for any costs incurred in resolving issues of law or policy that 
   may arise while processing a request.                                   
      Different fees apply to different requesters. There are three        
   categories of FOIA requesters. The first includes representatives of the
   news media, and educational or noncommercial scientific institutions    
   whose purpose is scholarly or scientific research. A requester in this  
   category who is 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 category includes FOIA requesters seeking records for     
   commercial use. Commercial use is not defined in the law, but it        
   generally includes profitmaking activities. A commercial user can be    
   charged reasonable standard charges for document duplication, search,   
   and review.                                                             
      The third category of FOIA requesters includes everyone not in the   
   first two categories. People seeking information for personal use,      
   public interest groups, and nonprofit organizations are examples of     
   requesters who fall into the third group. Charges for these requesters  
   are limited to reasonable standard charges for document duplication and 
   search. Review costs may not be charged. The 1986 amendments did not    
   change the fees charged to these requesters.                            
      Small requests are free for a requester in the first and third       
   categories. This includes all requesters except commercial users. There 
   is no charge for the first 2 hours of search time and for the first 100 
   pages of documents. A noncommercial requester who limits a request 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 if 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 costs. The amount of these charges is listed in agency FOIA     
   regulations. Each agency also sets its own threshold for minimum        
   charges.                                                                
      The 1986 FOIA amendments also changed the law on fee waivers. Fees   
   now 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 requester.       
      The 1986 amendments on fees and fee waivers have created some        
   confusion. Determinations about fees are separate and distinct from     
   determinations about fee waivers. For example, a requester who can      
   demonstrate that he or she is a news reporter may only be charged       
   duplication fees. However, a requester found to be a reporter is not    
   automatically entitled to a waiver of those fees. A reporter who seeks a
   waiver must demonstrate that the request also meets the standards for   
   waivers.                                                                
      Normally, only after a requester has been categorized to determine   
   the applicable fees does the issue of a fee waiver arise. A requester   
   who seeks a fee waiver should ask for a waiver in the original request  
   letter. However, a request for a waiver can be made at a later time. The
   requester should describe how disclosure will contribute to 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 only charged duplication    
   costs may still ask that the charges be waived because of the public    
   benefits that will result from disclosure. A representative of the news 
   media, a scholar, or a public interest group are more likely to qualify 
   for a waiver of fees. A commercial user may find it difficult to qualify
   for waivers.                                                            
      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 government.     
   Another important factor is the 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.              
                   E. REQUIREMENTS FOR AGENCY RESPONSES                  

      Until the response requirements of the 1996 amendments to the FOIA   
   become fully effective in early October 1997, each agency is currently  
   required to determine within 10 days (excluding Saturdays, Sundays, and 
   legal holidays) after the receipt of a request whether to comply with   
   the request.\23\                                                        
    The actual disclosure of documents is required to follow promptly      
   thereafter. If a request is denied in whole or in part, the agency must 
   tell the requester the reasons for the denial. The agency must also tell
   the requester that there is a right to appeal any adverse determination 
   to the head of the agency or his or her designee.                       
   \23\The new response requirements of the 1996 amendments to the FOIA    
   become effective 1 year after being signed into law by the President on 
   October 2, 1996.                                                        
      The FOIA permits an agency to extend the time limits up to 10 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. The agency is supposed to notify the       
   requester whenever an extension is invoked.\24\                         
                                                                           

   \24\Agencies that take more than 10 days to respond to a request do not 
   always notify each requester that an extension has been invoked.        
      The statutory time limits for responses are not always met. An agency
   sometimes receives an unexpectedly large number of FOIA requests at one 
   time and is unable to meet the deadlines. Some agencies assign          
   inadequate resources to FOIA offices. Congress does not condone the     
   failure of any agency to meet the law's time limits. 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 that his or her request has been denied if it has 
   not been decided within the time limits. This permits the requester to  
   file an administrative appeal or file a lawsuit in Federal District     
   Court. However, this is not always the best course of action. The filing
   of an administrative or judicial appeal will not necessarily result in  
   any faster processing of the request.                                   
      Each agency generally processes requests in the order of receipt.    
   Some agencies will expedite the processing of urgent requests. Anyone   
   with a pressing need for records should consult with the agency FOIA    
   officer about how to ask for expedited treatment of requests.           
      When the new response requirements of the 1996 amendments to the FOIA
   become effective in early October 1997, several changes will occur. As  
   noted, agencies have long processed FOIA requests on a ``first in, first
   out'' basis. Processing requests solely on this basis, however, has     
   resulted in lengthy delays for simple requests. The prior receipt and   
   processing of complex requests delays other requests, increasing agency 
   backlogs. To change this situation, the 1996 amendments to the FOIA     
   authorize agencies to promulgate regulations establishing multitrack    
   processing systems, and make clear that agencies should exercise due    
   diligence within each track. Under these new arrangements, agencies also
   may give requesters the opportunity to limit the scope of their requests
   to qualify for processing under a faster track.                         
      The 1996 amendments also increase from 10 to 20 days (excluding      
   Saturdays, Sundays, and legal holidays) the time allowed for an agency, 
   after receiving a request, to determine whether to comply with the      
   request. Moreover, the amendments provide a mechanism to deal with      
   unusually burdensome requests which an agency would not be able to      
   process within prescribed timeframes, including an extra 10 days for    
   ``unusual circumstances.'' For such requests, the 1996 amendments       
   require an agency to inform the requester that the request cannot be    
   processed within the statutory time limits and provide an opportunity   
   for the requester to limit the scope of the request so that it may be   
   processed within statutory time limits, and/or arrange with the agency a
   negotiated deadline for processing the request. In the event the        
   requester refuses to reasonably limit the scope of the request or agree 
   upon a timeframe and then seeks judicial review, that refusal shall be  
   considered as a factor in determining whether ``exceptional             
   circum-stances'' exist for a judicial extension of processing time.     
      The FOIA currently provides that, in ``exceptional circumstances,'' a
   court may extend the statutory time limits for an agency to respond to a
   FOIA request, but does not specify what those circumstances are. The    
   1996 amendments clarify that routine, predictable agency backlogs for   
   FOIA requests do not constitute exceptional circumstances for purposes  
   of the act. Routine backlogs of requests for records under the FOIA do  
   not give agencies an automatic excuse to ignore the time limits. A court
   shall consider an agency's efforts to reduce the number of pending      
   requests in determining whether exceptional circumstances exist.        
   Agencies may also make a showing of exceptional circumstances based on  
   the amount of material classified, based upon the size and complexity of
   other requests processed by the agency, based upon the resources being  
   devoted to the declassification of classified material of public        
   interest, or based upon the number of requests for records by courts or 
   administrative tribunals. A court also shall consider a requester's     
   unwillingness to reasonably limit the scope of his or her request or to 
   agree upon a processing timeframe prior to seeking judicial review.     
      As noted at the outset of this section, the new response requirements
   of the 1996 amendments to the FOIA do not become effective until early  
   October 1997.                                                           
              F. 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 the government, and other important interests. 
   A document that does not qualify as an ``agency record'' may be denied  
   because only agency records are available under the FOIA. Personal notes
   of agency employees may be denied on this basis. However, most records  
   in the possession of an agency are ``agency records'' within the meaning
   of the FOIA.                                                            
      An agency may withhold exempt information, but it 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 should not 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 portions 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.                                                     
      The ease with which in electronic form or format may be redacted     
   (deleting part of a record to prevent disclosure of material covered by 
   an exemption) makes the determination of whether a few words or 30 pages
   have been withheld by an agency at times impossible. The 1996 amendments
   to the FOIA require agencies to identify the location of deletions in   
   the released portion of the record and, where technologically feasible, 
   to show the deletion at the place on the record where the deletion was  
   made, unless including that indication would harm an interest protected 
   by an exemption.                                                        
           1. Exemption 1.--Classified Documents                                   

      The first FOIA exemption permits the withholding of properly         
   classified documents. Information may be classified in the interest of  
   national defense or foreign policy.                                     
      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 a Presidential Executive order, the document  
   can be withheld from disclosure.                                        
      Classified 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 classification establishes a  
   special procedure for requesting the declassification of documents.\25\ 
    If a requested document is declassified, it can be released in response
   to a FOIA request. However, a document that is declassified may still be
   exempt under other FOIA exemptions.                                     
   \25\At the time that this Guide was prepared, the current Executive     
   order on security classification was Executive Order 12958, which was   
   promulgated by President Clinton on Apr. 17, 1995. The text of the order
   can be found at 60 Federal Register 19825 43 (Apr. 20, 1995); an        
   electronic version of the order may be found on the Office of the       
   Federal Register website provided at note 20. The rules for mandatory   
   review for declassification are in section 3.6 of the Executive order.  
           2. 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 2.                              
      First, information relating to personnel rules or internal agency    
   practices is exempt if it is trivial administrative matter of no genuine
   public interest. A rule governing lunch hours for agency employees is an
   example.                                                                
      Second, an internal administrative manual can be exempt if disclosure
   would risk circumvention of law or agency regulations. In order to fall 
   into this category, the material will normally have to regulate internal
   agency conduct rather than public behavior.                             
           3. 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 this         
   exemption, 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 return         
   information.\26\                                                        
    Another qualifying exemption 3 statute is the law designating          
   identifiable census data as confidential.\27\                           
    Whether a particular statute qualifies under exemption 3 can be a      
   difficult legal question.                                               
   \26\26 U.S.C. 6103 (1988).                                              

   \27\13 U.S.C. 9 (1988).                                                 

           4. 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 data qualifies for withholding if disclosure by   
   the government would be likely to harm the competitive position of the  
   person who submitted the information. Detailed information on a         
   company's marketing 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 that an agency created on  
   its own cannot normally be withheld under exemption 4.                  
      Although there is no formal requirement under the FOIA, many agencies
   will notify a submitter of business information that disclosure of the  
   information is being considered.\28\                                    
    The submitter then has an opportunity to convince the agency that the  
   information qualifies for withholding. A submitter can also 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 to require the disclosure of information.
   A reverse FOIA lawsuit may be filed when the submitter of documents and 
   the government disagree whether the information is exempt.              
   \28\See Predisclosure Notification Procedures for Confidential          
   Commercial Information, Executive Order 12600, 3 C.F.R. 235 (1988).     
           5. Exemption 5.--Internal Government Communications                     

      The FOIA's fifth exemption applies to internal government documents. 
   An 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 fifth exemption is to safeguard the deliberative  
   policymaking process of government. The exemption encourages frank      
   discussion 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 decisionmaking process is appropriate only for the
   period while 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 lawyers can be withheld in the same way that papers        
   prepared by private lawyers for clients are not available through       
   discovery in civil litigation.                                          
           6. Exemption 6.--Personal Privacy                                       

      The sixth exemption covers personnel, medical, and similar files the 
   disclosure of which would constitute a clearly unwarranted invasion of  
   personal privacy. This exemption protects the privacy interests of      
   individuals by allowing an agency to withhold personal data kept in     
   government files. Only individuals have privacy interests. Corporations 
   and other legal persons have no privacy rights under the sixth          
   exemption.                                                              
      The exemption requires agencies to strike a balance between an       
   individual's privacy interest 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 in the  
   exemption. Nevertheless, the sixth exemption makes it harder to obtain  
   information about another individual without the consent of that        
   individual.                                                             
      The Privacy Act of 1974 also regulates the disclosure of personal    
   information about an individual. The FOIA and the Privacy Act overlap in
   part, but there is no inconsistency. An individual seeking records about
   himself or herself 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.                          
           7. 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 a law enforcement record  
   that could reasonably be expected to interfere with enforcement         
   proceedings. This exemption protects an active law enforcement          
   investigation from interference through premature disclosure.           
      Exemption (7)(B) allows the withholding of information that would    
   deprive a person of a right to 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) protects against an unwarranted       
   invasion of personal privacy while exemption 6 protects against a       
   clearly unwarranted invasion. Also, exemption (7)(C) allows the         
   withholding of information that ``could reasonably be expected to''     
   invade someone's privacy. Under exemption 6, information can be withheld
   only if disclosure ``would'' invade someone's privacy.                  
      Exemption (7)(D) protects the identity of confidential sources.      
   Information that could reasonably be expected to reveal the identity of 
   a confidential source is exempt. A confidential source can include a    
   State, local, or foreign agency or authority, or a private institution  
   that furnished 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.                                                             
           8. 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, the Federal Reserve, or similar agencies.                  
           9. Exemption 9.--Geological Information                                 

      The ninth FOIA exemption covers geological and geophysical           
   information, data, and maps about wells. This exemption is rarely used. 
                            G. 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.''            
      The exclusions allow an agency to treat certain exempt records as if 
   the records were not subject to the FOIA. An agency is not required to  
   confirm the existence of three specific categories of records. If these 
   records are requested, the agency may respond that there are no         
   disclosable records responsive to the request. However, these exclusions
   do not broaden the authority of any agency to withhold documents from   
   the public. The exclusions are only applicable to information that is   
   otherwise exempt from disclosure.                                       
      The first exclusion may be used when a request seeks information that
   is exempt because disclosure could reasonably be expected to interfere  
   with a current law enforcement investigation (exemption (7)(A)). There  
   are three 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 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 records--as      
   distinguished from the contents of the records--could reasonably be     
   expected to interfere with enforcement proceedings.                     
      When all of these conditions exist, an agency may respond to a 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 or personal  
   identifier. The agency is not 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 only applies to records maintained by the Federal
   Bureau of Investigation which pertain to foreign intelligence,          
   counterintelligence, or international terrorism. When the existence of  
   these types of records is classified, the FBI may treat the records as  
   not subject to the requirements of 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 records 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.                                                        
                   H. ADMINISTRATIVE APPEAL PROCEDURES                   

      Whenever a 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 a fee waiver. A requester may 
   contest the type or amount of fees that were charged. A requester may   
   appeal any other type of adverse determination, including a rejection of
   a request for failure to describe adequately the documents being        
   requested or a response indicating that no requested records were       
   located. 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 part that was denied. If an agency has agreed to disclose    
   some but not all requested documents, the filing of an appeal does not  
   affect the release of the documents that are disclosable. There is no   
   risk to the requester in filing an appeal.                              
      The appeal to the head of the 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 letter can file an appeal. Appeals to the
   head of the agency often result in the disclosure of some records that  
   had been withheld. A requester who is not convinced that the agency's   
   initial decision is correct should appeal. There is no charge for filing
   an administrative appeal.                                               
      An appeal is filed 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.''\29\                                                           
                                                                           

