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        A CITIZEN'S GUIDE ON USING THE FREEDOM OF INFORMATION ACT

        AND THE PRIVACY ACT OF 1974 TO REQUEST GOVERNMENT RECORDS



      The GUIDE103.ASC file contains the text of a congressional report

published by the Committee on Government Operations of the U.S. House

of Representatives.  The Chairman of the Committee is Representative

John Conyers, Jr. (D-MI).  The report was prepared by the Subcommittee

on Information, Justice, Transportation, and Agriculture which is

chaired by Representative Gary A. Condit (D-CA).  



      The report was unanimously approved by the Committee and was

filed in the House of Representatives on May 24, 1993.  The report

number is House Report 103-104.  



      The entire text of the report and its appendices are included in

the file.  The document is ASCII text.  The report, like virtually all

federal government publications, is not copyrighted.  It may be

reproduced and reused without restriction.  



      Printed copies of the report can be purchased from the Government

Printing Office.  The GPO number is 05271009990.  The price is $2.75. 

Orders may be place by telephone at 202-512-2470.  GPO accepts Visa

and Master Card.  Orders may also be sent to the Superintendent of

Document, P.O. Box 371954, Pittsburgh, PA 15250.



      















                     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 House Committee on Government Operations



                 Subcommittee on Information, Justice, 

                    Transportation, and Agriculture



                            1993 Edition



                        House Report 103-104



                    103rd Congress, 1st Session



                       Union Calendar No. 53















                               CONTENTS





I.   PREFACE



II.  INTRODUCTION



III. RECOMMENDATIONS



IV.  HOW TO USE THIS GUIDE



V.   WHICH ACT TO USE 



VI.  THE FREEDOM OF INFORMATION ACT



         A. The Scope Of The Freedom of Information Act

         B. What Records Can Be Requested Under The FOIA?

         C. Making an FOIA Request

         D. Fees and Fee Waivers

         E. Requirements for Agency Responses

         F. Reasons Access May Be Denied Under the FOIA

                  1. Exemption 1:  Classified Documents

                  2. Exemption 2:  Internal Personnel Rules and

                           Practices 

                  3. Exemption 3:  Information Exempt Under Other

                           Laws

                  4. Exemption 4:  Confidential Business Information

                  5. Exemption 5:  Internal Government

                           Communications

                  6. Exemption 6:  Personal Privacy

                  7. Exemption 7:  Law Enforcement

                  8. Exemption 8:  Financial Institutions

                  9. Exemption 9:  Geological Information

         G. FOIA Exclusions

         H. Administrative Appeal Procedures

         I. Filing a Judicial Appeal



VII. THE PRIVACY ACT OF 1974

         A. The Scope of the Privacy Act of 1974

         B. The Computer Matching and Privacy Protection Act

         C. Locating Records

         D. Making a Privacy Act Request for Access

         E. Fees

         F. Requirements for Agency Responses

         G. Reasons Access May Be Denied Under the Privacy Act

                  1. General Exemptions

                  2. Specific Exemptions

                  3. Medical Records

                  4. Litigation Records

         H. Administrative Appeal Procedures For Denial of

                  Access

         I. Amending Records Under the Privacy Act 

         J. Appeals and Requirements For Agency Responses

         K. Filing a Judicial Appeal



APPENDIX 1:  SAMPLE REQUEST AND APPEAL LETTERS

         A. Freedom of Information Act Request Letter

         B. Freedom of Information Act Appeal Letter



         C. Privacy Act Request for Access Letter

         D. Privacy Act Denial of Access Appeal

         E. Privacy Act Request to Amend Records

         F. Privacy Act Appeal of Refusal to Amend Records



APPENDIX 2:  BIBLIOGRAPHY OF CONGRESSIONAL PUBLICATIONS ON

         THE FREEDOM OF INFORMATION ACT



APPENDIX 3:  BIBLIOGRAPHY OF CONGRESSIONAL PUBLICATIONS ON

         THE PRIVACY ACT OF 1974



APPENDIX 4:  TEXT OF THE FREEDOM OF INFORMATION ACT



APPENDIX 5:  TEXT OF THE PRIVACY ACT OF 1974

















                           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.



     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.  



     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 a citizen's rights to request or see records held by

federal agencies.  However, some of the information in the 1987

Guide became outdated as a result, and a third edition was issued

in 1989.[4]



     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 do not affect access

rights.  This fourth edition of the Citizen's Guide reflected all

changes to the FOIA and Privacy Act made through the end of

1990.[5]  The current edition version is the fifth edition and

includes an expanded bibliography and editorial changes.  







                          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[6]



     The Freedom of Information Act (FOIA) establishes a

presumption that records in the possession of agencies and

departments of the Executive Branch of the United States

government are accessible to the people.  This was not always the

approach to 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 can 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 record keeping

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 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, trade

secrets, and criminal investigatory files.  Other specifically

defined categories of confidential information may also be

withheld.



     The essential feature of both laws is that they make federal

agencies accountable for information disclosure policies and

practices.  While neither 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 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.





                        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 1977.  Major amendments to the Freedom of

Information Act passed in 1974 and 1986.   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.[7]  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.



     Readers should be aware that FOIA litigation is a complex

area of law.  There are thousands of court decisions interpreting

the FOIA.[8]  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 other sources of information on the Privacy Act as well.



     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

normally 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.  Many 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 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.  



     The FOIA does not apply to elected officials of the federal

government, including the President[9], Vice President, Senators,

and Congressmen.[10]  The FOIA does not apply to the federal

judiciary.  The FOIA does not apply to private companies; persons

who receive federal contracts or grants; tax-exempt

organizations; or state or local governments. 



     All States and some localities have passed laws like the

FOIA that allow people to request access to records.  In

addition, there are other federal and state laws that may permit

access to documents held by organizations not covered by the

federal FOIA.[11]



         

           B. What Records Can Be Requested Under The FOIA?



     The FOIA requires agencies to publish or make available for

public inspection several types of information.  This includes: 

(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; (4) substantive

rules of general applicability and general policy statements; (5)

final opinions made in the adjudication of cases; and (6)

administrative staff manuals that affect the public.  This

information must either be published in the Federal Register or

made available for inspection and copying without the formality

of an FOIA request.



     All other "records" of a federal agency may be requested

under the FOIA.  However, the FOIA does not define "record".  Any

item containing information that is in the possession, custody,

or control of an agency is usually considered to be an agency

record under the FOIA.  Personal notes of agency employees may

not be agency records.  A document that is not an "record" will

not be available under the FOIA.



     The form in which a record is maintained by an agency does

not affect its availability.  A request may seek a printed or

typed document, tape recording, map, photograph, computer

printout, computer tape or disk, or a similar item.



     Of course, not all records that can be requested must be

disclosed.  Information that is exempt from disclosure is

described below in the section entitled "Reasons Access May Be

Denied Under the FOIA".



     The FOIA carefully provides that a requester may ask for

records rather than information.  This means that an agency is

only required to look for an existing record or document in

response to an FOIA request.  An agency is not obliged to create

a new record to comply with a request.  An agency is not required

to collect information it does not have.  Nor must an agency do



research or analyze data for a requester.[12]



     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 an

FOIA request in order to identify an existing document or set of

documents containing the desired information. 



     There is a second general limitation on FOIA requests.  The

law requires that each request must reasonably describe the

records being sought.  This means that a request must be specific

enough to permit a professional employee of the agency who is

familiar with the subject matter to locate the record in a

reasonable period of time.



     Because 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 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 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 three miles of a

particular address is very specific.  But it is unlikely that EPA

would have an existing record containing data organized in that

fashion.  As a result, the request might be denied because there

is no existing record containing the information.



     The requester might do better to ask for a list of toxic

waste sites in his city, county, or state.  It is more likely

that existing records might contain this information.  The

requester might also want to tell the agency in the request

letter exactly what information is desired.  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 an FOIA Request



     The first step in making a request under the FOIA is to

identify the agency that has the records.  An FOIA request must

be addressed to a specific agency.  There is no central

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.[13]  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. 



