Order Code 97-71 GOV
Updated March 13, 2008.
Access to Government Information
In the United States
Harold C. Relyea
Specialist in American National Government
Government and Finance Division
Wendy Ginsberg
Analyst in American National Government
Government and Finance Division
Summary
The Constitution of the United States makes no specific allowance for any one of
the co-equal branches to have access to information held by the others and contains no
provision expressly establishing a procedure for, or a right of, public access to
government information. Nonetheless, Congress has legislated various public access
laws. These include two records access statutes — the Freedom of Information Act
(FOI Act or FOIA; 5 U.S.C. § 552) and the Privacy Act (5 U.S.C. § 552a) — and two
meetings access statutes — the Federal Advisory Committee Act (FACA; 5 U.S.C.
App.) and the Government in the Sunshine Act (5 U.S.C. § 552b). Moreover, due to the
American separation of powers model of government, interbranch conflicts over the
accessibility of information are neither unexpected nor necessarily destructive. The
federal courts, historically, have been reluctant to review and resolve “political
questions” involving information disputes between Congress and the executive branch.
Although there is considerable interbranch cooperation, such conflicts probably will
continue to occur on occasion.
History and Background
Throughout the first 150 years of the federal government, access to government
information does not appear to have been a major issue among the three branches or for
the citizenry. There were a few instances during this period when the President, for
reasons of maintaining the constitutional independence and equality of his branch,
vigorously resisted attempts by Congress and the courts to obtain executive records.
Furthermore, during this same era, an active federal public printing program was
established and effectively developed.
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Following World War II, however, information came to be of limited availability
from federal departments and agencies. Conditioned by information restrictions prompted
by recent global hostilities, fearful of Cold War spies, intimidated by zealous loyalty
investigators within and outside of government, and anxious about various efforts at
reducing the executive workforce during the postwar reconversion, the federal
bureaucracy generally was not eager to have its activities and operations disclosed to the
public, the press, or other governmental entities. Prevailing law tolerated this state of
affairs, offering citizens no clear avenue of access to agency information. The public
availability of records held by the executive branch was limited by artful interpretation
of the housekeeping statute of 1789 (5 U.S.C. § 301) authorizing the heads of departments
to prescribe regulations regarding the custody, use, and preservation of the records,
papers, and property of their entity. Moreover, a provision of the Administrative
Procedure Act of 1946 (5 U.S.C. § 551) indicated that matters of official record should
be available to the public, but added that an agency could restrict access to its documents
“for good cause found” or “in the public interest.” These discretionary authorities were
relied upon to restrict the accessibility of unpublished agency records and documents.
Such conditions also contributed to the increasing difficulties of congressional
committees and subcommittees in gaining access to both records and officials of federal
departments and agencies during the 1950s. In response, some congressional panels
began examining these information access issues and seeking responsive legislative
solutions. Among the well known inquiries in this period was the work of the Special
Subcommittee on Government Information of the House Committee on Government
Operations. The subcommittee, established in 1955, was chaired by Representative John
E. Moss and produced many volumes of hearings and reports.
Public Access Laws. Apart from interbranch information access dilemmas,
Congress, in 1966, undertook fashioning various statutory arrangements for realizing
public access to executive branch information. This focus resulted because legislators felt
that Congress adequately made its deliberations and proceedings subject to public
observation, largely published its records, and otherwise was constitutionally authorized
to engage in information restriction in certain circumstances. For example, the
Constitution explicitly permitted each house of Congress a discretion to keep portions of
its journal of proceedings secret and disallowed the questioning of Members of Congress
“in any other Place” regarding official speech or debate. Legislators also were satisfied
with the openness of federal court files and hearing rooms. Thus, the departments and
agencies were the principal object of government information access reform laws.
Executive branch officials, however, were not supportive of these measures and, initially,
did not always promote or pursue their faithful administration. The current major federal
laws facilitating public access to government information are briefly described below; the
full text of each statute may be consulted by using the appropriate United States Code
reference provided.
!
Freedom of Information Act (5 U.S.C. § 552)
Initially enacted in 1966 and subsequently amended, the Freedom of Information
(FOI) Act establishes for any person — corporate or individual, regardless of nationality
— presumptive access to existing, unpublished agency records on any topic. The law
specifies nine categories of information that may be permissibly exempted from the rule
of disclosure. Agencies within the federal intelligence community are prohibited from
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making any record available to a foreign government or a representative of same pursuant
to a FOI Act request. Disputes over the accessibility of requested records may be settled,
according to the provisions of the act, in federal court. Fees for search, review, or copying
of materials may be imposed; also, for some types of requesters, fees may be reduced or
waived. The FOI Act was amended in 1996 to provide for public access to information
in an electronic form or format. These amendments are often referred to as e-FOIA (5
U.S.C. § 552 note). In the 110th Congress, legislation has been introduced (H.R. 1309,
H.R. 1326, S. 849 ) that would, among other things, impose tighter deadlines on agencies
to respond to FOIA requests.
!
Federal Advisory Committee Act (5 U.S.C. App.)