   \29\Agency FOIA regulations will ordinarily describe the appeal         
   procedures and requirements with more specificity. At most agencies,    
   decisions on FOIA appeals have been delegated to other agency officials.
   Requesters who have an opportunity to review agency regulations in the  
   Code of Federal Regulations (available in many libraries and on the     
   Office of the Federal Register website provided at note 20) may be able 
   to speed up the processing of the appeal. However, following the simple 
   procedures described in this Guide will be sufficient to maintain a     
   proper 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 this 
   is not ordinarily 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 arguments 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 a 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 is 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        
   documents.                                                              
      An agency is required to make a decision on an appeal within 20 days 
   (excluding Saturdays, Sundays, and legal holidays). It is possible for  
   an agency to extend the time limits by an additional 10 days. Once the  
   time period has elapsed, a requester may consider that the appeal has   
   been denied and may proceed with a judicial appeal. However, unless     
   there is an urgent need for records, this may not be 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 limits.                 
                       I. FILING A JUDICIAL APPEAL                       

      When an administrative appeal is denied, a requester has the right to
   appeal the denial in court. A FOIA appeal lawsuit can be filed in the   
   U.S. 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 about 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 costs reasonably 
   incurred. Some requesters may be able to handle their own case without  
   an attorney. Since this is not a litigation guide, details of the       
   judicial appeal process have not been included. Anyone considering      
   filing a FOIA lawsuit can begin by reading the provisions of the FOIA on
   judicial review.\30\                                                    
                                                                           

   \30\More information on judicial review under the FOIA and Privacy Act  
   can be found in Allan Adler, Litigation Under the Federal Open          
   Government Laws (American Civil Liberties Union Foundation) (last       
   published in 1995).                                                     
                               VII. THE PRIVACY ACT OF  1974                      

                 A. THE SCOPE OF THE PRIVACY ACT OF 1974                 

      The Privacy Act of 1974 provides safeguards against an invasion of   
   privacy through the misuse of records by Federal agencies. In general,  
   the act allows a citizen to learn how records are collected, maintained,
   used, and disseminated by the Federal Government. The act also permits  
   an individual to gain access to most personal information maintained by 
   Federal agencies and to seek amendment of any inaccurate, incomplete,   
   untimely, or irrelevant 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 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.\31\                                                      
                                                                           

   \31\The Privacy Act applies to some records that are not maintained by  
   an agency. Subsection (m) of the act provides that, when an agency      
   provides by contract for the operation of a system of records on its    
   behalf, the requirements of the Privacy Act apply to those records. As a
   result, some records maintained outside of a Federal agency are subject 
   to the Privacy Act. Descriptions of these systems are published in the  
   Federal Register. However, most records maintained outside of Federal   
   agencies are not subject to the Privacy Act.                            
      The Privacy Act only grants rights to U.S. citizens and to aliens    
   lawfully admitted for permanent residence. As a result, a nonresident   
   foreign national cannot use the act's provisions. However, a nonresident
   foreign national may use the FOIA to request records about himself or   
   herself.                                                                
      In general, the only records subject to the Privacy Act are records  
   that are maintained in a system of records. The idea of a ``system of   
   records'' is 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          
   individually identifiable information, including but not limited to     
   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 assigned 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 records management          
   requirements for Federal agencies. In summary, there are five basic     
   requirements that are most relevant to individuals.                     
      First, each agency 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 rights to inspect and to correct records are the most     
   important provisions of the Privacy Act. This Guide explains in more    
   detail how an individual can exercise these rights.                     
      Second, each agency must publish notices describing all systems of   
   records. The notices include a complete description of personal data    
   recordkeeping policies, practices, and systems. This requirement        
   prevents the maintenance of secret record systems.                      
      Third, each agency 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 
   by the individual or relates to an 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 each   
   agency keep a record of some disclosures of personal information.       
      Fifth, the act provides legal remedies that permit an individual to  
   seek enforcement of the rights granted under the act. In addition,      
   Federal employees who fail to comply with the act's provisions may be   
   subjected to criminal penalties.                                        
           B. THE COMPUTER MATCHING AND PRIVACY PROTECTION ACT           

      The Computer Matching and Privacy Protection Act of 1988 amended the 
   Privacy Act by adding new provisions regulating the use of computer     
   matching. Records used during the conduct of a matching program are     
   subject to an additional set of requirements.                           
      Computer matching is the computerized comparison of information about
   individuals for the purpose of determining eligibility for Federal      
   benefit programs. A matching program can be subject to the requirements 
   of the Computer Matching Act if records from a Privacy Act system of    
   records are used during the program. If Federal Privacy Act records are 
   matched against State or local records, then the State or local matching
   program can be subject to the new matching requirements.                
      In general, matching programs involving Federal records must be      
   conducted under a matching agreement between the source and recipient   
   agencies. The matching agreement describes the purpose and procedures of
   the matching and establishes protections for matching records. The      
   agreement is subject to review and approval by a Data Integrity Board.  
   Each Federal agency involved in a matching activity must establish a    
   Data Integrity Board.                                                   
      For an individual seeking access to or correction of records, the    
   computer matching legislation provides no special access rights. If     
   matching records are Federal records, then the access and correction    
   provisions of the Privacy Act apply. There is no general right of access
   or correction for matching records of State and local agencies. It is   
   possible that rights are available under State or local laws. There is, 
   however, a requirement that an individual be notified of agency findings
   prior to the taking of any adverse action as a result of a computer     
   matching program. An individual must also be given an opportunity to    
   contest such findings. The notice and opportunity-to-contest provisions 
   apply to matching records whether the matching was done by the Federal  
   Government or by a State or local government. Section 7201 of Public Law
   101 508 modified the due process notice requirement to permit the use of
   statutory or regulatory notice periods.                                 
      The matching provisions also require that any agency--Federal or     
   non-Federal--involved in computer matching must independently verify    
   information used to take adverse action against an individual. This     
   requirement was included in order to protect individuals from arbitrary 
   or unjustified denials of benefits. Independent verification includes   
   independent investigation and confirmation of information. Public Law   
   101 508 also modified the independent verification requirement in       
   circumstances in which it was unnecessary.                              
      Most of the provisions of the Computer Matching and Privacy          
   Protection Act of 1988 were originally scheduled to become effective in 
   July 1989. Public Law 101 56 delayed the effective date for most        
   matching programs until January 1, 1990.                                
                           C. LOCATING RECORDS                           

      There is no central index of Federal Government records about        
   individuals. An individual who wants to inspect records about himself or
   herself must first identify which agency has the records. 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 personnel files.                         
      Similarly, an individual who receives veterans' benefits will        
   normally find relevant records at the Department of Veterans Affairs 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, an         
   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 \32\                                                             
    contains a complete list of all Federal agencies, a description of     
   agency functions, and the address of the agency and its field offices.  
   An agency responsible for operating a program normally maintains the    
   records related to that program.                                        
   \32\The United States Government Manual is sold by the Superintendent of
   Documents of the U.S. Government Printing Office. Virtually every public
   library should have a copy. An electronic version of the Manual may be  
   found on the Office of the Federal Register website provided at note 20.
      Third, a Federal Information Center can help 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 Federal         
   Information Centers throughout the country.                             
      Fourth, every 2 years, the Office of the Federal Register publishes a
   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.\33\                                     
    The information that appears in the compilation also appears in various
   issues of the Federal Register. \34\                                    
                                                                           

   \33\Each system notice contains the name of the system; its location;   
   the categories of individuals covered by the system; the categories of  
   records in the system; the legal authority for maintenance of the       
   system; the routine disclosures that may be made for records in the     
   system; the policies and practices of storing, retrieving, accessing,   
   retaining, and disposing of records; the name and address of the manager
   of the system; procedures for requesting access to the records;         
   procedures for requesting correction or amendment of the records; the   
   source of the information in the system; and a description of any       
   disclosure exemptions that may be applied to the records in the system. 
   \34\Agencies are required to publish in the Federal Register a          
   description of each system of records when the system is established or 
   amended. In the past, agencies were required to publish an annual       
   compilation in the Federal Register, but that requirement was eliminated
   in 1982. As a result, it will be difficult to find a complete list of   
   all systems of records in the Federal Register. Some agencies do,       
   however, reprint all system notices from time to time. An agency's      
   Privacy Act/FOIA officer may be able to provide more information about  
   the agency's publication practices. An electronic version of a 1995     
   compilation of Privacy Act regulations and systems of records may be    
   found on the Office of the Federal Register website provided at note 20.
      The compilation--formally called Privacy Act Issuances --may be      
   difficult to find and hard to use. It does not contain a comprehensive  
   index. Copies will be available in some Federal depository libraries and
   possibly some other libraries as well as the website maintained by the  
   Office of the Federal Register (see note 20). Although the compilation  
   is the best single source of detailed information about personal records
   maintained by Federal agencies, 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 records being sought. Large agencies maintain
   hundreds of different record systems. A request can be 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.                                
                D. 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 requests
   to the head of the agency that has the records or to the agency's       
   Privacy Act/FOIA officer. The envelope containing the written request   
   should be marked ``Privacy Act/FOIA Request'' in the bottom left-hand   
   corner.\35\                                                             
                                                                           

   \35\All agencies have Privacy Act regulations that describe the request 
   process in greater detail. Large agencies may have several components,  
   each of which has its own Privacy Act rules. Requesters who can find    
   agency Privacy Act regulations in the Code of Federal Regulations       
   (available in many libraries and an electronic version may be found on  
   the Office of the Federal Register website provided in note 20) might   
   read these regulations before making a request. A requester who follows 
   the agency's specific procedures may receive a faster response. However,
   the simple procedures suggested in this guide are adequate to meet the  
   minimum statutory requirements for a Privacy Act request.               
      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 the records as specifically as possible. Appendix 1 includes a 
   sample Privacy Act request letter.                                      
      It is a common practice for an individual seeking records about      
   himself or herself to make the request under both 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 that 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 of Investigation 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.                                                       
      An agency will generally require a requester 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 
   certification of identity by a notarized signature or by a declaration  
   by the requester under penalty of perjury. 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.                                        
      An agency will inform requesters of any special identification       
   requirements. Requesters who need records quickly should first consult  
   agency regulations or talk to the agency's Privacy Act/FOIA officer to  
   find out how to provide adequate identification.                        
      An individual who visits an agency office to inspect a Privacy Act   
   record may 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 only be made 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 is for a parent or legal       
   guardian who may request records on behalf of a minor or a person who   
   has been declared incompetent.                                          
                                 E. FEES                                 

      Under the Privacy Act, fees can only be charged for the cost of      
   copying records. No fees may be charged for the time it takes to search 
   for records or for 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 recover search costs and     
   review costs.\36\                                                       
    The different fee structure in the two laws is one reason many         
   requesters seeking records about themselves cite both laws. This        
   minimizes allowable fees.                                               
   \36\An individual seeking records about himself or herself under the    
   FOIA should not be charged review charges. The only charges applicable  
   under the FOIA are search and copy charges.                             
      Many agencies will not charge fees for making a copy of a Privacy Act
   file, especially when the file is 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.                            
                   F. REQUIREMENTS FOR AGENCY RESPONSES                  

      Unlike the FOIA, there is no fixed time when an agency must respond  
   to a request for access to records under the Privacy Act. It is good    
   practice for an agency to acknowledge receipt of a Privacy Act request  
   within 10 days and to provide the requested records within 30 days.     
      At many agencies, FOIA and Privacy Act requests are processed by the 
   same personnel. When there 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 should  
   be patient.                                                             
      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  
   Privacy Act/FOIA officer about how to ask for expedited treatment of    
   requests.                                                               
          G. 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 than 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 a FOIA exemption is made only after a request has been made. In   
   contrast, Privacy Act exemptions apply not to a record but to a system  
   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.                                      
      Without reviewing system notices or 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 are not     
   relevant to most requests. Also, agencies do not always rely upon       
   available Privacy Act exemptions unless there is a specific reason to do
   so. Thus, some records that could be withheld will nevertheless 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 act's details and for reference when an
   agency withholds records. Anyone needing more information about the     
   Privacy Act's exemptions can begin by reading the relevant sections of  
   the act. The complete text of the act is reprinted in an appendix to    
   this Guide. \37\                                                        
                                                                           

   \37\In 1975, the Office of Management and Budget (OMB) issued guidance  
   to Federal agencies on the Privacy Act of 1974. Those guidelines are a  
   good source of commentary and explanation for many of the provisions of 
   the act. The OMB guidelines can be found at 40 Federal Register 28948   
   (July 9, 1975).                                                         
      The Privacy Act's exemptions differ from those of the FOIA in another
   important way. The FOIA is a disclosure law. Information exempt under   
   the FOIA is exempt from disclosure only. The Privacy Act, however,      
   imposes many separate requirements on personal records. Some systems of 
   records are exempt from the disclosure requirements, but no system 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 the records outside of
   the agency. No system is exempt from the requirement to maintain an     
   accounting for disclosures. No system is exempt from the restriction    
   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 ensure that records disclosed outside the
   agency be accurate, complete, timely, and relevant. Each agency must    
   maintain proper administrative controls and security for all systems.   
   Finally, the Privacy Act'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 applies to selected records maintained by an agency or       
   component whose principal function is any activity pertaining to        
   criminal law enforcement. Records of 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
   consists only of identifying data and notations of arrests, the nature  
   and disposition of criminal charges, sentencing, confinement, release,  
   and parole and 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 the general exemptions may be exempted 
   from many of the Privacy Act's requirements. Exemption from the act's   
   access and correction provisions is the most important. An individual   
   has no right under the Privacy Act to ask for a copy of or to seek      
   correction of a record subject to the general exemptions.               
      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  
   for 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 if the Privacy Act    
   access exemption is applied, portions of the record 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.         
           2. Specific Exemptions                                                  

      There are seven specific Privacy Act exemptions that can be applied  
   to 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 likely to be exempt from the Privacy Act's access and    
   correction provisions. Nevertheless, since the access and correction    
   exemptions are not always applied when available, those seeking records 
   should not be 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 record systems containing        
   information properly classified in the interest of national defense or  
   foreign policy. Classified information is also exempt from disclosure   
   under the FOIA and will normally be unavailable under both the FOIA and 
   Privacy Acts.                                                           
      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 who 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 27,      
   1975), an implied promise of confidentiality is sufficient to permit    
   withholding of the identity of the source.\38\                          
                                                                           

   \38\This distinction between express and implied promises of            
   confidentiality is repeated throughout the specific exemptions of the   
   Privacy Act.                                                            
      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 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 who provided the information under a 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 provisions. However, the Privacy Act authorizes a  
   special procedure for medical records that operates, 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 normally reviews medical records 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 possibly to 
   another person chosen by the individual.                                
           4. Litigation Records                                                   

      The Privacy Act's access provisions include a general limitation on  
   access to civil 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 by regulation to a system of records before it can be used.  
         H. ADMINISTRATIVE APPEAL PROCEDURES FOR DENIAL OF ACCESS        

      Unlike the FOIA, the Privacy Act does not provide for 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/FOIA officer. Unless an agency has 
   established an alternative procedure, it is possible that an appeal     
   filed 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 was improper or            
   unnecessary.                                                            
      Third, the appeal should include the requester's name and address. It
   is a good practice for a requester to also include a telephone number   
   when making an appeal.                                                  
   Appendix 1 includes a sample letter of appeal.                          