     Agencies normally require that FOIA requests be in writing. 

Letters requesting records under the FOIA can be short and

simple.  No one needs a lawyer to make an FOIA request.  Appendix

1 of this Guide contains a sample 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 bottom left-hand corner.[14]



     There are three basic elements to an FOIA request letter. 

First, the letter should state that the request is being made

under the Freedom of Information Act.  Second, the request should

identify the records that are being sought as specifically as

possible.  Third, the name and address of the requester must be

included.  



     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

an 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 an 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 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, non-commercial 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.  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. 

Effective on April 25, 1987, 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 profit making 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 non-profit

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 two hours of search time

and for the first 100 pages of documents.  A non-commercial

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.  But 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



     Each agency is required to determine within ten days

(excluding Saturdays, Sundays, and legal holidays) after the

receipt of a request whether to comply with the request.  The

actual disclosure of documents is required to follow promptly

thereafter.  If a request 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.



     The FOIA permits an agency to extend the time limits up to

ten days in unusual circumstances.  These circumstances include

the need to collect records from remote locations, review large

numbers of records, and consult with other agencies.  The agency

is supposed to notify the requester whenever an extension is

invoked.[15]



     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.  The

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.





             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 is not likely to agree to

disclose an exempt document that is classified or that contains a



trade secret.  



     When a record contains some information that qualifies as

exempt, the entire record is not necessarily exempt.  Instead,

the FOIA specifically provides that any reasonably segregable

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.                          



     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.[16]  If a requested document is

declassified, it can be released in response to an FOIA request. 

However, a document that is declassified may be still be exempt

under other FOIA exemptions.



     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 two.



     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.[17]  Another qualifying Exemption 3 statute

is the law designating identifiable census data as

confidential.[18]  Whether a particular statute qualifies under

Exemption 3 can be a difficult legal question. 



     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 four.  



     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.[19]  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 confidential.



     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 policy making 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

policy making process, but it does not protect purely factual

information related to the policy process.  Factual information

must be disclosed unless it is inextricably intertwined with

protected information about an agency decision.



     Protection for the decision making process is appropriate

only for the period while 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 intimate 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 clearly a

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

an FOIA request for investigatory records as if the records are

not subject to the requirements of the FOIA.  In other words, the

agency's response does not have to reveal that it is conducting

an investigation. 



     The second exclusion applies to informant records maintained

by a criminal law enforcement agency under the informant's name

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 an FOIA request is denied, the agency must inform

the requester of the reasons for the denial and the requester's

right to appeal the denial to the head of the agency.  A

requester may appeal the denial of a request for a document or

for 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.  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."[20]



     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 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 an FOIA denial.  However, it is good

practice to file an appeal promptly.  Some agency regulations

establish a time limit for filing an administrative appeal.  A

requester whose appeal is rejected by an agency because it 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

twenty days (excluding Saturdays, Sundays, and federal holidays). 

It is possible for an agency to extend the time limits by an

additional ten days.  Once the time period has elapsed, a

requester may consider that the appeal 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.  An FOIA appeal can be filed

in the United States District Court in the district where the

requester lives.  The requester can also file suit in the

district where the documents are located or in the District of

Columbia.  When a requester goes to court, the burden of

justifying the withholding of documents is on the government. 

This is a distinct advantage for the requester.



     Requesters are sometimes successful when they go to court,

but the results vary considerably.  Some requesters who file

judicial appeals find that an agency will disclose some documents

previously withheld rather than fight 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 appeal without an attorney.  Since this

is not a litigation guide, details of the judicial appeal process

have been not included.  Anyone considering filing an appeal can

begin by reading the provisions of the FOIA on judicial

review.[21]







                   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 incorrect or incomplete

information.  



     The Privacy Act applies to personal information maintained

by agencies in the executive branch of the federal government. 

The executive branch includes cabinet departments, military

departments, government corporations, government controlled

corporations, independent regulatory agencies, and other

establishments in the executive branch.  Agencies subject to the

Freedom of Information Act (FOIA) are also subject to the Privacy

Act.  The Privacy Act does not generally apply to records

maintained by state and local governments or private companies or

organizations.[22]  



     The Privacy Act only grants rights to United States citizens

and to aliens lawfully admitted for permanent residence.  As a

result, a foreign national cannot use the Act's provisions. 

However, a foreigner 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 record keeping 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

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

(Public Law 100-503) 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[23] 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.



     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 two 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.[24]  The information that appears in the

compilation also appears sometimes in the Federal Register.[25]



     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 in other libraries as well. 

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 Officer.  The envelope

containing the written request should be marked "Privacy Act

Request" in the bottom left-hand corner.[26]



     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 a notarized signature.  If an

individual goes to the agency to inspect records, standard

personal identification may be acceptable.  More stringent

requirements may apply if the records being sought are especially

sensitive.  



     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 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 can request

records for 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.[27]  The

different fee structure in the two laws is one reason many

requesters seeking records about themselves cite both laws.  This

minimizes allowable fees.



     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 ten days and to provide the requested

records within thirty days.



     At many agencies, FOIA and Privacy Act requests are

processed by the same personnel.  When there is 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 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 an 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.[28]



     The Privacy Act's exemptions differ from those of the FOIA

in another important way.  The FOIA is mostly 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 assure 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.  



     The general exemption from access does prevent requesters

from filing a lawsuit under the Privacy Act when access is

denied.  The right to sue under the FOIA is not changed because

of a Privacy Act exemption.





     2. Specific Exemptions



     There are seven specific Privacy Act exemptions that can be

applied to 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 either 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.[29]



     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 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 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 officer of

the agency or to the agency official responsible for the

maintenance of the record system containing the erroneous

information.  The envelope containing the request should be

marked "Privacy Act Amendment Request" on the lower left corner.



     There are five basic elements to a request for amending a

Privacy Act record.



     First, the letter should state that it is a request to amend

a record under the Privacy Act of 1974.



     Second, the request should identify the specific record and

the specific information in the record for which an amendment is

being sought.



     Third, the request should state why the information is not

accurate, relevant, timely, or complete.  Supporting evidence may

be included with the request.



     Fourth, the request should state what new or additional

information, if any, should be included in place of the erroneous

information.  Evidence of the validity of the new or additional

information should be included.  If the information in the file

is wrong and needs to be removed rather than supplemented or

corrected, the request should make this clear.



     Fifth, the request should include the name and address of

the requester.  It is a good idea for 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 ten

days (not including Saturdays, Sundays, and legal holidays).  The

agency must promptly rule on the request. 



     The agency may make the amendment requested.  If so, the

agency must notify any person or agency to which the record had

previously been disclosed of the correction.  



     If the agency refuses to make the change requested, the

agency must inform the requester of:  (1) the agency's refusal to

amend the record; (2) the reason for refusing to amend the

request; and (3) the procedures for requesting a review of the

denial.  The agency must provide the name and business address of

the official responsible for conducting the review.



     An agency must decide an appeal of a denial of a request for

amendment within thirty days (excluding Saturdays, Sundays, and

legal holidays), unless the time period is extended by the agency

for good cause.  If the appeal is granted, the record will be

corrected.



     If the appeal is denied, the agency must inform the

requester of the right to judicial review.  In addition, a

requester whose appeal has been denied also has the right to



place in the agency file a concise statement of disagreement with

the information that was the subject of the request for

amendment.  



     When a statement of disagreement has been 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 a Judicial Appeal



     The Privacy Act provides a civil remedy whenever an agency

denies access to a record or refuses to amend a record.  An

individual may sue an agency if the agency fails to maintain

records with accuracy, relevance, timeliness, and completeness as

is necessary to assure fairness in 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 two years from the date on which the

basis for the lawsuit arose.



