by Unknown
mation, treat the records as not subject to the requirements of
this section.
(d) This section does not authorize the 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 infor-
mation from Congress.
(e) On or before March 1 of each calendar year, each agency shall sub-
mit a report covering the preceding calendar year to the Speaker of
the House of Representatives and President of the Senate for refer-
ral to the appropriate committees of the Congress. The report shall
include—
(1) the number of determinations made by such agency not to com-
ply with requests for records made to such agency under subsec-
tion (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 num-
ber of instances of participation for each;
(4) the results of each proceeding conducted pursuant to subsec-
tion (a)(4)(F), including a report of the disciplinary action taken
against the officer or employee who was primarily responsible for
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Appendix D: Consumer and Credit Data Privacy Laws
improperly withholding records or an explanation of why disci-
plinary 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 aris-
ing 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.
(e)
(1) On or before February 1 of each year, each agency shall sub-
mit to the Attorney General of the United States a report
which shall cover the preceding fiscal year and which
shall include—
(A) the number of determinations made by the agency not
to comply with requests for records made to such agency
under subsection (a) and the reasons for each such
determination;
(B)
(i) the number of appeals made by persons under sub-
section (a)(6), the result of such appeals, and the rea-
son for the action upon each appeal that results in a
denial of information; and
(ii) a complete list of all statutes that the agency relies
upon to authorize the agency to withhold informa-
tion under subsection (b)(3), a description of whether
a court has upheld the decision of the agency to with-
hold information under each such statute, and a
concise description of the scope of any information
withheld;
(C) the number of requests for records pending before the
agency as of September 30 of the preceding year, and the
median number of days that such requests had been pend-
ing before the agency as of that date;
Appendix D: Consumer and Credit Data Privacy Laws
391
(D) the number of requests for records received by the agency
and the number of requests which the agency processed;
(E) the median number of days taken by the agency to process
different types of requests;
(F) the total amount of fees collected by the agency for pro-
cessing requests; and
(G) the number of full-time staff of the agency devoted to
processing requests for records under this section, and
the total amount expended by the agency for processing
such requests.
(2) Each agency shall make each such report available to the pub-
lic including by computer telecommunications, or if computer
telecommunications means have not been established by the
agency, by other electronic means.
(3) The Attorney General of the United States shall make each
report which has been made available by electronic means
available at a single electronic access point. The Attorney
General of the United States shall notify the Chairman and
ranking minority member of the Committee on Government
Reform and Oversight of the House of Representatives
and the Chairman and ranking minority member of the
Committees on Governmental Affairs and the Judiciary of
the Senate, no later than April 1 of the year in which each
such report is issued, that such reports are available by
electronic means.
(4) The Attorney General of the United States, in consultation
with the Director of the Office of Management and Budget,
shall develop reporting and performance guidelines in
connection with reports required by this subsection by
October 1, 1997, and may establish additional requirements
for such reports as the Attorney General determines may be
useful.
(5) The Attorney General of the United States shall submit an
annual report on or before April 1 of each calendar year
which shall include for the prior calendar year a listing of
the number of cases arising under this section, the exemp-
tion involved in each case, the disposition of such case, and
the cost, fees, and penalties assessed under subparagraphs
(E), (F), and (G) of subsection (a)(4). Such report shall
also include a description of the efforts undertaken by the
Department of Justice to encourage agency compliance with
this section.
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Appendix D: Consumer and Credit Data Privacy Laws
(f) For purposes of this section, the term “agency” as defined in sec-
tion 551(1) of this title includes any Executive department, mili-
tary 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.
(f) For purposes of this section, the term—
(1) “agency” as defined in section 551(1) of this title includes any
executive department, military department, Government
corporation, Government controlled corporation, or other
establishment in the executive branch of the Government
(including the Executive Office of the President), or any inde-
pendent regulatory agency; and
(2) “record” and any other term used in this section in reference to
information includes any information that w
ould be an agency
record subject to the requirements of this section when main-
tained by an agency in any format, including an electronic format.
(g) The head of each agency shall prepare and make publicly available upon request, reference material or a guide for requesting records
or information from the agency, subject to the exemptions in sub-
section (b), including—
(1) an index of all major information systems of the agency;
(2) a description of major information and record locator systems
maintained by the agency; and
(3) a handbook for obtaining various types and categories of pub-
lic information from the agency pursuant to chapter 35 of title
44, and under this section.