                I. 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 incorrect information from being disseminated by the agency or  
   used unfairly against the individual.                                   
      The right to seek a correction extends only to records subject to the
   Privacy Act. Also, an individual can only correct errors contained in a 
   record that pertains to himself or 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 procedure 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/FOIA 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. Copies of the records sought to be amended may be included.     
      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 a requester to include a telephone     
   number.                                                                 
      Appendix 1 includes a sample letter requesting amendment of a Privacy
   Act record.                                                             
             J. 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 10 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 a denial of a request for         
   amendment within 30 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 filed 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.                                              
                      K. FILING FOR 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 any 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 any other Privacy Act  
   provision 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 filed within
   2 years from the date on which the basis for the lawsuit arose.         
      Most individuals require the assistance of an attorney to file a     
   lawsuit. 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 case without  
   an attorney. Since this is not a litigation guide, details about the    
   judicial appeal process have not been included. Anyone considering      
   filing a Privacy Act lawsuit can begin by reviewing the provisions of   
   the Privacy Act on civil remedies.\39\                                  
                                                                           

   \39\See note 30.                                                        


           A P P E N D I X E S                                                    

                                                                        

                      APPENDIX  1.-- SAMPLE REQUEST AND APPEAL LETTERS            

               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 to determine my status for purposes of determining  
   the applicability of any fees, you should know that I am (insert a      
   suitable description of the requester and the purpose of the request).  

   [Sample requester descriptions:                                         


      a representative of the news media affiliated with the XXXX newspaper
   (magazine, television station, etc.), and this request is made as part  
   of news gathering and not for a commercial use.                         

      affiliated with an educational or noncommercial scientific           
   institution, and this request is made for a scholarly or scientific     
   purpose and not for a commercial use.                                   

      an individual seeking information for personal use and not for a     
   commercial use.                                                         

      affiliated with a private corporation and am seeking information for 
   use in the company's business.]                                         

      [Optional] I am willing to pay fees for this request up to a maximum 
   of $ XX. If you estimate that the fees will exceed this limit, please   
   inform me first.                                                        

      [Optional] I request a waiver of all fees for 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 specific details, including how the 
   requested information will be disseminated by the requester for public  
   benefit.]                                                               

      [Optional] I request that the information I seek be provided in      
   electronic format, and I would like to receive it on a personal computer
   disk [or a CD ROM].                                                     

      [Optional] I ask that my request receive expedited processing because
   XXXX. [Include specific details concerning your ``compelling need,''    
   such as being someone ``primarily engaged in disseminating information''
   and specifics concerning your ``urgency to inform the public concerning 
   actual or alleged Federal Government activity.'']                       
      [Optional] I also include a telephone number at which I can be       
   contacted during the hours of XXXX, if necessary, to discuss any aspect 
   of my request.                                                          

   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 Appeal 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: XXXX. 
   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 . . . .                                                

      [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 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. (Provide details)                                             

      [Optional] I appeal the decision to require me to pay review costs   
   for this request. I am not seeking the documents for a commercial use.  
   (Provide details)                                                       

      [Optional] I appeal the decision to require me to pay search and/or  
   review charges for this request. I am a representative of the news media
   seeking information as part of news gathering and not for commercial    
   use.                                                                    

      [Optional] I appeal the decision to require me to pay search and/or  
   review charges for this request. I am a representative of an educational
   institution seeking information for a scholarly purpose.                

      [Optional] I appeal the decision to require me to accept the         
   information I seek in a paper or hardcopy format. I requested this      
   information, which the agency maintains in an electronic form, in an    
   electronic format, specifically on a personal computer disk [or a CD    
   ROM].                                                                   

      [Optional] I also include a telephone number at which I can be       
   contacted during the hours of XXXX, if necessary, to discuss any        

  aspect of my appeal.                                                    


   Thank you for your consideration of this appeal.                        


    Sincerely,                                                              




    Name                                                                    

    Address                                                                 

    City, State, Zip Code                                                   

    Telephone number [Optional]                                             


                                                                           

                 C. Privacy Act Request for Access Letter                

                                                                           

  Privacy Act or Freedom of Information Officer                           

  Name of Agency                                                          

  Address of Agency                                                       

  City, State, Zip Code                                                   


  Re: Privacy Act and Freedom of Information Act Request for Access       


  Dear     :                                                              


      This is a request under the Privacy Act of 1974 and the Freedom of   
   Information Act.                                                        

      I request a copy of any records [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] I am willing to pay fees for this request up to a maximum 
   of $ XX. 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.                                 

      [Optional] I also include a telephone number at which I can be       
   contacted during the hours of XXXX, if necessary, to discuss any aspect 
   of my request.                                                          

   Thank you for your consideration of this request.                       


    Sincerely,                                                              




    Name                                                                    

    Address                                                                 

    City, State, Zip Code                                                   

    Telephone number [Optional]                                             


                                                                           

                  D. Privacy Act Denial of Access Appeal                 

                                                                           

  Agency Head or Appeal Officer                                           

  Name of Agency                                                          

  Address of Agency                                                       

  City, State, Zip Code                                                   


    Re: Appeal of Denial of Privacy Act and Freedom of Information Act    
  Access Request                                                          

  Dear     :                                                              


      This is an appeal under the Privacy Act and the Freedom of           
   Information 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: XXXX.
   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 . . . .                                                         

      [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.                                   

      [Optional] I also include a telephone number at which I can be       
   contacted during the hours of XXXX, if necessary, to discuss any aspect 
   of my appeal.                                                           

   Thank you for your consideration of this appeal.                        


    Sincerely,                                                              




    Name                                                                    

    Address                                                                 

    City, State, Zip Code                                                   

    Telephone number [Optional]                                             


                                                                           

                 E. Privacy Act Request to Amend Records                 

                                                                           

  Privacy Act and Freedom of Information Act Officer                      

  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 is not correct: [Describe the incorrect 
   information as specifically as possible].                               

      The information is not (accurate) (relevant) (timely) (complete)     
   because . . . .                                                         

      [Optional] Enclosed are copies of documents that show that the       
   information is incorrect.                                               

      [Optional] I also include a telephone number at which I can be       
   contacted during the hours of XXXX, if necessary, to discuss any aspect 
   of my request.                                                          

   I request that the information be [deleted] [changed to read:].         


   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 Officer                                           

  Name of Agency                                                          

  Address of Agency                                                       

  City, State, Zip Code                                                   


  Re: Privacy Act Appeal of Refusal to Amend Records                      


  Dear     :                                                              


      This is an appeal under the Privacy Act of the refusal of your agency
   to amend records as I requested.                                        

      On (date), I requested that records about me be amended. My request  
   was assigned the following identification number XXXX. 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 . . . .     


      [Optional] I enclose additional evidence that shows that the records 
   are incorrect and that the amendment I requested is appropriate.        

      [Optional] I also include a telephone number at which I can be       
   contacted during the hours of XXXX, if necessary, to discuss any aspect 
   of my appeal.                                                           

   Thank you for your consideration of this appeal.                        


    Sincerely,                                                              




    Name                                                                    

    Address                                                                 

    City, State, Zip Code                                                   

    Telephone number [Optional]                                             


          APPENDIX 2.-- BIBLIOGRAPHY OF CONGRESSIONAL PUBLICATIONS ON THE FREEDOM 
                               OF INFORMATION ACT                                 
                   CONGRESSIONAL HEARINGS, REPORTS, DOCUMENTS, AND PRINTS         

                        (LISTED CHRONOLOGICALLY BY PUBLICATION DATE)              


      Note on availability: Most of these publications are out of print.   
   Copies of all congressional publications should be available at Federal 
   Depository Libraries located throughout the country.                    

   1964                                                                   


      Senate Committee on the Judiciary. Clarifying and Protecting the     
   Right of the Public to Information and for Other Purposes. S. Rept.     
   1219, 88th Congress, 2d Session. 1964.                                  

      Senate Committee on the Judiciary. Freedom of Information. Hearings, 
   98th Congress, 1st Session. 1964.                                       

   1965                                                                   


      House Committee on Government Operations. Federal Public Records Law.
   Hearings, 89th Congress, 2d Session. 1965.                              

      Senate Committee on the Judiciary. Administrative Procedure Act.     
   Hearings, 89th Congress, 1st Session. 1965.                             

      Senate Committee on the Judiciary. Clarifying and Protecting the     
   Right of the Public to Information, and for Other Purposes. S. Rept.    
   813, 89th Congress, 1st Session. 1965.                                  

   1966                                                                   


      House Committee on Government Operations. Clarifying and Protecting  
   the Right of the Public to Information. H. Rept. 1497, 89th Congress, 2d
   Session. 1966.                                                          

   1967                                                                   


      House Committee on the Judiciary. Codification of Public Law 89 487. 
   H. Rept. 125, 90th Congress, 1st Session. 1967.                         

      Senate Committee on the Judiciary. Amending Section 552 of Title 5,  
   United States Code. S. Rept. 248, 90th Congress, 1st Session. 1967.     

   1968                                                                   


      House Committee on Government Operations. Freedom of Information Act 
   (Compilation and Analysis of Departmental Regulations Implementing 5    
   U.S.C. 552). Committee print, 90th Congress, 2d Session. 1968.          

      Senate Committee on the Judiciary. The Freedom of Information Act    
   (Ten Months Review). Committee print, 90th Congress, 2d Session. 1968.  

   1972                                                                   


      House Committee on Government Operations. Administration of the      
   Freedom of Information Act. H. Rept. 92 1419, 92nd Congress, 2d Session.
   1972.                                                                   

      House Committee on Government Operations. Sale or Distribution of    
   Mailing Lists By Federal Agencies. Hearings, 92nd Congress, 2d Session. 
   1972.                                                                   

      House Committee on Government Operations. U.S. Government Information
   Policies and Practices--Administration and Operation of the Freedom of  
   Information Act. (Parts 4 6). Hearings, 92nd Congress, 2d Session. 1972.

      House Committee on Government Operations. U.S. Government Information
   Policies and Practices--Security Classification Problems Involving      
   Subsection (b)(1) of the Freedom of Information Act. (Part 7). Hearings,
   92nd Congress, 2d Session. 1972.                                        

   1973                                                                   


      House Committee on Government Operations. Availability of Information
   to Congress. Hearings, 93rd Congress, 1st Session. 1973.                

      House Committee on Government Operations. Executive Classification of
   Information--Security Classification Problems Involving Exemption (b)(1)
   of the Freedom of Information Act (5 U.S.C. 552). H. Rept. 93 221, 93rd 
   Congress, 1st Session. 1973.                                            

      House Committee on Government Operations. The Freedom of Information 
   Act. Hearings, 93rd Congress, 1st Session. 1973.                        

      Senate Committee on Government Operations and Committee on the       
   Judiciary. Executive Privilege, Secrecy in Government, Freedom of       
   Information. Hearings, 93rd Congress, 1st Session. 1973.                

   1974                                                                   


      House Committee on Government Operations. Amending Section 552 of    
   Title 5, United States Code, Known as the Freedom of Information Act. H.
   Rept. 93 876, 93rd Congress, 2d Session. 1974.                          

      House Committee on Government Operations. Amending the Freedom of    
   Information Act to Require that Information Be Made Available to        
   Congress. H. Rept. 93 990, 93rd Congress, 2d Session. 1974.             

      House Committee on Government Operations. Security Classification    
   Reform. Hearings, 93rd Congress, 2d Session. 1974.                      

      House of Representatives. Message from the President of the United   
   States. Vetoing H.R. 12471, Amend Freedom of Information Act. H. Doc. 93
   383. 93rd Congress, 2d Session. 1974.                                   

      House/Senate Committee of Conference. Freedom of Information Act     
   Amendments. H. Rept. 93 1380 or S. Rept. 93 1200, 93rd Congress, 2d     
   Session. 1974.                                                          

      Senate Committee on the Judiciary. Amending the Freedom of           
   Information Act. S. Rept. 93 854, 93rd Congress, 2d Session. 1974.      

      Senate Committee on the Judiciary. Freedom of Information Act Source 
   Book: Legislative Materials, Cases, Articles. S. Doc. 93 82, 93rd       
   Congress. 2d Session. 1974.                                             

   1975                                                                   


      House Committee on Government Operations and Senate Committee on the 
   Judiciary. Freedom of Information Act and Amendments of 1974 (Public Law
   93 502). Source Book: Legislative History, Texts, and Other Documents.  
   Joint committee print, 94th Congress, 1st Session. 1975.                

   1977                                                                   


      House Committee on Government Operations. Business Record Exemption  
   of the Freedom of Information Act. Hearings, 95th Congress, 1st Session.
   1977.                                                                   

      Senate Committee on the Judiciary. Freedom of Information Act.       
   Hearings, 95th Congress, 1st Session. 1977.                             

   1978                                                                   


      House Committee on Government Operations. FBI Compliance with the    
   Freedom of Information Act. Hearing, 95th Congress, 2d Session. 1978.   

      House Committee on Government Operations. Freedom of Information Act 
   Requests for Business Data and Reverse-FOIA Lawsuits. H. Rept. 95 1382, 
   95th Congress, 2d Session. 1978.                                        

      Senate Committee on the Judiciary. The Erosion of Law Enforcement    
   Intelligence and Its Impact on the Public Security. Committee print,    
   95th Congress, 2d Session. 1978.                                        

      Senate Committee on the Judiciary. The Erosion of Law Enforcement    
   Intelligence and Its Impact on the Public Security. Hearings, 95th      
   Congress, 1st and 2d Sessions. 1977 1978.                               

   1979                                                                   


      House Committee on Government Operations. Security Classification    
   Exemption to the Freedom of Information Act. Hearing, 95th Congress, 1st
   Session. 1979.                                                          

   1980                                                                   


      House Permanent Select Committee on Intelligence. Impact of the      
   Freedom of Information Act and the Privacy Act on Intelligence          
   Activities. Hearing, 96th Congress, 1st Session. 1980.                  

      Senate Committee on Governmental Affairs. Oversight of the           
   Administration of the Federal Freedom of Information Act. Hearings, 96th
   Congress, 2d Session. 1980.                                             

      Senate Committee on the Judiciary. Agency Implementation of the 1974 
   Amendments to the Freedom of Information Act. Committee print, 95th     
   Congress, 2d Session. 1980.                                             

   1981                                                                   


      House Committee on Government Operations. Freedom of Information Act 
   Oversight. Hearings, 97th Congress, 1st Session. 1981.                  

      House Committee on Government Operations. The Freedom of Information 
   Act: Central Intelligence Agency Exemptions. Hearings, 96th Congress, 2d
   Session. 1981.                                                          

      House Committee on Government Operations. The Freedom of Information 
   Act: Federal Law Enforcement Implementation. Hearing, 96th Congress, 1st
   Session. 1981.                                                          

   1982                                                                   


      Senate Committee on the Judiciary. Freedom of Information Act.       
   Hearings, 97th Congress, 1st Session. 1982.                             