     Most individuals require the assistance of an attorney to

file a judicial appeal.  An individual who files a lawsuit and

substantially prevails may be awarded reasonable attorney fees

and litigation costs reasonably incurred.  Some requesters may be

able to handle their own appeal without an attorney.  Since this

is not a litigation guide, details about the judicial appeal

process have not been included.  Anyone considering filing an

appeal can begin by reviewing the provisions of the Privacy Act

on civil remedies.[30]







                                NOTES



1. A Citizen's Guide on How to Use the Freedom of Information Act

and the Privacy Act in Requesting Government Documents, House

Report No. 95-796, 95th Cong., 1st Sess. (1977).



2. A Citizen's Guide on Using the Freedom of Information Act and

the Privacy Act of 1974 To Request Government Records, House

Report No. 100-199, 100th Cong., 1st Sess. (1987)



3. Public Law 100-503.



4. A Citizen's Guide on Using the Freedom of Information Act and

the Privacy Act of 1974 To Request Government Records, House

Report No. 101-193, 101st Cong., 1st Sess. (1989).



5. A Citizen's Guide on Using the Freedom of Information Act and

the Privacy Act of 1974 To Request Government Records, House

Report No. 102-146, 102d Cong., 1st Sess. (1991).



6. Letter to W.T. Barry, August 4, 1822, in G.P. Hunt, ed., IX

The Writings of James Madison 103 (1910).  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.



7. 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.

      The Committee has expressed its views on some of these



issues in other reports.  See, for example, Security

Classification Policy and Executive Order 12356, House Report No.

97-731, 97th Cong., 2d Sess. (1982); Who Cares About Privacy? 

Oversight of the Privacy Act of 1974 by the Office of Management

and Budget and by the Congress, House Report 98-455, 98th Cong.,

1st Sess.(1983); Electronic Collection and Dissemination of

Information by Federal Agencies:  A Policy Overview, House Report

99-560, 99th Cong., 2d Sess. (1986); Freedom of Information Act

Amendments of 1986, House Report 99-832, 99th Cong., 2d Sess.

(1986) (report to accompany H.R. 4862).  The latter report is a

legislative report for a bill reforming the business procedures

of the FOIA.  The bill did not become law.  The 1986 amendments

to the FOIA were made by the Freedom of Information Reform Act of

1986, Public Law 99-570.  There were no committee reports in

either House or Senate accompanying the Freedom of Information

Reform Act. 



8. See, e.g., U.S. Department of Justice, Freedom of Information

Case List (published annually).



9. 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 January 20, 1981, will be available -- subject to

certain restrictions and delays -- under the general framework of

the FOIA.  



10. 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 county. 

Historical records of the Congress are made available in

accordance with procedures established by House and Senate rules.



     In addition, almost all activities of the Congress take

place in public.  The sessions of the House and Senate are

normally open to the public and televised.  Most committee

hearings and markups are open to the public, and some are

televised.



11. 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.  



12. When records are maintained in a computer, an agency is

required to retrieve information in response to an 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.



13. 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. 



14. 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) 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 an FOIA request.



15. Agencies that take more than ten days to respond to a request

do not always notify each requester that an extension has been



invoked.  



16. At the time that this guide was prepared, the current

Executive Order on Security Classification was E.O. 12356 which

was promulgated by President Reagan on April 2, 1982.  The text

of the order can be found at 47 Federal Register 14874-84  (April

6, 1982).  The rules for mandatory review for declassification

are in Section 3.4 of the Executive Order.



17. 26 U.S.C. ?6103 (1982).



18. 13 U.S.C. ?9 (1982).



19. See Predisclosure Notification Procedures for Confidential

Commercial Information, Executive Order 12600 (June 23, 1987).



20. Agency FOIA regulations will normally describe the appeal

procedures and requirements with more specificity.  At some

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) 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.



21. More information on judicial review under the FOIA and

Privacy Act can be found in Adler, Litigation Under the Federal

Freedom of Information Act and Privacy Act (American Civil

Liberties Union Foundation) (published annually).



22. 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.



23. 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.



24. 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.



25. 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, for most

agencies 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 officer may be able to provide more

information about the agency's publication practices.



26. 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) 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.



27. 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.



28. In 1975, the Office of Management and Budget 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).



29. This distinction between express and implied promises of

confidentiality is repeated throughout the specific exemptions of

the Privacy Act.



30. See note 21.



                                *****                     





             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 to assess 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

___________ 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 $_____.  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 a specific explanation.]



     Thank you for your consideration of this request.



                                   Sincerely,







                                   Name

                                   Address

                                   City, State, Zip Code

                                   Telephone number [Optional]







              B. Freedom of Information Act Appeal Letter



Agency Head or 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: __________.  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 the information is likely to contribute

significantly to public understanding of the operations or

activities of 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

charges for this request.  I am a reporter seeking information as



part of news gathering and not for commercial use.



     Thank you for your consideration of this appeal.



                                   Sincerely,





                                   Name

                                   Address

                                   City, State, Zip Code

                                   Telephone Number [Optional]







                C. Privacy Act Request for Access Letter



Privacy Act Officer [or System of Records Manager]

Name of Agency

Address of Agency

City, State, Zip Code



Re:  Privacy Act Request for Access



Dear        :



     This is a request under the Privacy Act of 1974.



     I request a copy of any 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] Please consider that this request is also made

under the Freedom of Information Act.  Please provide any

additional information that may be available under the FOIA.



     [Optional] I am willing to pay fees for this request up to a

maximum of $_____.  If you estimate that the fees will exceed

this limit, please inform me first.



     [Optional] Enclosed is [a notarized signature or other

identifying document] that will verify my identity.



     Thank you for your consideration of this request.



                                   Sincerely,









                                   Name

                                   Address

                                   City, State, Zip Code

                                   Telephone number [Optional]









                   D. Privacy Act Denial of Access Appeal



Agency Head or Appeal Officer

Name of Agency

Address of Agency

City, State, Zip Code



Re:  Appeal of Denial of Privacy Act Access Request



Dear        :



     This is an appeal under the Privacy Act of the denial of my

request for access to records.



     On (date), I requested access to records under the Privacy

Act of 1974.  My request was assigned the following

identification number:  _____________.  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.



     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 Officer [or System of Records Manager]

Name of Agency

Address of Agency

City, State, Zip Code





Re:  Privacy Act Request to Amend Records



Dear       :



     This is a request under the Privacy Act to amend records

about myself maintained by your agency.



     I believe that the following information is not correct: 

[Describe the 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.



     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 _______. 

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.



     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 (P.L. 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, 102nd

Congress, 1st & 2d Session.  1991, 1992.





                                *****





          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, 102nd 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, 102nd 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



                          *     *     *     *     *



     Sec. 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; and

         (C) administrative staff manuals and instructions to staff that

       affect a member of the public;

     unless the materials are promptly published and copies offered for



     sale.  To the extent required to prevent a clearly unwarranted

     invasion of personal privacy, an agency may delete identifying

     details when it makes available or publishes an opinion, statement

     of policy, interpretation, or staff manual or instruction.

     However, in each case the justification for the deletion shall be

     explained fully in writing.  Each agency shall also maintain and

     make available for public inspection and copying current indexes

     providing identifying information for the public as to any matter

     issued, adopted, or promulgated after July 4, 1967, and required by

     this paragraph to be made available or published.  Each agency

     shall promptly publish, quarterly or more frequently, and

     distribute (by sale or otherwise) copies of each index or

     supplements thereto unless it determines by order published in the

     Federal Register that the publication would be unnecessary and

     impracticable, in which case the agency shall nonetheless provide

     copies of such index on request at a cost not to exceed the direct

     cost of duplication.  A final order, opinion, statement of policy,

     interpretation, or staff manual or instruction that affects a

     member of the public may be relied on, used, or cited as precedent

     by an agency against a party other than an agency only if -

         (i) it has been indexed and either made available or published

       as provided by this paragraph; or

         (ii) the party has actual and timely notice of the terms

       thereof.