* * * * *
§ 12. Effective Date [Not to be Codified]
(a) Except as provided in subsection (b), this Act shall take effect 180
days after the date of the enactment of this Act [March 31, 1997].
(b) Sections 7 and 8 shall take effect one year after the date of the enactment of this Act [October 2, 1997].
Below is the full text of the statement issued by President Clinton upon signing the 1996 FOIA amendments into law on October 2, 1996:
I am pleased to sign into law today H.R. 3802, the “Electronic Freedom of Information Act Amendments of 1996.”
This bill represents the culmination of several years of leadership by
Senator Patrick Leahy to bring this important law up to date. Enacted in
Appendix D: Consumer and Credit Data Privacy Laws
393
1966, the Freedom of Information Act (FOIA) was the first law to establish an effective legal right of access to government information, underscoring the crucial need in a democracy for open access to government information by
citizens. In the last 30 years, citizens, scholars, and reporters have used FOIA to obtain vital and valuable government information.
Since 1966, the world has changed a great deal. Records are no longer
principally maintained in paper format. Now, they are maintained in a variety of technologies, including CD ROM and computer tapes and diskettes,
making it easier to put more information on-line.
My Administration has launched numerous initiatives to bring more
government information to the public. We have established World Wide
Web pages, which identify and link information resources throughout the
Federal Government. An enormous range of documents and data, including
the Federal budget, is now available on-line or in electronic format, making government more accessible than ever. And in the last year, we have declassified unprecedented amounts of national security material, including information on nuclear testing.
The legislation I sign today brings FOIA into the information and elec-
tronic age by clarifying that it applies to records maintained in electronic format. This law also broadens public access to government information by placing more material on-line and expanding the role of the agency reading room. As the Government actively disseminates more information, I hope
that there will be less need to use FOIA to obtain government information.
This legislation not only affirms the importance, but also the challenge of maintaining openness in government. In a period of government downsiz-ing, the numbers of requests continue to rise. In addition, growing numbers of requests are for information that must be reviewed for declassification, or in which there is a proprietary interest or a privacy concern. The result in many agencies is huge backlogs of requests.
In this Act, the Congress recognized that with today’s limited resources, it is frequently difficult to respond to a FOIA request within the 10 days formerly required in the law. This legislation extends the legal response period to 20 days.
More importantly, it recognizes that many FOIA requests are so broad and
complex that they cannot possibly be completed even within this longer period, and the time spent processing them only delays other requests. Accordingly, H.R. 3802 establishes procedures for an agency to discuss with requesters ways of tailoring large requests to improve responsiveness. This approach explicitly recognizes that FOIA works best when agencies and requesters work together.
Our country was founded on democratic principles of openness and
accountability, and for 30 years, FOIA has supported these principles. Today, the “Electronic Freedom of Information Act Amendments of 1996” reforges
an important link between the United States Government and the American
people.
394
Appendix D: Consumer and Credit Data Privacy Laws
Privacy Act of 1974 (5 U.S.C. § 552a: As Amended)
§ 552a. Records Maintained on Individuals
(a) Definitions
For purposes of this section—
(1) the term “agency” means agency as defined in section 552(f) of
this title;
(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, col ect, 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 transac-
tions, 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, sym-
bol, 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 con-
tinuing compliance with statutory and regula-
tory requirements by, applicants for, recipients
or beneficiaries of, participants in, or providers
of services with respect to, cash or in-kind assis-
tance or payments under Federal benefit pro-
grams, or
(II) recouping payments or delinquent debts under
such Federal benefit programs, or
Appendix D: Consumer and Credit Data Privacy Laws
395
(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;
(i ) matches performed to support any research or statistical
project, the specific data of which may not be used to
make decisions concerning th
e rights, benefits, or priv-
ileges of specific individuals;
(i i) matches performed, by an agency (or component thereof)
which performs as its principal function any activity per-
taining to the enforcement of criminal laws, subsequent
to the initiation of a specific criminal or civil law enforce-
ment 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 inter-
cepting a tax refund due an individual under author-
ity granted by section 404(e), 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 admin-
istrative 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