      Senate Committee on the Judiciary. The Freedom of Information Reform 
   Act. S. Rept. 97 690, 97th Congress, 2d Session. 1982.                  

   1983                                                                   


      Senate Committee on the Judiciary. Freedom of Information Reform Act.
   S. Rept. 98 221, 98th Congress, 1st Session. 1983.                      

   1984                                                                   


      Senate Committee on the Judiciary. Freedom of Information Reform Act.
   Hearings, 98th Congress, 1st Session. 1984.                             

   1985                                                                   


      House Committee on Government Operations. The Freedom of Information 
   Reform Act. Hearings, 98th Congress, 2d Session. 1985.                  

      Senate Committee on the Judiciary. Amendments to the Freedom of      
   Information Act. Hearing, 98th Congress, 2d Session. 1985.              

   1986                                                                   


      House Committee on Government Operations. Freedom of Information Act 
   Amendments of 1986. Hearing, 99th Congress, 2d Session. 1986.           

      House Committee on Government Operations. Freedom of Information Act 
   Amendments of 1986. H. Rept. 99 832, 99th Congress, 2d Session. 1986.   

   1988                                                                   


      House Committee on Government Operations. FOIA: Alternate Dispute    
   Resolution Proposals. Hearings, 100th Congress, 1st Session. 1988.      

   1989                                                                   


      Senate Committee on the Judiciary. The Freedom of Information Act.   
   Hearing, 100th Congress, 2d Session. 1989.                              

   1990                                                                   


      House Committee on Government Operations. Federal Information        
   Dissemination Policies and Practices. Hearings, 101st Congress, 1st     
   Session. 1990.                                                          

      House Committee on Government Operations. Paperwork Reduction and    
   Federal Information Resources Management Act of 1990. H. Rept. 101 927, 
   101st Congress, 2d Session. 1990.                                       

   1991                                                                   


      House Committee on Government Operations, Creative Ways of Using and 
   Disseminating Federal Information. Hearings, 102d Congress, 1st and 2d  
   Sessions. 1991, 1992.                                                   

   1992                                                                   


      House Committee on Government Operations. Assassination Materials    
   Disclosure Act of 1992. H. Rept. 102 624 Part 1, 102d Congress, 2d      
   Session. 1992.                                                          

      House Committee on the Judiciary. Assassination Materials Disclosure 
   Act of 1992. Hearing, 102d Congress, 2d Session. 1992.                  

      House Committee on the Judiciary. Assassination Materials Disclosure 
   Act of 1992. H. Rept. 102 624 Part 2, 102d Congress, 2d Session. 1992.  

      Senate Committee on Governmental Affairs. The Assassination Materials
   Disclosure Act of 1992. Hearing, 102d Congress, 2d Session. 1992.       

      Senate Committee on Governmental Affairs. Assassination Materials    
   Disclosure Act of 1992. S. Rept. 102 328, 102d Congress, 2d Session.    
   1992.                                                                   

   1993                                                                   


      House Committee on Government Operations. Assassination Materials    
   Disclosure Act of 1992. Hearings, 103d Congress, 2d Session. 1993.      

      Senate Committee on the Judiciary. The Electronic Freedom of         
   Information Improvement Act. Hearing, 103d Congress, 2d Session. 1993.  

   1994                                                                   


      House Committee on Government Operations. The Effectiveness of Public
   Law 102 526, The President John F. Kennedy Assassination Records        
   Collection Act of 1992. Hearing, 103d Congress, 1st Session. 1994.      

      Senate Committee on the Judiciary. Electronic Freedom of Information 
   Improvement Act of 1994. S. Rept. 103 365, 103d Congress, 2d Session.   
   1994.                                                                   

   1996                                                                   


      Senate Committee on the Judiciary. Electronic Freedom of Information 
   Improvement Act of 1995. S. Rept. 104 272, 104th Congress, 2d Session.  
   1996.                                                                   

      House Committee on Government Reform and Oversight. Electronic       
   Freedom of Information Amendments of 1996. H. Rept. 104 795, 104th      
   Congress, 2d Session. 1996.                                             

          APPENDIX 3.-- BIBLIOGRAPHY OF CONGRESSIONAL PUBLICATIONS ON THE PRIVACY 
                                   ACT OF 1974                                    
                   CONGRESSIONAL HEARINGS, REPORTS, DOCUMENTS, AND PRINTS         

                        (LISTED CHRONOLOGICALLY BY PUBLICATION DATE)              


      Note on availability: Most of these publications are out of print.   
   Copies of all congressional publications should be available at Federal 
   Depository Libraries located throughout the country.                    

   1972                                                                   


      House Committee on Government Operations. Records Maintained By      
   Government Agencies. Hearings, 92nd Congress, 2d Session. 1972.         

   1974                                                                   


      House Committee on Government Operations. Access to Records.         
   Hearings, 93rd Congress, 2d Session. 1974.                              

      House Committee on Government Operations. Federal Information Systems
   and Plans--Federal Use and Development of Advanced Information          
   Technology. Hearings, 93rd Congress, 1st and 2d Sessions. 1973 1974.    

      House Committee on Government Operations. Privacy Act of 1974. H.    
   Rept. 93 1416, 93rd Congress, 2d Session. 1974.                         

      Senate Committee on Government Operations. Protecting Individual     
   Privacy in Federal Gathering, Use and Disclosure of Information. S.     
   Rept. 93 1183, 93rd Congress, 2d Session. 1974.                         

      Senate Committee on Government Operations. Materials Pertaining to S.
   3418 and Protecting Individual Privacy in Federal Gathering, Use and    
   Disclosure of Information. Committee print, 93rd Congress, 2d Session.  
   1974.                                                                   

      Senate Committee on Government Operations and Committee on the       
   Judiciary. Privacy: The Collection, Use, and Computerization of Personal
   Data. Joint hearings, 93rd Congress, 2d Session. 1974.                  

      Senate Committee on the Judiciary. Federal Data Banks and            
   Constitutional Rights. [Summary.] Committee print, 93rd Congress, 2d    
   Session. 1974.                                                          

      Senate Committee on the Judiciary. Federal Data Banks and            
   Constitutional Rights. Committee print, 93rd Congress, 2d Session. 1974.
   6 v.                                                                    

   1975                                                                   


      House Committee on Government Operations. Central Intelligence Agency
   Exemption in the Privacy Act of 1974. Hearings, 94th Congress, 1st      
   Session. 1975.                                                          

      House Committee on Government Operations. Implementation of the      
   Privacy Act of 1974: Data Banks. Hearing, 94th Congress, 1st Session.   
   1975.                                                                   

   1976                                                                   


      House Committee on Government Operations. Notification to Victims of 
   Improper Intelligence Agency Activities. Hearings, 94th Congress, 2d    
   Session. 1976.                                                          

      Senate Committee on Government Operations and House Committee on     
   Government Operations. Legislative History of the Privacy Act of 1974,  
   S. 3418 (Public Law 93 579): Source Book on Privacy. Joint committee    
   print, 94th Congress, 2d Session. 1976.                                 

   1977                                                                   


      Senate Committee on Governmental Affairs and House Committee on      
   Government Operations. Final Report of the Privacy Protection Study     
   Commission. Joint hearing, 95th Congress, 1st Session. 1977.            

   1978                                                                   


      House Committee on Government Operations. Privacy and Confidentiality
   Report and Final Recommendations of the Commission on Federal Paperwork.
   Hearing, 95th Congress, 1st Session. 1978.                              

      House Committee on Government Operations. Right to Privacy Proposals 
   of the Privacy Protection Study Commission. Hearings, 95th Congress, 2d 
   Session. 1978.                                                          

   1980                                                                   


      House Committee on Government Operations. Federal Privacy of Medical 
   Information Act. H. Rept 96 832 Part 1, 96th Congress, 2d Session. 1980.

      House Committee on Government Operations. Privacy of Medical Records.
   Hearings, 96th Congress, 1st Session. 1980.                             

      House Committee on Government Operations. Public Reaction to Privacy 
   Issues. Hearing, 96th Congress, 1st Session. 1980.                      

      House Committee on Interstate and Foreign Commerce. Federal Privacy  
   of Medical Information Act. H. Rept 96 832 Part 2, 96th Congress, 2d    
   Session. 1980.                                                          

      House Committee on Ways and Means. Description and Brief Analysis of 
   H.R. 5935, Federal Privacy of Medical Information Act. Committee print, 
   96th Congress, 2d Session. 1980.                                        

      House Committee on Ways and Means. Federal Privacy of Medical        
   Information Act. Hearing, 96th Congress, 2d Session. 1980.              

      House Committee on Ways and Means. Federal Privacy of Medical        
   Information Act, H.R. 5935. Committee print, 96th Congress, 2d Session. 
   1980.                                                                   

   1981                                                                   


      House Committee on Government Operations. Confidentiality of         
   Insurance Records. Hearings, 96th Congress, 1st and 2d Sessions. 1981.  

      House Committee on Government Operations. Debt Collection Act of     
   1981. Hearing, 97th Congress, 1st Session. 1981.                        

      House Committee on Government Operations. Privacy Act Amendments. H. 
   Rept. 97 147 Part 1, 97th Congress, 1st Session. 1981.                  

   1983                                                                   


      House Committee on Government Operations. Oversight of the Privacy   
   Act of 1974. Hearings, 98th Congress, 1st Session. 1983.                

      House Committee on Government Operations. Who Cares About Privacy?   
   Oversight of the Privacy Act of 1974 by the Office of Management and    
   Budget and by the Congress. H. Rept. 98 455, 98th Congress, 1st Session.
   1983.                                                                   

      Senate Committee on Governmental Affairs. Oversight of Computer      
   Matching to Detect Fraud and Mismanagement in Government Programs.      
   Hearings, 97th Congress, 2d Session. 1983.                              

   1984                                                                   


      House Committee on Government Operations. Privacy and 1984: Public   
   Opinions on Privacy Issues. Hearing, 98th Congress, 1st Session. 1984.  

      Senate Committee on Governmental Affairs. Computer Matching: Taxpayer
   Records. Hearing, 98th Congress, 2d Session. 1984.                      

   1986                                                                   


      Senate Committee on Governmental Affairs. Computer Matching and      
   Privacy Protection Act of 1986. Hearing, 99th Congress, 2d Session.     
   1986.                                                                   

   1987                                                                   


      House Committee on Government Operations. Computer Matching and      
   Privacy Protection Act of 1987. Hearing, 100th Congress, 1st Session.   
   1987.                                                                   

   1988                                                                   


      House Committee on Government Operations. Computer Matching and      
   Privacy Protection Act of 1988. H. Rept. 100 802, 100th Congress, 2d    
   Session. 1988.                                                          

   1990                                                                   


      House Committee on Government Operations. Computer Matching and      
   Privacy Protection Amendments of 1990. Hearing, 101st Congress, 2d      
   Session. 1990.                                                          

      House Committee on Government Operations. Computer Matching and      
   Privacy Protection Amendments of 1990. H. Rept. 101 768, 101st Congress,
   2d Session. 1990.                                                       

      House Committee on Government Operations. Data Protection, Computers,
   and Changing Information Practices. Hearing, 101st Congress, 2d Session.
   1990.                                                                   

   1991                                                                   


      House Committee on Government Operations. Domestic and International 
   Data Protection Issues. Hearing, 102d Congress, 1st Session. 1991.      

   1992                                                                   


      House Committee on Government Operations. Designing Genetic          
   Information Policy: The Need for an Independent Policy Review of the    
   Ethical, Legal, and Social Implications of the Human Genome Project. H. 
   Rept. 102 478, 102d Congress, 2d Session. 1992.                         

                   APPENDIX  4 .--TEXT OF THE FREEDOM OF INFORMATION ACT          

                                 TITLE 5, UNITED STATES CODE                      

         * * * * * * *                                                           

          PART I--THE AGENCIES GENERALLY                                          

         * * * * * * *                                                           

                                  CHAPTER 5--ADMINISTRATIVE                       

         * * * * * * *                                                           

                           SUBCHAPTER II--ADMINISTRATIVE PROCEDURE                

         * * * * * * *                                                           


                    552. Public information; agency rules, opinions, orders,      
          records, and proceedings                                                
     (a) Each agency shall make available to the public information as    
  follows:                                                                
     (1) Each agency shall separately state and currently publish in the  
  Federal Register for the guidance of the public--                       
       (A) descriptions of its central and field organization and the      
   established places at which, the employees (and in the case of a        
   uniformed service, the members) from whom, and the methods whereby, the 
   public may obtain information, make submittals or requests, or obtain   
   decisions;                                                              
       (B) statements of the general course and method by which its        
   functions are channeled and determined, including the nature and        
   requirements of all formal and informal procedures available;           
       (C) rules of procedure, descriptions of forms available or the      
   places at which forms may be obtained, and instructions as to the scope 
   and contents of all papers, reports, or examinations;                   
       (D) substantive rules of general applicability adopted as authorized
   by law, and statements of general policy or interpretations of general  
   applicability formulated and adopted by the agency; and                 
     (E) each amendment, revision, or repeal of the foregoing.             

    Except to the extent that a person has actual and timely notice of the
  terms thereof, a person may not in any manner be required to resort to, 
  or be adversely affected by, a matter required to be published in the   
  Federal Register and not so published. For the purpose of this          
  paragraph, matter reasonably available to the class of persons affected 
  thereby is deemed published in the Federal Register when incorporated by
  reference therein with the approval of the Director of the Federal      
  Register.                                                               
     (2) Each agency, in accordance with published rules, shall make      
  available for public inspection and copying--                           
       (A) final opinions, including concurring and dissenting opinions, as
   well as orders, made in the adjudication of cases;                      
       (B) those statements of policy and interpretations which have been  
   adopted by the agency and are not published in the Federal Register;    
       (C) administrative staff manuals and instructions to staff that     
   affect a member of the public;                                          
       (D) copies of all records, regardless of form or format, which have 
   been released to any person under paragraph (3) and which, because of   
   the nature of their subject matter, the agency determines have become or
   are likely to become the subject of subsequent requests for             
   substantially the same records; and                                     
     (E) a general index of the records referred to under subparagraph (D);

    unless the materials are promptly published and copies offered for    
  sale. For records created on or after November 1, 1996, within one year 
  after such date, each agency shall make such records available,         
  including by computer telecommunications or, if computer                
  telecommunications means have not been established by the agency, by    
  other electronic means. To the extent required to prevent a clearly     
  unwarranted invasion of personal privacy, an agency may delete          
  identifying details when it makes available or publishes an opinion,    
  statement of policy, interpretation, staff manual, instruction, or      
  copies of records referred to in subparagraph (D). However, in each case
  the justification for the deletion shall be explained fully in writing, 
  and the extent of such deletion shall be indicated on the portion of the
  record which is made available or published, unless including that      
  indication would harm an interest protected by the exemption in         
  subsection (b) under which the deletion is made. If technically         
  feasible, the extent of the deletion shall be indicated at the place in 
  the record where the deletion was made. Each agency shall also maintain 
  and make available for public inspection and copying current indexes    
  providing identifying information for the public as to any matter       
  issued, adopted, or promulgated after July 4, 1967, and required by this
  paragraph to be made available or published. Each agency shall promptly 
  publish, quarterly or more frequently, and distribute (by sale or       
  otherwise) copies of each index or supplements thereto unless it        
  determines by order published in the Federal Register that the          
  publication would be unnecessary and impracticable, in which case the   
  agency shall nonetheless provide copies of such index on request at a   
  cost not to exceed the direct cost of duplication. Each agency shall    
  make the index referred to in subparagraph (E) available by computer    
  telecommunications by December 31, 1999. A final order, opinion,        
  statement of policy, interpretation, or staff manual or instruction that
  affects a member of the public may be relied on, used, or cited as      
  precedent by an agency against a party other than an agency only if--   
       (i) it has been indexed and either made available or published as   
   provided by this paragraph; or                                          
     (ii) the party has actual and timely notice of the terms thereof.     