       (3) Except with respect to the records made available under

     paragraphs (1) and (2) of this subsection, each agency, upon any

     request for records which (A) reasonably describes such records and

     (B) is made in accordance with published rules stating the time,

     place, fees (if any), and procedures to be followed, shall make the

     records promptly available to any person.

       (4)(A)(i) In order to carry out the provisions of this section,

     each agency shall promulgate regulations, pursuant to notice and

     receipt of public comment, specifying the schedule of fees

     applicable to the processing of requests under 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.

       (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. Pub. L. 98-620, title IV, Sec. 402(2), Nov. 8,

     1984, 98 Stat. 3357.)

       (E) The court may assess against the United States reasonable

     attorney fees and other litigation costs reasonably incurred in any

     case under this section in which the complainant has substantially

     prevailed.

       (F) Whenever the court orders the production of any agency

     records improperly withheld from the complainant and assesses

     against the United States reasonable attorney fees and other

     litigation costs, and the court additionally issues a written

     finding that the circumstances surrounding the withholding raise

     questions whether agency personnel acted arbitrarily or

     capriciously with respect to the withholding, the Special Counsel

     shall promptly initiate a proceeding to determine whether

     disciplinary action is warranted against the officer or employee

     who was primarily responsible for the withholding.  The Special

     Counsel, after investigation and consideration of the evidence

     submitted, shall submit his findings and recommendations to the

     administrative authority of the agency concerned and shall send

     copies of the findings and recommendations to the officer or

     employee or his representative.  The administrative authority shall

     take the corrective action that the Special Counsel recommends.

       (G) In the event of noncompliance with the order of the court,

     the district court may punish for contempt the responsible



     employee, and in the case of a uniformed service, the responsible

     member.

       (5) Each agency having more than one member shall maintain and

     make available for public inspection a record of the final votes of

     each member in every agency proceeding.

       (6)(A) Each agency, upon any request for records made under

     paragraph (1), (2), or (3) of this subsection, shall -

         (i) determine within ten days (excepting Saturdays, Sundays,

       and legal public holidays) after the receipt of any such request

       whether to comply with such request and shall immediately notify

       the person making such request of such determination and the

       reasons therefor, and of the right of such person to appeal to

       the head of the agency any adverse determination; and

         (ii) make a determination with respect to any appeal within

       twenty days (excepting Saturdays, Sundays, and legal public

       holidays) after the receipt of such appeal.  If on appeal the

       denial of the request for records is in whole or in part upheld,

       the agency shall notify the person making such request of the

       provisions for judicial review of that determination under

       paragraph (4) of this subsection.

       (B) In unusual circumstances as specified in this subparagraph,

     the time limits prescribed in either clause (i) or clause (ii) of

     subparagraph (A) may be extended by written notice to the person

     making such request setting forth the reasons for such extension

     and the date on which a determination is expected to be

     dispatched.  No such notice shall specify a date that would result

     in an extension for more than ten working days.  As used in this

     subparagraph, 'unusual circumstances' means, but only to the extent

     reasonably necessary to the proper processing of the particular

     request -

         (i) the need to search for and collect the requested records

       from field facilities or other establishments that are separate

       from the office processing the request;

         (ii) the need to search for, collect, and appropriately examine

       a voluminous amount of separate and distinct records which are

       demanded in a single request; or

         (iii) the need for consultation, which shall be conducted with

       all practicable speed, with another agency having a substantial

       interest in the determination of the request or among two or more

       components of the agency having substantial subject-matter

       interest therein.

       (C) Any person making a request to any agency for records under

     paragraph (1), (2), or (3) of this subsection shall be deemed to

     have exhausted his administrative remedies with respect to such

     request if the agency fails to comply with the applicable time

     limit provisions of this paragraph.  If the Government can show

     exceptional circumstances exist and that the agency is exercising

     due diligence in responding to the request, the court may retain

     jurisdiction and allow the agency additional time to complete its

     review of the records.  Upon any determination by an agency to

     comply with a request for records, the records shall be made

     promptly available to such person making such request.  Any

     notification of denial of any request for records under this

     subsection shall set forth the names and titles or positions of

     each person responsible for the denial of such request.

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

         (1)(A) specifically authorized under criteria established by an

       Executive order to be kept secret in the interest of national

       defense or foreign policy and (B) are in fact properly classified

       pursuant to such Executive order;

         (2) related solely to the internal personnel rules and

       practices of an agency;

         (3) specifically exempted from disclosure by statute (other



       than section 552b of this title), provided that such statute (A)

       requires that the matters be withheld from the public in such a

       manner as to leave no discretion on the issue, or (B) establishes

       particular criteria for withholding or refers to particular types

       of 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.

       (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



     long as the existence of the records remains classified

     information, treat the records as not subject to the requirements

     of this section.

       (d) This section does not authorize withholding of information or

     limit the availability of records to the public, except as

     specifically stated in this section.  This section is not authority

     to withhold information from Congress.

       (e) On or before March 1 of each calendar year, each agency shall

     submit a report covering the preceding calendar year to the Speaker

     of the House of Representatives and President of the Senate for

     referral to the appropriate committees of the Congress. The report

     shall include -

         (1) the number of determinations made by such agency not to

       comply with requests for records made to such agency under

       subsection (a) and the reasons for each such determination;

         (2) the number of appeals made by persons under subsection

       (a)(6), the result of such appeals, and the reason for the action

       upon each appeal that results in a denial of information;

         (3) the names and titles or positions of each person

       responsible for the denial of records requested under this

       section, and the number of instances of participation for each;

         (4) the results of each proceeding conducted pursuant to

       subsection (a)(4)(F), including a report of the disciplinary

       action taken against the officer or employee who was primarily

       responsible for improperly withholding records or an explanation

       of why disciplinary action was not taken;

         (5) a copy of every rule made by such agency regarding this

       section;

         (6) a copy of the fee schedule and the total amount of fees

       collected by the agency for making records available under this

       section; and

         (7) such other information as indicates efforts to administer

       fully this section.

     The Attorney General shall submit an annual report on or before

     March 1 of each calendar year which shall include for the prior

     calendar year a listing of the number of cases arising under this

     section, the exemption involved in each case, the disposition of

     such case, and the cost, fees, and penalties assessed under

     subsections (a)(4)(E), (F), and (G). Such report shall also include

     a description of the efforts undertaken by the Department of

     Justice to encourage agency compliance with this section.

       (f) For purposes of this section, the term 'agency' as defined in

     section 551(1) of this title includes any executive department,

     military department, Government corporation, Government controlled

     corporation, or other establishment in the executive branch of the

     Government (including the Executive Office of the President), or

     any independent regulatory agency.



                                  SOURCE    



     (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 383; Pub. L. 90-23, Sec.

     1, June 5, 1967, 81 Stat. 54; Pub. L. 93-502, Sec. 1-3, Nov. 21,

     1974, 88 Stat. 1561-1564; Pub. L. 94-409, Sec. 5(b), Sept. 13,

     1976, 90 Stat. 1247; Pub. L. 95-454, title IX, Sec. 906(a)(10),

     Oct. 13, 1978, 92 Stat. 1225; Pub. L. 98-620, title IV, Sec.

     402(2), Nov. 8, 1984, 98 Stat. 3357; Pub. L. 99-570, title I, Sec.

     1802, 1803, Oct. 27, 1986, 100 Stat. 3207-48, 3207-49.)





                         Historical and Revision Notes

                                   1966 Act

     ---------------------------------------------------------------------

     Derivation             U.S. Code              Revised Statutes and

                                                    Statutes at Large

     ---------------------------------------------------------------------

                            5 U.S.C. 1002.         June 11, 1946, ch.

                                                    324, Sec. 3, 60



                                                    Stat. 238.

