Procedures for
Requesting a (FOIA)
There are only two requirements stipulated by the FOIA governing requests
for records: (1) requests must "reasonably describe" the records sought,
and (2) they must be made according to agency procedural regulations
which are published in the Federal Register. A request is considered
reasonably described if it enables a professional agency employee familiar
with the subject area to locate the record with a reasonable amount of
effort, and does not require wide-ranging, unreasonably burdensome searches
for records. The new Electronic Freedom of Information Amendments requires
an agency to provide the records in any format requested, if reproducible
in that format, and to maintain records in such formats.
When responsive documents
containing exempt material are located, the releasable material must
be segregated from the nonexempt portions. However, exempt and nonexempt
material may be so inextricably intertwined that segregation of such
material would provide essentially meaningless nonexempt records;
in such case, the document can be exempted in its entirety, foregoing
any segregation. The agency may choose any reasonable medium for
disclosure, such as paper, microfiche, and digital/computer discs.
A Proper FOIA Request
Requests that are not
filed in accordance with the requirements of the FOIA and DOE’s
Regulation (10 C.F.R. 1004) may not be deemed received until the
request has been identified as a proper FOIA request by agency personnel.
Therefore, until such time, there is no obligation on the part of
the agency to meet time deadlines, search for records, or supply
requested records. In addition, if a requester has accrued debts
which he/she has failed to pay, an agency may refuse to process any
subsequent requests made by that individual until the debt is paid.
Types of initial notification
to requesters may state: that the request has been forwarded to a
primary responsible office for action; the responsive documents are
enclosed; documents are already in the public domain and accessible;
no documents have been found; or that, for certain reasons, their
letter fails to meet FOIA criteria. In this latter case, the following
reasons may arise: the request does not state a willingness to pay;
the request fails to substantiate (i.e., justify) a requested fee
waiver; the request is too broad; or the request asks for information,
asks questions rather than requests records, such as requesting the
completion of a long questionnaire.
A Typical FOIA Request
A proper FOIA request
should include the requester’s statement "pursuant to the Freedom
of Information Act, I hereby request...", a reasonably described
agency record, and a statement of his or her willingness to pay for
processing charges.
Types of Standard Notifications
Once the FOIA request
is deemed received, it is the policy of DOE to provide the requested
documents within twenty working days from the time the FOIA Officer
received the request: (1) if the responsive records are located in
several offices, (2) if the request requires examination of voluminous
amounts of records, and (3) when it is necessary to consult with
another agency or agency component additional time may be taken by
mutual agreement, an additional ten days maybe taken.
Standard Acknowledgement Letter
DOE’s standard acknowledgement
letter should state that the request has been deemed received and
has been forwarded to the appropriate offices. The acknowledgement
letter should state the date of the requester’s letter, the
date the request was received, identify the receiving FOIA office,
and the offices tasked with responding to the request, contact name,
number and address of the responsive office; expedited processing
is provided under conditions of compelling need. They include threat
or safety of persons engaged in the dissemination of information
of public records involving actual or alleged government activity.
The agency must decide within ten day whether to grant expedited
processing and notify the requestor of the decision.
Fully Responsive Records
When retrieved records
are determined to fully satisfy a FOIA request, the response letter
should indicate: the office processing the request; the individual
who has determined that records are fully responsive, and an office
contact name and telephone number. The letter should also indicate
that this is the office’s final response to the request.
Withholding Responsive Records
Denial letters should
inform the requester of the reasons for the denial in explicit detail,
the name and title of each denying official, the requester’s
right to appeal and the address to file an appeal.
Documents in the Public Domain
When responsive documents
are already in the public domain and are reasonably accessible to
the requester, the requester only has to be informed as to the location
of such records (e.g., a specific public reading room), or how such
records may be ordered (e.g. the National Technical Information Service).
If the requester is referred to a location where responsive documents
can be picked up or copied, as opposed to ordered, then the agency
should ensure that the requester is in reasonable proximity to the
location of the records. If such records are unreasonably far in
proximity, and there is no way of ordering the documents, then the
individual’s request should be processed through the FOIA.
No Documents Found
An agency response stating
that no responsive documents have been found should be made by an "agency
professional" who is familiar with the records and the offices that
were searched. The request should identify the offices searched,
notify the requester of his or her right to administratively appeal
the adequacy of search, and the address to which the appeal should
be directed. The response should, in addition, indicate whether this
is the final response by that office or if further action on the
request is pending.
Transfer Letter to Another Facility
When requested documents
fall under the purview of another DOE Freedom of Information Act
Officer (i.e., Headquarters FOIA Officer or Field FOIA Officer) or
another agency, the request should be transferred to them for processing
and direct response to the requester. Therefore, if Headquarters
receives a FOIA request for records that are maintained by another
field facility, such as the Albuquerque Operations Office, the request
should be transferred to that field FOIA Officer. The 20-day time
limit to respond does not begin until the appropriate FOIA Officer
receives the request. In addition, determinations concerning fee
waivers are made by the appropriate FOIA Officer.
Transfer Letter to Another Agency
When requests are received
asking for records created or maintained by another agency, the request
should be transferred to the FOIA Office of that agency for their
disclosure determination. The FOIA office should inform the requester
of the transfer. The responsible agency should be informed whether
to provide the documents, if determined to be releasable directly
to the requester or whether the documents should be sent to the forwarding
agency for coordination and release.
FAILURE TO MEET THE
CRITERIA OF A FOIA REQUEST:
Requesting Information
as Opposed to Records
The FOIA applies only
to government
records. When a request is for information rather
than records, (e.g., such as a series of questions to be answered),
that request would not meet the criteria of a FOIA request.
Unreasonably Burdensome
In addition to reasonably
describing the requested documents, a request must conform with DOE’s
procedural rules. DOE Regulations 10 C.F.R. 1004.4 (c) (1), requires
that DOE be able to identify and locate requested records by a process
that is not unreasonably burdensome or disruptive of BPA operations.
Therefore, the DOE is not required to conduct wide-ranging and unreasonably
burdensome searches for records.
Public Involvement