     (3)(A) Except with respect to the records made available under       
  paragraphs (1) and (2) of this subsection, each agency, upon any request
  for records which (i) reasonably describes such records and (ii) is made
  in accordance with published rules stating the time, place, fees (if    
  any), and procedures to be followed, shall make the records promptly    
  available to any person.                                                
     (B) In making any record available to a person under this paragraph, 
  an agency shall provide the record in any form or format requested by   
  the person if the record is readily reproducible by the agency in that  
  form or format. Each agency shall make reasonable efforts to maintain   
  its records in forms or formats that are reproducible for purposes of   
  this section.                                                           
     (C) In responding under this paragraph to a request for records, an  
  agency shall make reasonable efforts to search for the records in       
  electronic form or format, except when such efforts would significantly 
  interfere with the operation of the agency's automated information      
  system.                                                                 
     (D) For purposes of this paragraph, the term ``search'' means to     
  review, manually or by automated means, agency records for the purpose  
  of locating those records which are responsive to a request.            
     (4)(A)(i) In order to carry out the provisions of this section, each 
  agency shall promulgate regulations, pursuant to notice and receipt of  
  public comment, specifying the schedule of fees applicable to the       
  processing of requests under this section and establishing procedures   
  and guidelines for determining when such fees should be waived or       
  reduced. Such schedule shall conform to the guidelines which shall be   
  promulgated, pursuant to notice and receipt of public comment, by the   
  Director of the Office of Management and Budget and which shall provide 
  for a uniform schedule of fees for all agencies.                        
    (ii) Such agency regulations shall provide that--                     

       (I) fees shall be limited to reasonable standard charges for        
   document search, duplication, and review, when records are requested for
   commercial use;                                                         
       (II) fees shall be limited to reasonable standard charges for       
   document duplication when records are not sought for commercial use and 
   the request is made by an educational or noncommercial scientific       
   institution, whose purpose is scholarly or scientific research; or a    
   representative of the news media; and                                   
       (III) for any request not described in (I) or (II), fees shall be   
   limited to reasonable standard charges for document search and          
   duplication.                                                            
     (iii) Documents shall be furnished without any charge or at a charge 
  reduced below the fees established under clause (ii) if disclosure of   
  the information is in the public interest because it is likely to       
  contribute significantly to public understanding of the operations or   
  activities of the government and is not primarily in the commercial     
  interest of the requester.                                              
     (iv) Fee schedules shall provide for the recovery of only the direct 
  costs of search, duplication, or review. Review costs shall include only
  the direct costs incurred during the initial examination of a document  
  for the purposes of determining whether the documents must be disclosed 
  under this section and for the purposes of withholding any portions     
  exempt from disclosure under this section. Review costs may not include 
  any costs incurred in resolving issues of law or policy that may be     
  raised in the course of processing a request under this section. No fee 
  may be charged by any agency under this section--                       
       (I) if the costs of routine collection and processing of the fee are
   likely to equal or exceed the amount of the fee; or                     
       (II) for any request described in clause (ii) (II) or (III) of this 
   subparagraph for the first two hours of search time or for the first one
   hundred pages of duplication.                                           
     (v) No agency may require advance payment of any fee unless the      
  requester has previously failed to pay fees in a timely fashion, or the 
  agency has determined that the fee will exceed $250.                    
     (vi) Nothing in this subparagraph shall supersede fees chargeable    
  under a statute specifically providing for setting the level of fees for
  particular types of records.                                            
     (vii) In any action by a requester regarding the waiver of fees under
  this section, the court shall determine the matter de novo: Provided,   
  That the court's review of the matter shall be limited to the record    
  before the agency.                                                      
     (B) On complaint, the district court of the United States in the     
  district in which the complainant resides, or has his principal place of
  business, or in which the agency records are situated, or in the        
  District of Columbia, has jurisdiction to enjoin the agency from        
  withholding agency records and to order the production of any agency    
  records improperly withheld from the complainant. In such a case the    
  court shall determine the matter de novo, and may examine the contents  
  of such agency records in camera to determine whether such records or   
  any part thereof shall be withheld under any of the exemptions set forth
  in subsection (b) of this section, and the burden is on the agency to   
  sustain its action. In addition to any other matters to which a court   
  accords substantial weight, a court shall accord substantial weight to  
  an affidavit of an agency concerning the agency's determination as to   
  technical feasibility under paragraph (2)(C) and subsection (b) and     
  reproducibility under paragraph (3)(B).                                 
     (C) Notwithstanding any other provision of law, the defendant shall  
  serve an answer or otherwise plead to any complaint made under this     
  subsection within thirty days after service upon the defendant of the   
  pleading in which such complaint is made, unless the court otherwise    
  directs for good cause shown.                                           
    (D) [Repealed.]                                                       

     (E) The court may assess against the United States reasonable        
  attorney fees and other litigation costs reasonably incurred in any case
  under this section in which the complainant has substantially prevailed.
     (F) Whenever the court orders the production of any agency records   
  improperly withheld from the complainant and assesses against the United
  States reasonable attorney fees and other litigation costs, and the     
  court additionally issues a written finding that the circumstances      
  surrounding the withholding raise questions whether agency personnel    
  acted arbitrarily or capriciously with respect to the withholding, the  
  Special Counsel shall promptly initiate a proceeding to determine       
  whether disciplinary action is warranted against the officer or employee
  who was primarily responsible for the withholding. The Special Counsel, 
  after investigation and consideration of the evidence submitted, shall  
  submit his findings and recommendations to the administrative authority 
  of the agency concerned and shall send copies of the findings and       
  recommendations to the officer or employee or his representative. The   
  administrative authority shall take the corrective action that the      
  Special Counsel recommends.                                             
     (G) In the event of noncompliance with the order of the court, the   
  district court may punish for contempt the responsible employee, and in 
  the case of a uniformed service, the responsible member.                
     (5) Each agency having more than one member shall maintain and make  
  available for public inspection a record of the final votes of each     
  member in every agency proceeding.                                      
     (6)(A) Each agency, upon any request for records made under paragraph
  (1), (2), or (3) of this subsection, shall--                            
     (i) determine within ten days\1\                                      

    (excepting Saturdays, Sundays, and legal public holidays) after the    
   receipt of any such request whether to comply with such request and     
   shall immediately notify the person making such request of such         
   determination and the reasons therefor, and of the right of such person 
   to appeal to the head of the agency any adverse determination; and      
   \1\Under section 12(b) of the Electronic Freedom of Information Act     
   Amendments of 1996 (Pub. L. 104 231; 110 Stat. 3054), the amendment made
   by section 8(b) of such Act striking ``ten days'' and inserting ``20    
   days'' shall take effect on October 3, 1997.                            
       (ii) make a determination with respect to any appeal within twenty  
   days (excepting Saturdays, Sundays, and legal public holidays) after the
   receipt of such appeal. If on appeal the denial of the request for      
   records is in whole or in part upheld, the agency shall notify the      
   person making such request of the provisions for judicial review of that
   determination under paragraph (4) of this subsection.                   

    (B)\2\                                                                

    In unusual circumstances as specified in this subparagraph, the time   
   limits prescribed in either clause (i) or clause (ii) of subparagraph   
   (A) may be extended by written notice to the person making such request 
   setting forth the reasons for such extension and the date on which a    
   determination is expected to be dispatched. No such notice shall specify
   a date that would result in an extension for more than ten working days.
   As used in this subparagraph, ``unusual circumstances'' means, but only 
   to the extent reasonably necessary to the proper processing of the      
   particular request--                                                    
   \2\Under section 12(b) of the Electronic Freedom of Information Act     
   Amendments of 1996 (Pub. L. 104 231; 110 Stat. 3054), the amendment made
   by section 7(b) of such Act striking subparagraph (B) and inserting a   
   new subparagraph (B) shall take effect on October 3, 1997. As a result  
   of that amendment, upon that date subparagraph (B) will read as follows:

                       (I) the need to search for and collect the requested records
           from field facilities or other establishments that are separate from the
           office processing the request;                                          
                       (II) the need to search for, collect, and appropriately     
           examine a voluminous amount of separate and distinct records which are  
           demanded in a single request; or                                        
                       (III) the need for consultation, which shall be conducted   
           with all practicable speed, with another agency having a substantial    
           interest in the determination of the request or among two or more       
           components of the agency having substantial subject-matter interest     
           therein.                                                                

       (i) the need to search for and collect the requested records from   
   field facilities or other establishments that are separate from the     
   office processing the request;                                          
       (ii) the need to search for, collect, and appropriately examine a   
   voluminous amount of separate and distinct records which are demanded in
   a single request; or                                                    
       (iii) the need for consultation, which shall be conducted with all  
   practicable speed, with another agency having a substantial interest in 
   the determination of the request or among two or more components of the 
   agency having substantial subject-matter interest therein.              

     (C) Any person making a request to any agency for records under      
  paragraph (1), (2), or (3) of this subsection shall be deemed to have   
  exhausted his administrative remedies with respect to such request if   
  the agency fails to comply with the applicable time limit provisions of 
  this paragraph. If the Government can show exceptional circumstances    
  exist and that the agency is exercising due diligence in responding to  
  the request, the court may retain jurisdiction and allow the agency     
  additional time to complete its review of the records. Upon any         
  determination by an agency to comply with a request for records, the    
  records shall be made promptly available to such person making such     
  request. Any notification of denial of any request for records under    
  this subsection shall set forth the names and titles or positions of    
  each person responsible for the denial of such request.\1\              
                                                                           

   \1\Under section 12(b) of the Electronic Freedom of Information Act     
   Amendments of 1996 (Pub. L. 104 231; 110 Stat. 3054), the amendments    
   made by section 7(c) of such Act inserting ``(i)'' after ``(C)'' and    
   adding at the end new clauses (ii) and (iii), shall take effect on      
   October 3, 1997. As a result of those amendments, upon that date clauses
   (ii) and (iii) will read as follows:                                    



                       (I) in cases in which the person requesting the records     
           demonstrates a compelling need; and                                     
            (II) in other cases determined by the agency.                          

                       (I) that a determination of whether to provide expedited    
           processing shall be made, and notice of the determination shall be      
           provided to the person making the request, within 10 days after the date
           of the request; and                                                     
                       (II) expeditious consideration of administrative appeals of 
           such determinations of whether to provide expedited processing.         
                       (I) that a failure to obtain requested records on an        
           expedited basis under this paragraph could reasonably be expected to    
           pose an imminent threat to the life or physical safety of an individual;
           or                                                                      
                       (II) with respect to a request made by a person primarily   
           engaged in disseminating information, urgency to inform the public      
           concerning actual or alleged Federal Government activity.               