                      -------------------------------

       In subsection (b)(3), the words 'formulated and' are omitted as

     surplusage.  In the last sentence of subsection (b), the words 'in

     any manner' are omitted as surplusage since the prohibition is all

     inclusive.

       Standard changes are made to conform with the definitions

     applicable and the style of this title as outlined in the preface

     to the report.



                                   1967 ACT



       Section 1 (of Pub. L. 90-23) amends section 552 of title 5,

     United States Code, to reflect Public Law 89-487.

       In subsection (a)(1)(A), the words 'employees (and in the case of

     a uniformed service, the member)' are substituted for 'officer' to

     retain the coverage of Public Law 89-487 and to conform to the

     definitions in 5 U.S.C. 2101, 2104, and 2105.

       In the last sentence of subsection (a)(2), the words 'A final

     order * * * may be relied on * * * only if' are substituted for 'No

     final order * * * may be relied upon * * * unless'; and the words

     'a party other than an agency' and 'the party' are substituted for

     'a private party' and 'the private party', respectively, on

     authority of the definition of 'private party' in 5 App. U.S.C.

     1002(g).

       In subsection (a)(3), the words 'the responsible employee, and in

     the case of a uniformed service, the responsible member' are

     substituted for 'the responsible officers' to retain the coverage

     of Public Law 89-487 and to conform to the definitions in 5 U.S.C.

     2101, 2104, and 2105.

       In subsection (a)(4), the words 'shall maintain and make

     available for public inspection a record' are substituted for

     'shall keep a record * * * and that record shall be available for

     public inspection'.

       In subsection (b)(5) and (7), the words 'a party other than an

     agency' are substituted for 'a private party' on authority of the

     definition of 'private party' in 5 App. U.S.C. 1002(g).

       In subsection (c), the words 'This section does not authorize'

     and 'This section is not authority' are substituted for 'Nothing in

     this section authorizes' and 'nor shall this section be authority',

     respectively.

       5 App. U.S.C. 1002(g), defining 'private party' to mean a party

     other than an agency, is omitted since the words 'party other than

     an agency' are substituted for the words 'private party' wherever

     they appear in revised 5 U.S.C. 552.

       5 App. U.S.C. 1002(h), prescribing the effective date, is omitted

     as unnecessary.  That effective date is prescribed by section 4 of

     this bill.

                                 CODIFICATION



       Section 552 of former Title 5, Executive Departments and

     Government Officers and Employees, was transferred to section 2243

     of Title 7, Agriculture.

                                  AMENDMENTS



       1986 - Subsec. (a)(4)(A). Pub. L. 99-570, Sec. 1803, amended

     subpar. (A) generally.  Prior to amendment, subpar. (A) read as

     follows: 'In order to carry out the provisions of this section,

     each agency shall promulgate regulations, pursuant to notice and

     receipt of public comment, specifying a uniform schedule of fees

     applicable to all constituent units of such agency.  Such fees

     shall be limited to reasonable standard charges for document search

     and duplication and provide for recovery of only the direct costs

     of such search and duplication.  Documents shall be furnished

     without charge or at a reduced charge where the agency determines

     that waiver or reduction of the fee is in the public interest

     because furnishing the information can be considered as primarily

     benefiting the general public.'

       Subsec. (b)(7). Pub. L. 99-570, Sec. 1802(a), amended par. (7)

     generally.  Prior to amendment, par. (7) read as follows:



     'investigatory records compiled for law enforcement purposes, but

     only to the extent that the production of such records would (A)

     interfere with enforcement proceedings, (B) deprive a person of a

     right to a fair trial or an impartial adjudication, (C) constitute

     an unwarranted invasion of personal privacy, (D) disclose the

     identity of a confidential source and, in the case of a record

     compiled by a criminal law enforcement authority in the course of a

     criminal investigation, or by an agency conducting a lawful

     national security intelligence investigation, confidential

     information furnished only by the confidential source, (E) disclose

     investigative techniques and procedures, or (F) endanger the life

     or physical safety of law enforcement personnel;'.

       Subsecs. (c) to (f). Pub. L. 99-570, Sec. 1802(b), added subsec.

     (c) and redesignated former subsecs. (c) to (e) as (d) to (f),

     respectively.

       1984 - Subsec. (a)(4)(D). Pub. L. 98-620 repealed subpar. (D)

     which provided for precedence on the docket and expeditious

     disposition of district court proceedings authorized by subsec.

     (a).

       1978 - Subsec. (a)(4)(F). Pub. L. 95-454 substituted references

     to the Special Counsel for references to the Civil Service

     Commission wherever appearing and reference to his findings for

     reference to its findings.

       1976 - Subsec. (b)(3). Pub. L. 94-409 inserted provision

     excluding section 552b of this title from applicability of

     exemption from disclosure and provision setting forth conditions

     for statute specifically exempting disclosure.

       1974 - Subsec. (a)(2). Pub. L. 93-502, Sec. 1(a), substituted

     provisions relating to maintenance and availability of current

     indexes, for provisions relating to maintenance and availability of

     a current index, and inserted provisions relating to publication

     and distribution of copies of indexes or supplements thereto.

       Subsec. (a)(3). Pub. L. 93-502, Sec. 1(b)(1), substituted

     provisions requiring requests to reasonably describe records for

     provisions requiring requests, for identifiable records, and struck

     out provisions setting forth procedures to enjoin agencies from

     withholding the requested records and ordering their production.

       Subsec. (a)(4), (5). Pub. L. 93-502, Sec. 1(b)(2), added par. (4)

     and redesignated former par. (4) as (5).

       Subsec. (a)(6). Pub. L. 93-502, Sec. 1(c), added par. (6).

       Subsec. (b)(1). Pub. L. 93-502, Sec. 2(a), designated existing

     provisions as cl. (A), substituted 'authorized under criteria

     established by an' for 'required by', and added cl. (B).

       Subsec. (b)(7). Pub. L. 93-502, Sec. 2(b), substituted provisions

     relating to exemption for investigatory records compiled for law

     enforcement purposes, for provisions relating to exemption for

     investigatory files compiled for law enforcement purposes.

       Subsec. (b), foll. par. (9). Pub. L. 93-502, Sec. 2(c), inserted

     provision relating to availability of segregable portion of

     records.

       Subsecs. (d), (e). Pub. L. 93-502, Sec. 3, added subsecs. (d) and

     (e).

       1967 - Subsec. (a). Pub. L. 90-23 substituted introductory

     statement requiring every agency to make available to the public

     certain information for former introductory provision excepting

     from disclosure (1) any function of the United States requiring

     secrecy in the public interest or (2) any matter relating to

     internal management of an agency, covered in subsec. (b)(1) and (2)

     of this section.

       Subsec. (a)(1). Pub. L. 90-23 incorporated provisions of: former

     subsec. (b)(1) in (A), inserting requirement of publication of

     names of officers as sources of information and provision for

     public to obtain decisions, and striking out publication

     requirement for delegations by the agency of final authority;



     former subsec. (b)(2), introductory part, in (B); former subsec.

     (b)(2), concluding part, in (C), inserting publication requirement

     for rules of procedure and descriptions of forms available or the

     places at which forms may be obtained; former subsec. (b)(3),

     introductory part, in (D), inserting requirement of general

     applicability of substantive rules and interpretations, added

     clause (E), substituted exemption of any person from failure to

     resort to any matter or from being adversely affected by any matter

     required to be published in the Federal Register but not so

     published for former subsec. (b)(3), concluding part, excepting

     from publication rules addressed to and served upon named persons

     in accordance with laws and final sentence reading 'A person may

     not be required to resort to organization or procedure not so

     published' and inserted provision deeming matter, which is

     reasonably available, as published in the Federal Register when

     such matter is incorporated by reference in the Federal Register

     with the approval of its Director.