    (b) This section does not apply to matters that are--                 

       (1)(A) specifically authorized under criteria established by an     
   Executive order to be kept secret in the interest of national defense or
   foreign policy and (B) are in fact properly classified pursuant to such 
   Executive order;                                                        
       (2) related solely to the internal personnel rules and practices of 
   an agency;                                                              
       (3) specifically exempted from disclosure by statute (other than    
   section 552b of this title), provided that such statute (A) requires    
   that the matters be withheld from the public in such a manner as to     
   leave no discretion on the issue, or (B) establishes particular criteria
   for withholding or refers to particular types of matters to be withheld;
       (4) trade secrets and commercial or financial information obtained  
   from a person and privileged or confidential;                           
       (5) inter-agency or intra-agency memorandums or letters which would 
   not be available by law to a party other than an agency in litigation   
   with the agency;                                                        
       (6) personnel and medical files and similar files the disclosure of 
   which would constitute a clearly unwarranted invasion of personal       
   privacy;                                                                
       (7) records or information compiled for law enforcement purposes,   
   but only to the extent that the production of such law enforcement      
   records or information (A) could reasonably be expected to interfere    
   with enforcement proceedings, (B) would deprive a person of a right to a
   fair trial or an impartial adjudication, (C) could reasonably be        
   expected to constitute an unwarranted invasion of personal privacy, (D) 
   could reasonably be expected to disclose the identity of a confidential 
   source, including a State, local, or foreign agency or authority or any 
   private institution which furnished information on a confidential basis,
   and, in the case of a record or information compiled by criminal law    
   enforcement authority in the course of a criminal investigation or by an
   agency conducting a lawful national security intelligence investigation,
   information furnished by a confidential source, (E) would disclose      
   techniques and procedures for law enforcement investigations or         
   prosecutions, or would disclose guidelines for law enforcement          
   investigations or prosecutions if such disclosure could reasonably be   
   expected to risk circumvention of the law, or (F) could reasonably be   
   expected to endanger the life or physical safety of any individual;     
       (8) contained in or related to examination, operating, or condition 
   reports prepared by, on behalf of, or for the use of an agency          
   responsible for the regulation or supervision of financial institutions;
   or                                                                      
       (9) geological and geophysical information and data, including maps,
   concerning wells.                                                       
    Any reasonably segregable portion of a record shall be provided to any
  person requesting such record after deletion of the portions which are  
  exempt under this subsection. The amount of information deleted shall be
  indicated on the released portion of the record, unless including that  
  indication would harm an interest protected by the exemption in this    
  subsection under which the deletion is made. If technically feasible,   
  the amount of the information deleted shall be indicated at the place in
  the record where such deletion is made.                                 
     (c)(1) Whenever a request is made which involves access to records   
  described in subsection (b)(7)(A) and--                                 
       (A) the investigation or proceeding involves a possible violation of
   criminal law; and                                                       
       (B) there is reason to believe that (i) the subject of the          
   investigation or proceeding is not aware of its pendency, and (ii)      
   disclosure of the existence of the records could reasonably be expected 
   to interfere with enforcement proceedings,                              
    the agency may, during only such time as that circumstance continues, 
  treat the records as not subject to the requirements of this section.   
     (2) Whenever informant records maintained by a criminal law          
  enforcement agency under an informant's name or personal identifier are 
  requested by a third party according to the informant's name or personal
  identifier, the agency may treat the records as not subject to the      
  requirements of this section unless the informant's status as an        
  informant has been officially confirmed.                                
     (3) Whenever a request is made which involves access to records      
  maintained by the Federal Bureau of Investigation pertaining to foreign 
  intelligence or counterintelligence, or international terrorism, and the
  existence of the records is classified information as provided in       
  subsection (b)(1), the Bureau may, as long as the existence of the      
  records remains classified information, treat the records as not subject
  to the requirements of this section.                                    
     (d) This section does not authorize withholding of information or    
  limit the availability of records to the public, except as specifically 
  stated in this section. This section is not authority to withhold       
  information from Congress.                                              
     (e)(1) On or before February 1 of each year, each agency shall submit
  to the Attorney General of the United States a report which shall cover 
  the preceding fiscal year and which shall include--                     
       (A) the number of determinations made by the agency not to comply   
   with requests for records made to such agency under subsection (a) and  
   the reasons for each such determination;                                
       (B)(i) the number of appeals made by persons under subsection       
   (a)(6), the result of such appeals, and the reason for the action upon  
   each appeal that results in a denial of information; and                
       (ii) a complete list of all statutes that the agency relies upon to 
   authorize the agency to withhold information under subsection (b)(3), a 
   description of whether a court has upheld the decision of the agency to 
   withhold information under each such statute, and a concise description 
   of the scope of any information withheld;                               
       (C) the number of requests for records pending before the agency as 
   of September 30 of the preceding year, and the median number of days    
   that such requests had been pending before the agency as of that date;  
       (D) the number of requests for records received by the agency and   
   the number of requests which the agency processed;                      
       (E) the median number of days taken by the agency to process        
   different types of requests;                                            
       (F) the total amount of fees collected by the agency for processing 
   requests; and                                                           
       (G) the number of full-time staff of the agency devoted to          
   processing requests for records under this section, and the total amount
   expended by the agency for processing such requests.                    
     (2) Each agency shall make each such report available to the public  
  including by computer telecommunications, or if computer                
  telecommunications means have not been established by the agency, by    
  other electronic means.                                                 
     (3) The Attorney General of the United States shall make each report 
  which has been made available by electronic means available at a single 
  electronic access point. The Attorney General of the United States shall
  notify the Chairman and ranking minority member of the Committee on     
  Government Reform and Oversight of the House of Representatives and the 
  Chairman and ranking minority member of the Committees on Governmental  
  Affairs and the Judiciary of the Senate, no later than April 1 of the   
  year in which each such report is issued, that such reports are         
  available by electronic means.                                          
     (4) The Attorney General of the United States, in consultation with  
  the Director of the Office of Management and Budget, shall develop      
  reporting and performance guidelines in connection with reports required
  by this subsection by October 1, 1997, and may establish additional     
  requirements for such reports as the Attorney General determines may be 
  useful.                                                                 
     (5) The Attorney General of the United States shall submit an annual 
  report on or before April 1 of each calendar year which shall include   
  for the prior calendar year a listing of the number of cases arising    
  under this section, the exemption involved in each case, the disposition
  of such case, and the cost, fees, and penalties assessed under          
  subparagraphs (E), (F), and (G) of subsection (a)(4). Such report shall 
  also include a description of the efforts undertaken by the Department  
  of Justice to encourage agency compliance with this section.            
    (f) For purposes of this section, the term--                          

       (1) ``agency'' as defined in section 551(1) of this title includes  
   any executive department, military department, Government corporation,  
   Government controlled corporation, or other establishment in the        
   executive branch of the Government (including the Executive Office of   
   the President), or any independent regulatory agency; and               
       (2) ``record'' and any other term used in this section in reference 
   to information includes any information that would be an agency record  
   subject to the requirements of this section when maintained by an agency
   in any format, including an electronic format.                          
     (g) The head of each agency shall prepare and make publicly available
  upon request, reference material or a guide for requesting records or   
  information from the agency, subject to the exemptions in subsection    
  (b), including--                                                        
     (1) an index of all major information systems of the agency;          

       (2) a description of major information and record locator systems   
   maintained by the agency; and                                           
       (3) a handbook for obtaining various types and categories of public 
   information from the agency pursuant to chapter 35 of title 44, and     
   under this section.                                                     

                      APPENDIX  5.-- TEXT OF THE PRIVACY ACT OF  1974             


          552a. Records maintained on individuals                                 

    (a)  Definitions.-- For purposes of this section--                    

     (1) the term ``agency'' means agency as defined in section 552(e)\1\  

    of this title;                                                         

   \1\Reference probably should be to ``552(f)''. Section 1802(b) of Public
   Law 99 570 redesignated subsection (e) as (f) of section 552.           

       (2) the term ``individual'' means a citizen of the United States or 
   an alien lawfully admitted for permanent residence;                     
       (3) the term ``maintain'' includes maintain, collect, use, or       
   disseminate;                                                            
       (4) the term ``record'' means any item, collection, or grouping of  
   information about an individual that is maintained by an agency,        
   including, but not limited to, his education, financial transactions,   
   medical history, and criminal or employment history and that contains   
   his name, or the identifying number, symbol, or other identifying       
   particular assigned to the individual, such as a finger or voice print  
   or a photograph;                                                        
       (5) the term ``system of records'' means a group of any records     
   under the control of any agency from which information is retrieved by  
   the name of the individual or by some identifying number, symbol, or    
   other identifying particular assigned to the individual;                
       (6) the term ``statistical record'' means a record in a system of   
   records maintained for statistical research or reporting purposes only  
   and not used in whole or in part in making any determination about an   
   identifiable individual, except as provided by section 8 of title 13;   
       (7) the term ``routine use'' means, with respect to the disclosure  
   of a record, the use of such record for a purpose which is compatible   
   with the purpose for which it was collected;                            
     (8) the term ``matching program''--                                   

     (A) means any computerized comparison of--                            

       (i) two or more automated systems of records or a system of records 
   with non-Federal records for the purpose of--                           
         (I) establishing or verifying the eligibility of, or continuing    
    compliance with statutory and regulatory requirements by, applicants    
    for, recipients or beneficiaries of, participants in, or providers of   
    services with respect to, cash or in-kind assistance or payments under  
    Federal benefit programs, or                                            
         (II) recouping payments or delinquent debts under such Federal     
    benefit programs, or                                                    
       (ii) two or more automated Federal personnel or payroll systems of  
   records or a system of Federal personnel or payroll records with        
   non-Federal records,                                                    
     (B) but does not include--                                            

       (i) matches performed to produce aggregate statistical data without 
   any personal identifiers;                                               
       (ii) matches performed to support any research or statistical       
   project, the specific data of which may not be used to make decisions   
   concerning the rights, benefits, or privileges of specific individuals; 
       (iii) matches performed, by an agency (or component thereof) which  
   performs as its principal function any activity pertaining to the       
   enforcement of criminal laws, subsequent to the initiation of a specific
   criminal or civil law enforcement investigation of a named person or    
   persons for the purpose of gathering evidence against such person or    
   persons;                                                                
       (iv) matches of tax information (I) pursuant to section 6103(d) of  
   the Internal Revenue Code of 1986, (II) for purposes of tax             
   administration as defined in section 6103(b)(4) of such Code, (III) for 
   the purpose of intercepting a tax refund due an individual under        
   authority granted by section 464 or 1137 of the Social Security Act; or 
   (IV) for the purpose of intercepting a tax refund due an individual     
   under any other tax refund intercept program authorized by statute which
   has been determined by the Director of the Office of Management and     
   Budget to contain verification, notice, and hearing requirements that   
   are substantially similar to the procedures in section 1137 of the      
   Social Security Act;                                                    
     (v) matches--                                                         

         (I) using records predominantly relating to Federal personnel, that
    are performed for routine administrative purposes (subject to guidance  
    provided by the Director of the Office of Management and Budget pursuant
    to subsection (v)); or                                                  
         (II) conducted by an agency using only records from systems of     
    records maintained by that agency;                                      
      if the purpose of the match is not to take any adverse financial,    
   personnel, disciplinary, or other adverse action against Federal        
   personnel\2\                                                            
                                                                           

   \2\So in original. The amendment made by Public Law 103 66 (107 Stat.   
   611, sec. 13581(c)(1)) struck ``; or''. It did not put back any         
   punctuation.                                                            
       (vi) matches performed for foreign counterintelligence purposes or  
   to produce background checks for security clearances of Federal         
   personnel or Federal contractor personnel;                              
       (9) the term ``recipient agency'' means any agency, or contractor   
   thereof, receiving records contained in a system of records from a      
   source agency for use in a matching program;                            
       (10) the term ``non-Federal agency'' means any State or local       
   government, or agency thereof, which receives records contained in a    
   system of records from a source agency for use in a matching program;   
       (11) the term ``source agency'' means any agency which discloses    
   records contained in a system of records to be used in a matching       
   program, or any State or local government, or agency thereof, which     
   discloses records to be used in a matching program;                     
       (12) the term ``Federal benefit program'' means any program         
   administered or funded by the Federal Government, or by any agent or    
   State on behalf of the Federal Government, providing cash or in-kind    
   assistance in the form of payments, grants, loans, or loan guarantees to
   individuals; and                                                        
       (13) the term ``Federal personnel'' means officers and employees of 
   the Government of the United States, members of the uniformed services  
   (including members of the Reserve Components), individuals entitled to  
   receive immediate or deferred retirement benefits under any retirement  
   program of the Government of the United States (including survivor      
   benefits).                                                              
     (b) Conditions of Disclosure.-- No agency shall disclose any record  
  which is contained in a system of records by any means of communication 
  to any person, or to another agency, except pursuant to a written       
  request by, or with the prior written consent of, the individual to whom
  the record pertains, unless disclosure of the record would be--         
       (1) to those officers and employees of the agency which maintains   
   the record who have a need for the record in the performance of their   
   duties;                                                                 
     (2) required under section 552 of this title;                         

       (3) for a routine use as defined in subsection (a)(7) of this       
   section and described under subsection (e)(4)(D) of this section;       
       (4) to the Bureau of the Census for purposes of planning or carrying
   out a census or survey or related activity pursuant to the provisions of
   title 13;                                                               
       (5) to a recipient who has provided the agency with advance adequate
   written assurance that the record will be used solely as a statistical  
   research or reporting record, and the record is to be transferred in a  
   form that is not individually identifiable;                             
       (6) to the National Archives and Records Administration as a record 
   which has sufficient historical or other value to warrant its continued 
   preservation by the United States Government, or for evaluation by the  
   Archivist of the United States or the designee of the Archivist to      
   determine whether the record has such value;                            
       (7) to another agency or to an instrumentality of any governmental  
   jurisdiction within or under the control of the United States for a     
   civil or criminal law enforcement activity if the activity is authorized
   by law, and if the head of the agency or instrumentality has made a     
   written request to the agency which maintains the record specifying the 
   particular portion desired and the law enforcement activity for which   
   the record is sought;                                                   
       (8) to a person pursuant to a showing of compelling circumstances   
   affecting the health or safety of an individual if upon such disclosure 
   notification is transmitted to the last known address of such           
   individual;                                                             
       (9) to either House of Congress, or, to the extent of matter within 
   its jurisdiction, any committee or subcommittee thereof, any joint      
   committee of Congress or subcommittee of any such joint committee;      
       (10) to the Comptroller General, or any of his authorized           
   representatives, in the course of the performance of the duties of the  
   General Accounting Office;                                              
     (11) pursuant to the order of a court of competent jurisdiction; and  

       (12) to a consumer reporting agency in accordance with section      
   3711(e) of title 31.                                                    
     (c) Accounting of Certain Disclosures.-- Each agency, with respect to
  each system of records under its control shall--                        
       (1) except for disclosures made under subsections (b)(1) or (b)(2)  
   of this section, keep an accurate accounting of--                       
       (A) the date, nature, and purpose of each disclosure of a record to 
   any person or to another agency made under subsection (b) of this       
   section; and                                                            
       (B) the name and address of the person or agency to whom the        
   disclosure is made;                                                     
       (2) retain the accounting made under paragraph (1) of this          
   subsection for at least five years or the life of the record, whichever 
   is longer, after the disclosure for which the accounting is made;       
       (3) except for disclosures made under subsection (b)(7) of this     
   section, make the accounting made under paragraph (1) of this subsection
   available to the individual named in the record at his request; and     
       (4) inform any person or other agency about any correction or       
   notation of dispute made by the agency in accordance with subsection (d)
   of this section of any record that has been disclosed to the person or  
   agency if an accounting of the disclosure was made.                     
     (d) Access to Records.-- Each agency that maintains a system of      
  records shall--                                                         
       (1) upon request by any individual to gain access to his record or  
   to any information pertaining to him which is contained in the system,  
   permit him and upon his request, a person of his own choosing to        
   accompany him, to review the record and have a copy made of all or any  
   portion thereof in a form comprehensible to him, except that the agency 
   may require the individual to furnish a written statement authorizing   
   discussion of that individual's record in the accompanying person's     
   presence;                                                               
       (2) permit the individual to request amendment of a record          
   pertaining to him and--                                                 
       (A) not later than 10 days (excluding Saturdays, Sundays, and legal 
   public holidays) after the date of receipt of such request, acknowledge 
   in writing such receipt; and                                            
     (B) promptly, either--                                                

       (i) make any correction of any portion thereof which the individual 
   believes is not accurate, relevant, timely, or complete; or             
       (ii) inform the individual of its refusal to amend the record in    
   accordance with his request, the reason for the refusal, the procedures 
   established by the agency for the individual to request a review of that
   refusal by the head of the agency or an officer designated by the head  
   of the agency, and the name and business address of that official;      
       (3) permit the individual who disagrees with the refusal of the     
   agency to amend his record to request a review of such refusal, and not 
   later than 30 days (excluding Saturdays, Sundays, and legal public      
   holidays) from the date on which the individual requests such review,   
   complete such review and make a final determination unless, for good    
   cause shown, the head of the agency extends such 30-day period; and if, 
   after his review, the reviewing official also refuses to amend the      
   record in accordance with the request, permit the individual to file    
   with the agency a concise statement setting forth the reasons for his   
   disagreement with the refusal of the agency, and notify the individual  
   of the provisions for judicial review of the reviewing official's       
   determination under subsection (g)(1)(A) of this section;               
       (4) in any disclosure, containing information about which the       
   individual has filed a statement of disagreement, occurring after the   
   filing of the statement under paragraph (3) of this subsection, clearly 
   note any portion of the record which is disputed and provide copies of  
   the statement and, if the agency deems it appropriate, copies of a      
   concise statement of the reasons of the agency for not making the       
   amendments requested, to persons or other agencies to whom the disputed 
   record has been disclosed; and                                          
       (5) nothing in this section shall allow an individual access to any 
   information compiled in reasonable anticipation of a civil action or    
   proceeding.                                                             
     (e) Agency Requirements.-- Each agency that maintains a system of    
  records shall--                                                         
       (1) maintain in its records only such information about an          
   individual as is relevant and necessary to accomplish a purpose of the  
   agency required to be accomplished by statute or by executive order of  
   the President;                                                          
       (2) collect information to the greatest extent practicable directly 
   from the subject individual when the information may result in adverse  
   determinations about an individual's rights, benefits, and privileges   
   under Federal programs;                                                 
       (3) inform each individual whom it asks to supply information, on   
   the form which it uses to collect the information or on a separate form 
   that can be retained by the individual--                                
       (A) the authority (whether granted by statute, or by executive order
   of the President) which authorizes the solicitation of the information  
   and whether disclosure of such information is mandatory or voluntary;   
       (B) the principal purpose or purposes for which the information is  
   intended to be used;                                                    
       (C) the routine uses which may be made of the information, as       
   published pursuant to paragraph (4)(D) of this subsection; and          
       (D) the effects on him, if any, of not providing all or any part of 
   the requested information;                                              
       (4) subject to the provisions of paragraph (11) of this subsection, 
   publish in the Federal Register upon establishment or revision a notice 
   of the existence and character of the system of records, which notice   
   shall include--                                                         
     (A) the name and location of the system;                              

       (B) the categories of individuals on whom records are maintained in 
   the system;                                                             
     (C) the categories of records maintained in the system;               

       (D) each routine use of the records contained in the system,        
   including the categories of users and the purpose of such use;          
       (E) the policies and practices of the agency regarding storage,     
   retrievability, access controls, retention, and disposal of the records;
       (F) the title and business address of the agency official who is    
   responsible for the system of records;                                  
       (G) the agency procedures whereby an individual can be notified at  
   his request if the system of records contains a record pertaining to    
   him;                                                                    
       (H) the agency procedures whereby an individual can be notified at  
   his request how he can gain access to any record pertaining to him      
   contained in the system of records, and how he can contest its content; 
   and                                                                     
     (I) the categories of sources of records in the system;               

       (5) maintain all records which are used by the agency in making any 
   determination about any individual with such accuracy, relevance,       
   timeliness, and completeness as is reasonably necessary to assure       
   fairness to the individual in the determination;                        
       (6) prior to disseminating any record about an individual to any    
   person other than an agency, unless the dissemination is made pursuant  
   to subsection (b)(2) of this section, make reasonable efforts to assure 
   that such records are accurate, complete, timely, and relevant for      
   agency purposes;                                                        
       (7) maintain no record describing how any individual exercises      
   rights guaranteed by the first amendment unless expressly authorized by 
   statute or by the individual about whom the record is maintained or     
   unless pertinent to and within the scope of an authorized law           
   enforcement activity;                                                   
       (8) make reasonable efforts to serve notice on an individual when   
   any record on such individual is made available to any person under     
   compulsory legal process when such process becomes a matter of public   
   record;                                                                 
       (9) establish rules of conduct for persons involved in the design,  
   development, operation, or maintenance of any system of records, or in  
   maintaining any record, and instruct each such person with respect to   
   such rules and the requirements of this section, including any other    
   rules and procedures adopted pursuant to this section and the penalties 
   for noncompliance;                                                      
       (10) establish appropriate administrative, technical, and physical  
   safeguards to insure the security and confidentiality of records and to 
   protect against any anticipated threats or hazards to their security or 
   integrity which could result in substantial harm, embarrassment,        
   inconvenience, or unfairness to any individual on whom information is   
   maintained;                                                             
       (11) at least 30 days prior to publication of information under     
   paragraph (4)(D) of this subsection, publish in the Federal Register    
   notice of any new use or intended use of the information in the system, 
   and provide an opportunity for interested persons to submit written     
   data, views, or arguments to the agency; and                            
       (12) if such agency is a recipient agency or a source agency in a   
   matching program with a non-Federal agency, with respect to any         
   establishment or revision of a matching program, at least 30 days prior 
   to conducting such program, publish in the Federal Register notice of   
   such establishment or revision.                                         
     (f) Agency Rules.-- In order to carry out the provisions of this     
  section, each agency that maintains a system of records shall promulgate
  rules, in accordance with the requirements (including general notice) of
  section 553 of this title, which shall--                                
       (1) establish procedures whereby an individual can be notified in   
   response to his request if any system of records named by the individual
   contains a record pertaining to him;                                    
       (2) define reasonable times, places, and requirements for           
   identifying an individual who requests his record or information        
   pertaining to him before the agency shall make the record or information
   available to the individual;                                            
       (3) establish procedures for the disclosure to an individual upon   
   his request of his record or information pertaining to him, including   
   special procedure, if deemed necessary, for the disclosure to an        
   individual of medical records, including psychological records          
   pertaining to him;                                                      
       (4) establish procedures for reviewing a request from an individual 
   concerning the amendment of any record or information pertaining to the 
   individual, for making a determination on the request, for an appeal    
   within the agency of an initial adverse agency determination, and for   
   whatever additional means may be necessary for each individual to be    
   able to exercise fully his rights under this section; and               
       (5) establish fees to be charged, if any, to any individual for     
   making copies of his record, excluding the cost of any search for and   
   review of the record.                                                   
    The Office of the Federal Register shall biennially compile and       
  publish the rules promulgated under this subsection and agency notices  
  published under subsection (e)(4) of this section in a form available to
  the public at low cost.                                                 
    (g)(1)  Civil Remedies. --Whenever any agency--                       

       (A) makes a determination under subsection (d)(3) of this section   
   not to amend an individual's record in accordance with his request, or  
   fails to make such review in conformity with that subsection;           
       (B) refuses to comply with an individual request under subsection   
   (d)(1) of this section;                                                 
       (C) fails to maintain any record concerning any individual with such
   accuracy, relevance, timeliness, and completeness as is necessary to    
   assure fairness in any determination relating to the qualifications,    
   character, rights, or opportunities of, or benefits to the individual   
   that may be made on the basis of such record, and consequently a        
   determination is made which is adverse to the individual; or            
       (D) fails to comply with any other provision of this section, or any
   rule promulgated thereunder, in such a way as to have an adverse effect 
   on an individual,                                                       
    the individual may bring a civil action against the agency, and the   
  district courts of the United States shall have jurisdiction in the     
  matters under the provisions of this subsection.                        
     (2)(A) In any suit brought under the provisions of subsection        
  (g)(1)(A) of this section, the court may order the agency to amend the  
  individual's record in accordance with his request or in such other way 
  as the court may direct. In such a case the court shall determine the   
  matter de novo.                                                         
     (B) The court may assess against the United States reasonable        
  attorney fees and other litigation costs reasonably incurred in any case
  under this paragraph in which the complainant has substantially         
  prevailed.                                                              
     (3)(A) In any suit brought under the provisions of subsection        
  (g)(1)(B) of this section, the court may enjoin the agency from         
  withholding the records and order the production to the complainant of  
  any agency records improperly withheld from him. In such a case the     
  court shall determine the matter de novo, and may examine the contents  
  of any agency records in camera to determine whether the records or any 
  portion thereof may be withheld under any of the exemptions set forth in
  subsection (k) of this section, and the burden is on the agency to      
  sustain its action.                                                     
     (B) The court may assess against the United States reasonable        
  attorney fees and other litigation costs reasonably incurred in any case
  under this paragraph in which the complainant has substantially         
  prevailed.                                                              
     (4) In any suit brought under the provisions of subsection (g)(1)(C) 
  or (D) of this section in which the court determines that the agency    
  acted in a manner which was intentional or willful, the United States   
  shall be liable to the individual in an amount equal to the sum of--    
       (A) actual damages sustained by the individual as a result of the   
   refusal or failure, but in no case shall a person entitled to recovery  
   receive less than the sum of $1,000; and                                
       (B) the costs of the action together with reasonable attorney fees  
   as determined by the court.                                             
     (5) An action to enforce any liability created under this section may
  be brought in the district court of the United States in the district in
  which the complainant resides, or has his principal place of business,  
  or in which the agency records are situated, or in the District of      
  Columbia, without regard to the amount in controversy, within two years 
  from the date on which the cause of action arises, except that where an 
  agency has materially and willfully misrepresented any information      
  required under this section to be disclosed to an individual and the    
  information so misrepresented is material to establishment of the       
  liability of the agency to the individual under this section, the action
  may be brought at any time within two years after discovery by the      
  individual of the misrepresentation. Nothing in this section shall be   
  construed to authorize any civil action by reason of any injury         
  sustained as the result of a disclosure of a record prior to September  
  27, 1975.                                                               
     (h) Rights of Legal Guardians.-- For the purposes of this section,   
  the parent of any minor, or the legal guardian of any individual who has
  been declared to be incompetent due to physical or mental incapacity or 
  age by a court of competent jurisdiction, may act on behalf of the      
  individual.                                                             
     (i)(1) Criminal Penalties.-- Any officer or employee of an agency,   
  who by virtue of his employment or official position, has possession of,
  or access to, agency records which contain individually identifiable    
  information the disclosure of which is prohibited by this section or by 
  rules or regulations established thereunder, and who knowing that       
  disclosure of the specific material is so prohibited, willfully         
  discloses the material in any manner to any person or agency not        
  entitled to receive it, shall be guilty of a misdemeanor and fined not  
  more than $5,000.                                                       
     (2) Any officer or employee of any agency who willfully maintains a  
  system of records without meeting the notice requirements of subsection 
  (e)(4) of this section shall be guilty of a misdemeanor and fined not   
  more than $5,000.                                                       
     (3) Any person who knowingly and willfully requests or obtains any   
  record concerning an individual from an agency under false pretenses    
  shall be guilty of a misdemeanor and fined not more than $5,000.        
     (j) General Exemptions.-- The head of any agency may promulgate      
  rules, in accordance with the requirements (including general notice) of
  sections 553(b)(1), (2), and (3), (c), and (e) of this title, to exempt 
  any system of records within the agency from any part of this section   
  except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6),  
  (7), (9), (10), and (11), and (i) if the system of records is--         
     (1) maintained by the Central Intelligence Agency; or                 

       (2) maintained by an agency or component thereof which performs as  
   its principal function any activity pertaining to the enforcement of    
   criminal laws, including police efforts to prevent, control, or reduce  
   crime or to apprehend criminals, and the activities of prosecutors,     
   courts, correctional, probation, pardon, or parole authorities, and     
   which consists of (A) information compiled for the purpose of           
   identifying individual criminal offenders and alleged offenders and     
   consisting only of identifying data and notations of arrests, the nature
   and disposition of criminal charges, sentencing, confinement, release,  
   and parole and probation status; (B) information compiled for the       
   purpose of a criminal investigation, including reports of informants and
   investigators, and associated with an identifiable individual; or (C)   
   reports identifiable to an individual compiled at any stage of the      
   process of enforcement of the criminal laws from arrest or indictment   
   through release from supervision.                                       
    At the time rules are adopted under this subsection, the agency shall 
  include in the statement required under section 553(c) of this title,   
  the reasons why the system of records is to be exempted from a provision
  of this section.                                                        
     (k) Specific Exemptions. --The head of any agency may promulgate     
  rules, in accordance with the requirements (including general notice) of
  sections 553(b)(1), (2), and (3), (c), and (e) of this title, to exempt 
  any system of records within the agency from subsections (c)(3), (d),   
  (e)(1), (e)(4)(G), (H), and (I) and (f) of this section if the system of
  records is--                                                            
     (1) subject to the provisions of section 552(b)(1) of this title;     

       (2) investigatory material compiled for law enforcement purposes,   
   other than material within the scope of subsection (j)(2) of this       
   section: Provided, however, That if any individual is denied any right, 
   privilege, or benefit that he would otherwise be entitled by Federal    
   law, or for which he would otherwise be eligible, as a result of the    
   maintenance of such material, such material shall be provided to such   
   individual, except to the extent that the disclosure of such material   
   would reveal the identity of a source who furnished information to the  
   Government under an express promise that the identity of the source     
   would be held in confidence, or, prior to the effective date of this    
   section, under an implied promise that the identity of the source would 
   be held in confidence;                                                  
       (3) maintained in connection with providing protective services to  
   the President of the United States or other individuals pursuant to     
   section 3056 of title 18;                                               
       (4) required by statute to be maintained and used solely as         
   statistical records;                                                    
       (5) investigatory material compiled solely for the purpose of       
   determining suitability, eligibility, or qualifications for Federal     
   civilian employment, military service, Federal contracts, or access to  
   classified information, but only to the extent that the disclosure of   
   such material would reveal the identity of a source who furnished       
   information to the Government under an express promise that the identity
   of the source would be held in confidence, or, prior to the effective   
   date of this section, under an implied promise that the identity of the 
   source would be held in confidence;                                     
       (6) testing or examination material used solely to determine        
   individual qualifications for appointment or promotion in the Federal   
   service the disclosure of which would compromise the objectivity or     
   fairness of the testing or examination process; or                      
       (7) evaluation material used to determine potential for promotion in
   the armed services, but only to the extent that the disclosure of such  
   material would reveal the identity of a source who furnished information
   to the Government under an express promise that the identity of the     
   source would be held in confidence, or, prior to the effective date of  
   this section, under an implied promise that the identity of the source  
   would be held in confidence.                                            
    At the time rules are adopted under this subsection, the agency shall 
  include in the statement required under section 553(c) of this title,   
  the reasons why the system of records is to be exempted from a provision
  of this section.                                                        
     (l)(1) Archival Records.-- Each agency record which is accepted by   
  the Archivist of the United States for storage, processing, and         
  servicing in accordance with section 3103 of title 44 shall, for the    
  purposes of this section, be considered to be maintained by the agency  
  which deposited the record and shall be subject to the provisions of    
  this section. The Archivist of the United States shall not disclose the 
  record except to the agency which maintains the record, or under rules  
  established by that agency which are not inconsistent with the          
  provisions of this section.                                             
     (2) Each agency record pertaining to an identifiable individual which
  was transferred to the National Archives of the United States as a      
  record which has sufficient historical or other value to warrant its    
  continued preservation by the United States Government, prior to the    
  effective date of this section, shall, for the purposes of this section,
  be considered to be maintained by the National Archives and shall not be
  subject to the provisions of this section, except that a statement      
  generally describing such records (modeled after the requirements       
  relating to records subject to subsections (e)(4)(A) through (G) of this
  section) shall be published in the Federal Register.                    
     (3) Each agency record pertaining to an identifiable individual which
  is transferred to the National Archives of the United States as a record
  which has sufficient historical or other value to warrant its continued 
  preservation by the United States Government, on or after the effective 
  date of this section, shall, for the purposes of this section, be       
  considered to be maintained by the National Archives and shall be exempt
  from the requirements of this section except subsections (e)(4)(A)      
  through (G) and (e)(9) of this section.                                 
     (m) Government Contractors.-- (1) When an agency provides by a       
  contract for the operation by or on behalf of the agency of a system of 
  records to accomplish an agency function, the agency shall, consistent  
  with its authority, cause the requirements of this section to be applied
  to such system. For purposes of subsection (i) of this section any such 
  contractor and any employee of such contractor, if such contract is     
  agreed to on or after the effective date of this section, shall be      
  considered to be an employee of an agency.                              
     (2) A consumer reporting agency to which a record is disclosed under 
  section 3711(e) of title 31 shall not be considered a contractor for the
  purposes of this section.                                               
     (n) Mailing Lists.-- An individual's name and address may not be sold
  or rented by an agency unless such action is specifically authorized by 
  law. This provision shall not be construed to require the withholding of
  names and addresses otherwise permitted to be made public.              
     (o) Matching Agreements .--(1) No record which is contained in a     
  system of records may be disclosed to a recipient agency or non-Federal 
  agency for use in a computer matching program except pursuant to a      
  written agreement between the source agency and the recipient agency or 
  non-Federal agency specifying--                                         
     (A) the purpose and legal authority for conducting the program;       