       Subsec. (a)(2). Pub. L. 90-23 incorporated provisions of former

     subsec. (c), provided for public copying of records, struck out

     requirement of agency publication of final opinions or orders and

     authority for secrecy and withholding of opinions and orders

     required for good cause to be held confidential and not cited as

     precedents, latter provision now superseded by subsec. (b) of this

     section, designated existing subsec. (c) as clause (A), including

     provision for availability of concurring and dissenting opinions,

     inserted provisions for availability of policy statements and

     interpretations in clause (B) and staff manuals and instructions in

     clause (C), deletion of personal identifications from records to

     protect personal privacy with written justification therefor, and

     provision for indexing and prohibition of use of records not

     indexed against any private party without actual and timely notice

     of the terms thereof.

       Subsec. (a)(3). Pub. L. 90-23 incorporated provisions of former

     subsec. (d) and substituted provisions requiring identifiable

     agency records to be made available to any person upon request and

     compliance with rules as to time, place, and procedure for

     inspection, and payment of fees and provisions for Federal district

     court proceedings de novo for enforcement by contempt of

     noncompliance with court's orders with the burden on the agency and

     docket precedence for such proceedings for former provisions

     requiring matters of official record to be made available to

     persons properly and directly concerned except information held

     confidential for good cause shown, the latter provision superseded

     by subsec. (b) of this section.

       Subsec. (a)(4). Pub. L. 90-23 added par. (4).

       Subsec. (b). Pub. L. 90-23 added subsec. (b) which superseded

     provisions excepting from disclosure any function of the United

     States requiring secrecy in the public interest or any matter

     relating to internal management of an agency, formerly contained in

     former subsec. (a), final opinions or orders required for good

     cause to be held confidential and not cited as precedents, formerly

     contained in subsec. (c), and information held confidential for

     good cause found, contained in former subsec. (d) of this section.

       Subsec. (c). Pub. L. 90-23 added subsec. (c).



                       EFFECTIVE DATE OF 1986 AMENDMENT



       Section 1804 of Pub. L. 99-570 provided that:

       '(a) The amendments made by section 1802 (amending this section)

     shall be effective on the date of enactment of this Act (Oct. 27,

     1986), and shall apply with respect to any requests for records,

     whether or not the request was made prior to such date, and shall

     apply to any civil action pending on such date.



       '(b)(1) The amendments made by section 1803 (amending this

     section) shall be effective 180 days after the date of enactment of

     this Act (Oct. 27, 1986), except that regulations to implement such

     amendments shall be promulgated by such 180th day.

       '(2) The amendments made by section 1803 (amending this section)

     shall apply with respect to any requests for records, whether or

     not the request was made prior to such date, and shall apply to any

     civil action pending on such date, except that review charges

     applicable to records requested for commercial use shall not be

     applied by an agency to requests made before the effective date

     specified in paragraph (1) of this subsection or before the agency

     has finally issued its regulations.'



                       EFFECTIVE DATE OF 1984 AMENDMENT



       Amendment by Pub. L. 98-620 not applicable to cases pending on

     Nov. 8, 1984, see section 403 of Pub. L. 98-620, set out as an

     Effective Date note under section 1657 of Title 28, Judiciary and

     Judicial Procedure.



                       EFFECTIVE DATE OF 1978 AMENDMENT



       Amendment by Pub. L. 95-454 effective 90 days after Oct. 13,

     1978, see section 907 of Pub. L. 95-454, set out as a note under

     section 1101 of this title.



                       EFFECTIVE DATE OF 1976 AMENDMENT



       Amendment by Pub. L. 94-409 effective 180 days after Sept. 13,

     1976, see section 6 of Pub. L. 94-409, set out as an Effective Date

     note under section 552b of this title.



                       EFFECTIVE DATE OF 1974 AMENDMENT



       Section 4 of Pub. L. 93-502 provided that: 'The amendments made

     by this Act (amending this section) shall take effect on the

     ninetieth day beginning after the date of enactment of this Act

     (Nov. 21, 1974).'



                       EFFECTIVE DATE OF 1967 AMENDMENT



       Section 4 of Pub. L. 90-23 provided that: 'This Act (amending

     this section) shall be effective July 4, 1967, or on the date of

     enactment (June 5, 1967), whichever is later.'



                        SHORT TITLE OF 1986 AMENDMENT



       Section 1801 of Pub. L. 99-570 provided that: 'This subtitle

     (subtitle N (Sec. 1801-1804) of title I of Pub. L. 99-570, amending

     this section and enacting provisions set out as a note under this

     section) may be cited as the 'Freedom of Information Reform Act of

     1986'.'



                                 SHORT TITLE



       This section is popularly known as the 'Freedom of Information

     Act'.





                                 *****



                  APPENDIX 5:  TEXT OF THE PRIVACY ACT OF 1974



                         TITLE 5, UNITED STATES CODE



                          *     *     *     *     *



                      PART I -- THE AGENCIES GENERALLY



                          *     *     *     *     *



                         CHAPTER 5 -- ADMINISTRATIVE



                          *     *     *     *     *



                   SUBCHAPTER II - ADMINISTRATIVE PROCEDURE



                          *     *     *     *     *







     Sec. 552a. Records maintained on individuals



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

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

         (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; or

             (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; or

         (12) to a consumer reporting agency in accordance with section

       3711(f) 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) 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)(1) Government Contractors. - 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(f) 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 financial 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 statute 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 which 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 or 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 and oversight of the

       implementation of this section by agencies.



                               SOURCE    

     (Added Pub. L. 93-579, Sec. 3, Dec. 31, 1974, 88 Stat. 1897;

     amended Pub. L. 94-183, Sec. 2(2), Dec. 31, 1975, 89 Stat. 1057;

     Pub. L. 97-365, Sec. 2, Oct. 25, 1982, 96 Stat. 1749; Pub. L.

     97-375, title II, Sec. 201(a), (b), Dec. 21, 1982, 96 Stat. 1821;

     Pub. L. 97-452, Sec. 2(a)(1), Jan. 12, 1983, 96 Stat. 2478; Pub. L.

     98-477, Sec. 2(c),

 Oct. 15, 1984, 98 Stat. 2211; Pub. L. 98-497,

     title I, Sec. 107(g), Oct. 19, 1984, 98 Stat. 2292; Pub. L.

     100-503, Sec. 2-6(a), 7, 8, Oct. 18, 1988, 102 Stat. 2507-2514;

     Pub. L. 101-508, title VII, Sec. 7201(b)(1), Nov. 5, 1990, 104

     Stat. 1388-334.)



                              REFERENCES IN TEXT

       Section 552(e) of this title, referred to in subsec. (a)(1), was

     redesignated section 552(f) of this title by section 1802(b) of

     Pub. L. 99-570.

       Section 6103 of the Internal Revenue Code of 1986, referred to in

     subsec. (a)(8)(B)(iv), is classified to section 6103 of Title 26,

     Internal Revenue Code.

       Sections 464 and 1137 of the Social Security Act, referred to in



     subsec. (a)(8)(B)(iv), are classified to sections 664 and 1320b-7,

     respectively, of Title 42, The Public Health and Welfare.

       For effective date of this section, referred to in subsecs.

     (k)(2), (5), (7), (l)(2), (3), and (m), see Effective Date note

     below.

       Section 6 of the Privacy Act of 1974, referred to in subsec.

     (s)(1), is section 6 of Pub. L. 93-579, which was set out below and

     was repealed by section 6(c) of Pub. L. 100-503.

       For classification of the Privacy Act of 1974, referred to in

     subsec. (s)(4), see Short Title note below.

       The date of enactment of this subsection, referred to in subsec.

     (u)(6), is the date of enactment of Pub. L. 100-503 which enacted

     subsec. (u) of this section, and which was approved Oct. 18, 1988.



                                 CODIFICATION



       Section 552a of former Title 5, Executive Departments and

     Government Officers and Employees, was transferred to section 2244

     of Title 7, Agriculture.



                                  AMENDMENTS



       1990 - Subsec. (p). Pub. L. 101-508 amended subsec. (p)

     generally, restating former pars. (1) and (3) as par. (1), adding

     provisions relating to Data Integrity Boards, and restating former

     pars. (2) and (4) as (2) and (3), respectively.

       1988 - Subsec. (a)(8) to (13). Pub. L. 100-503, Sec. 5, added

     pars. (8) to (13).

       Subsec. (e)(12). Pub. L. 100-503, Sec. 3(a), added par. (12).

       Subsec. (f). Pub. L. 100-503, Sec. 7, substituted 'biennially'

     for 'annually' in last sentence.

       Subsecs. (o) to (q). Pub. L. 100-503, Sec. 2(2), added subsecs.

     (o) to (q). Former subsecs. (o) to (q) redesignated (r) to (t),

     respectively.

       Subsec. (r). Pub. L. 100-503, Sec. 3(b), inserted 'and matching

     programs' in heading and amended text generally.  Prior to

     amendment, text read as follows: 'Each agency shall provide

     adequate advance notice to Congress and the Office of Management

     and Budget of any proposal to establish or alter any system of

     records in order to permit an evaluation of the probable or

     potential effect of such proposal on the privacy and other personal

     or property rights of individuals or the disclosure of information

     relating to such individuals, and its effect on the preservation of

     the constitutional principles of federalism and separation of

     powers.'

       Pub. L. 100-503, Sec. 2(1), redesignated former subsec. (o) as

     (r).

       Subsec. (s). Pub. L. 100-503, Sec. 8, substituted 'Biennial' for

     'Annual' in heading, 'biennially submit' for 'annually submit' in

     introductory provisions, 'preceding 2 years' for 'preceding year'

     in par. (1), and 'such years' for 'such year' in par. (2).

       Pub. L. 100-503, Sec. 2(1), redesignated former subsec. (p) as

     (s).

       Subsec. (t). Pub. L. 100-503, Sec. 2(1), redesignated former

     subsec. (q) as (t).

       Subsec. (u). Pub. L. 100-503, Sec. 4, added subsec. (u).

       Subsec. (v). Pub. L. 100-503, Sec. 6(a), added subsec. (v).

       1984 - Subsec. (b)(6). Pub. L. 98-497, Sec. 107(g)(1),

     substituted 'National Archives and Records Administration' for

     'National Archives of the United States', and 'Archivist of the

     United States or the designee of the Archivist' for 'Administrator

     of General Services or his designee'.

       Subsec. (l)(1). Pub. L. 98-497, Sec. 107(g)(2), substituted

     'Archivist of the United States' for 'Administrator of General

     Services' in two places.

       Subsec. (q). Pub. L. 98-477 designated existing provisions as

     par. (1) and added par. (2).

       1983 - Subsec. (b)(12). Pub. L. 97-452 substituted 'section

     3711(f) of title 31' for 'section 3(d) of the Federal Claims

     Collection Act of 1966 (31 U.S.C. 952(d))'.

       Subsec. (m)(2). Pub. L. 97-452 substituted 'section 3711(f) of

     title 31' for 'section 3(d) of the Federal Claims Collection Act of



     1966 (31 U.S.C. 952(d))'.

       1982 - Subsec. (b)(12). Pub. L. 97-365, Sec. 2(a), added par.

     (12).

       Subsec. (e)(4). Pub. L. 97-375, Sec. 201(a), substituted 'upon

     establishment or revision' for 'at least annually' after 'Federal

     Register'.

       Subsec. (m). Pub. L. 97-365, Sec. 2(b), designated existing

     provisions as par. (1) and added par. (2).

       Subsec. (p). Pub. L. 97-375, Sec. 201(b), substituted provisions

     requiring annual submission of a report by the President to the

     Speaker of the House and President pro tempore of the Senate

     relating to the Director of the Office of Management and Budget,

     individual rights of access, changes or additions to systems of

     records, and other necessary or useful information, for provisions

     which had directed the President to submit to the Speaker of the

     House and the President of the Senate, by June 30 of each calendar

     year, a consolidated report, separately listing for each Federal

     agency the number of records contained in any system of records

     which were exempted from the application of this section under the

     provisions of subsections (j) and (k) of this section during the

     preceding calendar year, and the reasons for the exemptions, and

     such other information as indicate efforts to administer fully this

     section.

       1975 - Subsec. (g)(5). Pub. L. 94-183 substituted 'to September

     27, 1975' for 'to the effective date of this section'.

                       EFFECTIVE DATE OF 1988 AMENDMENT

       Section 10 of Pub. L. 100-503, as amended by Pub. L. 101-56, Sec.

     2, July 19, 1989, 103 Stat. 149, provided that:

       '(a) In General. - Except as provided in subsections (b) and (c),

     the amendments made by this Act (amending this section and

     repealing provisions set out as a note below) shall take effect 9

     months after the date of enactment of this Act (Oct. 18, 1988).

       '(b) Exceptions. - The amendment made by sections 3(b), 6, 7, and

     8 of this Act (amending this section and repealing provisions set

     out as a note below) shall take effect upon enactment.

       '(c) Effective Date Delayed for Existing Programs. - In the case

     of any matching program (as defined in section 552a(a)(8) of title

     5, United States Code, as added by section 5 of this Act) in

     operation before June 1, 1989, the amendments made by this Act

     (other than the amendments described in subsection (b)) shall take

     effect January 1, 1990, if -

         '(1) such matching program is identified by an agency as being

       in operation before June 1, 1989; and

         '(2) such identification is -

           '(A) submitted by the agency to the Committee on Governmental

         Affairs of the Senate, the Committee on Government Operations

         of the House of Representatives, and the Office of Management

         and Budget before August 1, 1989, in a report which contains a

         schedule showing the dates on which the agency expects to have

         such matching program in compliance with the amendments made by

         this Act, and

           '(B) published by the Office of Management and Budget in the

         Federal Register, before September 15, 1989.'



                       EFFECTIVE DATE OF 1984 AMENDMENT



       Amendment by Pub. L. 98-497 effective Apr. 1, 1985, see section

     301 of Pub. L. 98-497, set out as a note under section 2102 of

     Title 44, Public Printing and Documents.



                                EFFECTIVE DATE



       Section 8 of Pub. L. 93-579 provided that: 'The provisions of

     this Act (enacting this section and provisions set out as notes

     under this section) shall be effective on and after the date of

     enactment (Dec. 31, 1974), except that the amendments made by

     sections 3 and 4 (enacting this section and amending analysis

     preceding section 500 of this title) shall become effective 270

     days following the day on which this Act is enacted.'





                        SHORT TITLE OF 1990 AMENDMENT



       Section 7201(a) of Pub. L. 101-508 provided that: 'This section

     (amending this section and enacting provisions set out as notes

     below) may be cited as the 'Computer Matching and Privacy

     Protection Amendments of 1990'.'



                        SHORT TITLE OF 1989 AMENDMENT



       Pub. L. 101-56, Sec. 1, July 19, 1989, 103 Stat. 149, provided

     that: 'This Act (amending section 10 of Pub. L. 100-503, set out as

     a note above) may be cited as the 'Computer Matching and Privacy

     Protection Act Amendments of 1989'.'



                        SHORT TITLE OF 1988 AMENDMENT



       Section 1 of Pub. L. 100-503 provided that: 'This Act (amending

     this section, enacting provisions set out as notes above and below,

     and repealing provisions set out as a note below) may be cited as

     the 'Computer Matching and Privacy Protection Act of 1988'.'



                                 SHORT TITLE



       Section 1 of Pub. L. 93-579 provided: 'That this Act (enacting

     this section and provisions set out as notes under this section)

     may be cited as the 'Privacy Act of 1974'.'