       (B) the justification for the program and the anticipated results,  
   including a specific estimate of any savings;                           
       (C) a description of the records that will be matched, including    
   each data element that will be used, the approximate number of records  
   that will be matched, and the projected starting and completion dates of
   the matching program;                                                   
       (D) procedures for providing individualized notice at the time of   
   application, and notice periodically thereafter as directed by the Data 
   Integrity Board of such agency (subject to guidance provided by the     
   Director of the Office of Management and Budget pursuant to subsection  
   (v)), to--                                                              
       (i) applicants for and recipients of financed assistance or payments
   under Federal benefit programs, and                                     
     (ii) applicants for and holders of positions as Federal personnel,    

      that any information provided by such applicants, recipients,        
   holders, and individuals may be subject to verification through matching
   programs;                                                               
       (E) procedures for verifying information produced in such matching  
   program as required by subsection (p);                                  
       (F) procedures for the retention and timely destruction of          
   identifiable records created by a recipient agency or non-Federal agency
   in such matching program;                                               
       (G) procedures for ensuring the administrative, technical, and      
   physical security of the records matched and the results of such        
   programs;                                                               
       (H) prohibitions on duplication and redisclosure of records provided
   by the source agency within or outside the recipient agency or the      
   non-Federal agency, except where required by law or essential to the    
   conduct of the matching program;                                        
       (I) procedures governing the use by a recipient agency or           
   non-Federal agency of records provided in a matching program by a source
   agency, including procedures governing return of the records to the     
   source agency or destruction of records used in such program;           
       (J) information on assessments that have been made on the accuracy  
   of the records that will be used in such matching program; and          
       (K) that the Comptroller General may have access to all records of a
   recipient agency or a non-Federal agency that the Comptroller General   
   deems necessary in order to monitor or verify compliance with the       
   agreement.                                                              
     (2)(A) A copy of each agreement entered into pursuant to paragraph   
  (1) shall--                                                             
       (i) be transmitted to the Committee on Governmental Affairs of the  
   Senate and the Committee on Government Operations of the House of       
   Representatives; and                                                    
     (ii) be available upon request to the public.                         

     (B) No such agreement shall be effective until 30 days after the date
  on which such a copy is transmitted pursuant to subparagraph (A)(i).    
     (C) Such an agreement shall remain in effect only for such period,   
  not to exceed 18 months, as the Data Integrity Board of the agency      
  determines is appropriate in light of the purposes, and length of time  
  necessary for the conduct, of the matching program.                     
     (D) Within 3 months prior to the expiration of such an agreement     
  pursuant to subparagraph (C), the Data Integrity Board of the agency    
  may, without additional review, renew the matching agreement for a      
  current, ongoing matching program for not more than one additional year 
  if--                                                                    
     (i) such program will be conducted without any change; and            

       (ii) each party to the agreement certifies to the Board in writing  
   that the program has been conducted in compliance with the agreement.   
     (p) Verification and Opportunity to Contest Findings.-- (1) In order 
  to protect any individual whose records are used in a matching program, 
  no recipient agency, non-Federal agency, or source agency may suspend,  
  terminate, reduce, or make a final denial of any financial assistance or
  payment under a Federal benefit program to such individual, or take     
  other adverse action against such individual, as a result of information
  produced by such matching program, until--                              
     (A)(i) the agency has independently verified the information; or      

       (ii) the Data Integrity Board of the agency, or in the case of a    
   non-Federal agency the Data Integrity Board of the source agency,       
   determines in accordance with guidance issued by the Director of the    
   Office of Management and Budget that--                                  
       (I) the information is limited to identification and amount of      
   benefits paid by the source agency under a Federal benefit program; and 
       (II) there is a high degree of confidence that the information      
   provided to the recipient agency is accurate;                           
       (B) the individual receives a notice from the agency containing a   
   statement of its findings and informing the individual of the           
   opportunity to contest such findings; and                               
       (C)(i) the expiration of any time period established for the program
   by statue or regulation for the individual to respond to that notice; or
       (ii) in the case of a program for which no such period is           
   established, the end of the 30-day period beginning on the date on which
   notice under subparagraph (B) is mailed or otherwise provided to the    
   individual.                                                             
     (2) Independent verification referred to in paragraph (1) requires   
  investigation and confirmation of specific information relating to an   
  individual that is used as a basis for an adverse action against the    
  individual, including where applicable investigation and confirmation   
  of--                                                                    
     (A) the amount of any asset or income involved;                       

       (B) whether such individual actually has or had access to such asset
   or income for such individual's own use; and                            
       (C) the period or periods when the individual actually had such     
   asset or income.                                                        
     (3) Notwithstanding paragraph (1), an agency may take any appropriate
  action otherwise prohibited by such paragraph if the agency determines  
  that the public health or public safety may be adversely affected or    
  significantly threatened during any notice period required by such      
  paragraph.                                                              
     (q) Sanctions.-- (1) Notwithstanding any other provision of law, no  
  source agency may disclose any record with is contained in a system of  
  records to a recipient agency or non-Federal agency for a matching      
  program if such source agency has reason to believe that the            
  requirements of subsection (p), or any matching agreement entered into  
  pursuant to subsection (o), or both, are not being met by such recipient
  agency.                                                                 
    (2) No source agency may renew a matching agreement unless--          

       (A) the recipient agency or non-Federal agency has certified that it
   has complied with the provisions of that agreement; and                 
       (B) the source agency has no reason to believe that the             
   certification is inaccurate.                                            
     (r) Report on New Systems and Matching Programs.-- Each agency that  
  proposes to establish or make a significant change in a system of       
  records or a matching program shall provide adequate advance notice of  
  any such proposal (in duplicate) to the Committee on Government         
  Operations of the House of Representatives, the Committee on            
  Governmental Affairs of the Senate, and the Office of Management and    
  Budget in order to permit an evaluation of the probable or potential    
  effect of such proposal on the privacy or other rights of individuals.  
     (s) Biennial Report.-- The President shall biennially submit to the  
  Speaker of the House of Representatives and the President pro tempore of
  the Senate a report--                                                   
       (1) describing the actions of the Director of the Office of         
   Management and Budget pursuant to section 6 of the Privacy Act of 1974  
   during the preceding 2 years;                                           
       (2) describing the exercise of individual rights of access and      
   amendment under this section during such years;                         
     (3) identifying changes in or additions to systems of records;        

       (4) containing such other information concerning administration of  
   this section as may be necessary or useful to the Congress in reviewing 
   the effectiveness of this section in carrying out the purposes of the   
   Privacy Act of 1974.                                                    
     (t)(1) Effect of Other Laws.-- No agency shall rely on any exemption 
  contained in section 552 of this title to withhold from an individual   
  any record which is otherwise accessible to such individual under the   
  provisions of this section.                                             
     (2) No agency shall rely on any exemption in this section to withhold
  from an individual any record which is otherwise accessible to such     
  individual under the provisions of section 552 of this title.           
     (u) Data Integrity Boards.-- (1) Every agency conducting or          
  participating in a matching program shall establish a Data Integrity    
  Board to oversee and coordinate among the various components of such    
  agency the agency's implementation of this section.                     
     (2) Each Data Integrity Board shall consist of senior officials      
  designated by the head of the agency, and shall include any senior      
  official designated by the head of the agency as responsible for        
  implementation of this section, and the inspector general of the agency,
  if any. The inspector general shall not serve as chairman of the Data   
  Integrity Board.                                                        
    (3) Each Data Integrity Board--                                       

       (A) shall review, approve, and maintain all written agreements for  
   receipt or disclosure of agency records for matching programs to ensure 
   compliance with subsection (o), and all relevant statutes, regulations, 
   and guidelines;                                                         
       (B) shall review all matching programs in which the agency has      
   participated during the year, either as a source agency or recipient    
   agency, determine compliance with applicable laws, regulations,         
   guidelines, and agency agreements, and assess the costs and benefits of 
   such programs;                                                          
       (C) shall review all recurring matching programs in which the agency
   has participated during the year, either as a source agency or recipient
   agency, for continued justification for such disclosures;               
       (D) shall compile an annual report, which shall be submitted to the 
   head of the agency and the Office of Management and Budget and made     
   available to the public on request, describing the matching activities  
   of the agency, including--                                              
       (i) matching programs in which the agency has participated as a     
   source agency or recipient agency;                                      
       (ii) matching agreements proposed under subsection (o) that were    
   disapproved by the Board;                                               
       (iii) any changes in membership to structure of the Board in the    
   preceding year;                                                         
       (iv) the reasons for any waiver of the requirement in paragraph (4) 
   of this section for completion and submission of a cost-benefit analysis
   prior to the approval of a matching program;                            
       (v) any violations of matching agreements that have been alleged or 
   identified and any corrective action taken; and                         
       (vi) any other information required by the Director of the Office of
   Management and Budget to be included in such report;                    
       (E) shall serve as a clearinghouse for receiving and providing      
   information on the accuracy, completeness, and reliability of records   
   used in matching programs;                                              
       (F) shall provide interpretation and guidance to agency components  
   and personnel on the requirements of this section for matching programs;
       (G) shall review agency recordkeeping and disposal policies and     
   practices for matching programs to assure compliance with this section; 
   and                                                                     
       (H) may review and report on any agency matching activities that are
   not matching programs.                                                  
     (4)(A) Except as provided in subparagraphs (B) and (C), a Data       
  Integrity Board shall not approve any written agreement for a matching  
  program unless the agency has completed and submitted to such Board a   
  cost-benefit analysis of the proposed program and such analysis         
  demonstrates that the program is likely to be cost effective.           
     (B) The Board may waive the requirements of subparagraph (A) of this 
  paragraph if it determines in writing, in accordance with guidelines    
  prescribed by the Director of the Office of Management and Budget, that 
  a cost-benefit analysis is not required.                                
     (C) A cost-benefit analysis shall not be required under subparagraph 
  (A) prior to the initial approval of a written agreement for a matching 
  program that is specifically required by statute. Any subsequent written
  agreement for such a program shall not be approved by the Data Integrity
  Board unless the agency has submitted a cost-benefit analysis of the    
  program as conducted under the preceding approval of such agreement.    
     (5)(A) If a matching agreement is disapproved by a Data Integrity    
  Board, any party to such agreement may appeal the disapproval to the    
  Director of the Office of Management and Budget. Timely notice of the   
  filing of such an appeal shall be provided by the Director of the Office
  of Management and Budget to the Committee on Governmental Affairs of the
  Senate and the Committee on Government Operations of the House of       
  Representatives.                                                        
     (B) The Director of the Office of Management and Budget may approve a
  matching agreement notwithstanding the disapproval of a Data Integrity  
  Board if the Director determines that--                                 
       (i) the matching program will be consistent with all applicable     
   legal, regulatory, and policy requirements;                             
       (ii) there is adequate evidence that the matching agreement will be 
   cost-effective; and                                                     
     (iii) the matching program is in the public interest.                 

     (C) The decision of the Director to approve a matching agreement     
  shall not take effect until 30 days after it is reported to committees  
  described in subparagraph (A).                                          
     (D) If the Data Integrity Board and the Director of the Office of    
  Management and Budget disapprove a matching program proposed by the     
  inspector general of an agency, the inspector general may report the    
  disapproval to the head of the agency and to the Congress.              
     (6) The Director of the Office of Management and Budget shall,       
  annually during the first 3 years after the date of enactment of this   
  subsection and biennially thereafter, consolidate in a report to the    
  Congress the information contained in the reports from the various Data 
  Integrity Boards under paragraph (3)(D). Such report shall include      
  detailed information about costs and benefits of matching programs that 
  are conducted during the period covered by such consolidated report, and
  shall identify each waiver granted by a Data Integrity Board of the     
  requirement for completion and submission of a cost-benefit analysis and
  the reasons for granting the waiver.                                    
     (7) In the reports required by paragraphs (3)(D) and (6), agency     
  matching activities that are not matching programs may be reported on an
  aggregate basis, if and to the extent necessary to protect ongoing law  
  enforcement or counterintelligence investigations.                      
     (v) Office of Management and Budget Responsibilities.-- The Director 
  of the Office of Management and Budget shall--                          
       (1) develop and, after notice and opportunity for public comment,   
   prescribe guidelines and regulations for the use of agencies in         
   implementing the provisions of this section; and                        
       (2) provide continuing assistance to an oversight of the            
   implementation of this section by agencies.                             

    (Added Public Law 93 579, 3, Dec. 31, 1974, 88 Stat. 1897, and amended
  Public Law 94 183, 2(2), Dec. 31, 1975, 89 Stat. 1057; Public Law 97    
  365, 2, Oct. 25, 1982, 96 Stat. 1749; Public Law 97 375, title II,      
  201(a), (b), Dec. 21, 1982, 96 Stat. 1821; Public Law 97 452, 2(a)(1),  
  Jan. 12, 1983, 96 Stat. 2478; Public Law 98 477, 2(c), Oct. 15, 1984, 98
  Stat. 2211; Public Law 98 497, title I, 107(g), Oct. 19, 1984, 98 Stat. 
  2292; Public Law 100 503, 2 6(a), 7, 8, Oct. 18, 1988, 102 Stat. 2507   
  2514; Public Law 101 508, title VII, 7201(b)(1), Nov. 5, 1990, 104 Stat.
  1388 334; Public Law 103 66, title XIII, 13581(c), Aug. 10, 1993, 107   
  Stat. 611.)