                           DELEGATION OF FUNCTIONS



       Functions of Director of Office of Management and Budget under

     this section delegated to Administrator for Office of Information

     and Regulatory Affairs by section 3 of Pub. L. 96-511, Dec. 11,

     1980, 94 Stat. 2825, set out as a note under section 3503 of Title

     44, Public Printing and Documents.



            PUBLICATION OF GUIDANCE UNDER SUBSECTION (P)(1)(A)(II)



       Section 7201(b)(2) of Pub. L. 101-508 provided that: 'Not later

     than 90 days after the date of the enactment of this Act (Nov. 5,

     1990), the Director of the Office of Management and Budget shall

     publish guidance under subsection (p)(1)(A)(ii) of section 552a of

     title 5, United States Code, as amended by this Act.'



            LIMITATION ON APPLICATION OF VERIFICATION REQUIREMENT



       Section 7201(c) of Pub. L. 101-508 provided that: 'Section

     552a(p)(1)(A)(ii)(II) of title 5, United States Code, as amended by

     section 2 (probably means section 7201(b)(1) of Pub. L. 101-508),

     shall not apply to a program referred to in paragraph (1), (2), or

     (4) of section 1137(b) of the Social Security Act (42 U.S.C.

     1320b-7), until the earlier of -

         '(1) the date on which the Data Integrity Board of the Federal

       agency which administers that program determines that there is

       not a high degree of confidence that information provided by that

       agency under Federal matching programs is accurate; or

         '(2) 30 days after the date of publication of guidance under

       section 2(b) (probably means section 7201(b)(2) of Pub. L.

       101-508, set out as a note above).'



        EFFECTIVE DATE DELAYED FOR CERTAIN EDUCATION BENEFITS COMPUTER

                              MATCHING PROGRAMS



       Pub. L. 101-366, title II, Sec. 206(d), Aug. 15, 1990, 104 Stat.

     442, provided that:

       '(1) In the case of computer matching programs between the

     Department of Veterans Affairs and the Department of Defense in the

     administration of education benefits programs under chapters 30 and

     32 of title 38 and chapter 106 of title 10, United States Code, the

     amendments made to section 552a of title 5, United States Code, by

     the Computer Matching and Privacy Protection Act of 1988 (Pub. L.

     100-503) (other than the amendments made by section 10(b) of that

     Act) (see Effective Date of 1988 Amendment note above) shall take

     effect on October 1, 1990.

       '(2) For purposes of this subsection, the term 'matching program'

     has the same meaning provided in section 552a(a)(8) of title 5,

     United States Code.'



                 IMPLEMENTATION GUIDANCE FOR 1988 AMENDMENTS



       Section 6(b) of Pub. L. 100-503 provided that: 'The Director

     shall, pursuant to section 552a(v) of title 5, United States Code,



     develop guidelines and regulations for the use of agencies in

     implementing the amendments made by this Act (amending this section

     and repealing provisions set out as a note below) not later than 8

     months after the date of enactment of this Act (Oct. 18, 1988).'



                       CONSTRUCTION OF 1988 AMENDMENTS



       Section 9 of Pub. L. 100-503 provided that: 'Nothing in the

     amendments made by this Act (amending this section and repealing

     provisions set out as a note below) shall be construed to authorize

     -

         '(1) the establishment or maintenance by any agency of a

       national data bank that combines, merges, or links information on

       individuals maintained in systems of records by other Federal

       agencies;

         '(2) the direct linking of computerized systems of records

       maintained by Federal agencies;

         '(3) the computer matching of records not otherwise authorized

       by law; or

         '(4) the disclosure of records for computer matching except to

       a Federal, State, or local agency.'



               CONGRESSIONAL FINDINGS AND STATEMENT OF PURPOSE



       Section 2 of Pub. L. 93-579 provided that:

       '(a) The Congress finds that -

         '(1) the privacy of an individual is directly affected by the

       collection, maintenance, use, and dissemination of personal

       information by Federal agencies;

         '(2) the increasing use of computers and sophisticated

       information technology, while essential to the efficient

       operations of the Government, has greatly magnified the harm to

       individual privacy that can occur from any collection,

       maintenance, use, or dissemination of personal information;

         '(3) the opportunities for an individual to secure employment,

       insurance, and credit, and his right to due process, and other

       legal protections are endangered by the misuse of certain

       information systems;

         '(4) the right to privacy is a personal and fundamental right

       protected by the Constitution of the United States; and

         '(5) in order to protect the privacy of individuals identified

       in information systems maintained by Federal agencies, it is

       necessary and proper for the Congress to regulate the collection,

       maintenance, use, and dissemination of information by such

       agencies.

       '(b) The purpose of this Act (enacting this section and

     provisions set out as notes under this section) is to provide

     certain safeguards for an individual against an invasion of

     personal privacy by requiring Federal agencies, except as otherwise

     provided by law, to -

         '(1) permit an individual to determine what records pertaining

       to him are collected, maintained, used, or disseminated by such

       agencies;

         '(2) permit an individual to prevent records pertaining to him

       obtained by such agencies for a particular purpose from being

       used or made available for another purpose without his consent;

         '(3) permit an individual to gain access to information

       pertaining to him in Federal agency records, to have a copy made

       of all or any portion thereof, and to correct or amend such

       records;

         '(4) collect, maintain, use, or disseminate any record of

       identifiable personal information in a manner that assures that

       such action is for a necessary and lawful purpose, that the

       information is current and accurate for its intended use, and

       that adequate safeguards are provided to prevent misuse of such

       information;

         '(5) permit exemptions from the requirements with respect to

       records provided in this Act only in those cases where there is

       an important public policy need for such exemption as has been

       determined by specific statutory authority; and

         '(6) be subject to civil suit for any damages which occur as a



       result of willful or intentional action which violates any

       individual's rights under this Act.'



                     PRIVACY PROTECTION STUDY COMMISSION



       Section 5 of Pub. L. 93-579, as amended by Pub. L. 95-38, June 1,

     1977, 91 Stat. 179, which established the Privacy Protection Study

     Commission and provided that the Commission study data banks,

     automated data processing programs and information systems of

     governmental, regional and private organizations to determine

     standards and procedures in force for protection of personal

     information, that the Commission report to the President and

     Congress the extent to which requirements and principles of section

     552a of title 5 should be applied to the information practices of

     those organizations, and that it make other legislative

     recommendations to protect the privacy of individuals while meeting

     the legitimate informational needs of government and society,

     ceased to exist on September 30, 1977, pursuant to section 5(g) of

     Pub. L. 93-579.



          GUIDELINES AND REGULATIONS FOR MAINTENANCE OF PRIVACY AND

                     PROTECTION OF RECORDS OF INDIVIDUALS



       Section 6 of Pub. L. 93-579, which provided that the Office of

     Management and Budget shall develop guidelines and regulations for

     use of agencies in implementing provisions of this section and

     provide continuing assistance to and oversight of the

     implementation of the provisions of such section by agencies, was

     repealed by Pub. L. 100-503, Sec. 6(c), Oct. 18, 1988, 102 Stat.

     2513.



                     DISCLOSURE OF SOCIAL SECURITY NUMBER



       Section 7 of Pub. L. 93-579 provided that:

       '(a)(1) It shall be unlawful for any Federal, State or local

     government agency to deny to any individual any right, benefit, or

     privilege provided by law because of such individual's refusal to

     disclose his social security account number.

       '(2) the (The) provisions of paragraph (1) of this subsection

     shall not apply with respect to -

         '(A) any disclosure which is required by Federal statute, or

         '(B) the disclosure of a social security number to any Federal,

       State, or local agency maintaining a system of records in

       existence and operating before January 1, 1975, if such

       disclosure was required under statute or regulation adopted prior

       to such date to verify the identity of an individual.

       '(b) Any Federal, State, or local government agency which

     requests an individual to disclose his social security account

     number shall inform that individual whether that disclosure is

     mandatory or voluntary, by what statutory or other authority such

     number is solicited, and what uses will be made of it.'

 

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