A 1972 statute, the Federal Advisory Committee Act (FACA), in part, presumptively
requires that the meetings of all federal advisory committees serving executive branch
entities be open to public observation. The statute specifies nine categories of
information — similar to those of the FOI Act — that may be permissively relied upon
to close advisory committee deliberations when such matters are under discussion.
Disputes over the proper public notice for a committee meeting or the closing of a session
may be pursued in federal court.
!
Privacy Act (5 U.S.C. § 552a)
Legislated in 1974, the Privacy Act, in part, establishes for individuals who are
United States citizens or permanent resident aliens, presumptive access to personally
identifiable files on themselves held by most federal agencies (generally, however, not
law enforcement and intelligence entities). The statute specifies seven types of
information that may permissively be exempted from the rule of access. Where a file
subject contends that a record contains inaccurate information about that individual, the
act allows correction through emendation. Disputes over the accessibility of personally
identifiable files may be pursued in federal court.
!
Government in the Sunshine Act (5 U.S.C. § 552b)
Enacted in 1976, the Sunshine Act presumptively opens the policymaking
deliberations of collegially headed federal agencies — such as boards, commissions, or
councils — to public scrutiny unless closed in accordance with any of nine exemptions
to the rule of openness. Disputes over proper public notice of such meetings or the
propriety of closing a deliberation may be pursued in federal court.
Interbranch Access. No statutory arrangements have been created to facilitate
access by one branch of the federal government to records and information holdings of
the other two branches. Both Congress and the judiciary have subpoena powers which
can be exercised to compel the production of materials by another branch, but even these
demands have sometimes been resisted. Occasionally, but rarely, the courts have ruled
on these disputes. In 1974, for example, a Special Prosecutor sought certain tape
recordings that President Richard Nixon, on a claim of constitutional privilege, initially
refused to provide. The Supreme Court, in United States v. Nixon (418 U.S. 683),
disallowed the President’s claim of privilege, finding it too general and overbroad and the
needs of the Special Prosecutor to pursue criminal prosecutions more compelling. These
tape recordings would become known as the Watergate Tapes.
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In general, interbranch disputes over access to information are political conflicts of
the highest order. The federal courts, historically, have been reluctant to review and
resolve such “political questions.” Resolution is often reached through negotiation —
reduction of the quantity of records initially sought, substitution of other information,
alternative delivery mechanisms, or limitation of the number of individuals who will
examine materials provided by another branch. Sometimes appeals to public opinion will
pressure an information access deadlock to settlement. Congress can use its “power of
the purse” to leverage its information access demands; federal courts rely upon a spirit of
justice and fair play to sustain their orders for the production of information by another
branch. In view of the American separation of powers model of government, such
conflicts are neither unexpected nor necessarily destructive. Furthermore, they probably
will continue to occur.
Using the Information Access Laws
Statistics on Usage. How frequently are the provisions of the access to
information acts invoked? The Freedom of Information Act requires each federal agency
to submit a report on or before February 1 each year to the Attorney General describing
the agency’s freedom of information workload. Annual reports from all of the
departments and agencies are posted on the Internet by the U.S. Department of Justice at
[http://www.usdoj.gov/04foia/04_6.html]. In FY2006, 30 selected federal departments
and agencies with the largest volume of requests reported receiving more than 774,000
new requests for government records under the FOI Act. The Department of Veterans
Affairs includes first party requests for medical records in its tally and thus reported
receiving 1,938,206 requests.1 Similarly, the Social Security Administration includes all
requests for access to records in its report, regardless of which information access law is
cited by the requester. Using this criterion, the Social Security Administration reported
18,691,031 requests in FY2006.2 Data from the individual annual reports, which are
posted on the Department of Justice website, are summarized in tables on the website of
Public Citizen, a public interest group. Data from selected department and agency reports
are provided above. Public Citizen’s tables for FY2000 through FY2005 can be found
at [http://www.citizen.org/litigation/free_info/foic_rep/statistics/index.cfm].
Litigation. A certain number of requests for information under the access to
information acts result in judicial action. The Administrative Office of the U.S. Courts
provides statistical information on the number of FOIA cases filed in U.S. District Courts
in its compendium, Judicial Business of the United States Courts, which is available on
the Internet at [http://www.uscourts.gov/judbus2006/appendices/c2a.pdf]. According to
that report, 312 cases were filed in U.S. District Courts in FY2006 compared with 404
cases in FY2005 and 315 cases in FY2004. Judicial Business tables also provide data
about FOI Act cases at the appellate level.
The Freedom of Information Case List produced by the Department of Justice Office
of Information and Privacy has compiled lists of cases decided under the Freedom of
Information Act, the Privacy Act, the Government in the Sunshine Act, and the Federal
1
2
See [http://www.va.gov/foia/report/FY2006/InitialRequests.html].
See [http://www.ssa.gov/foia/html/2006%20SSA%20Annual%20FOIA%20Report%20-%20
Final.pdf].
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Advisory Committee Act. Its principal section, an alphabetical list of judicial decisions
addressing access issues under the Freedom of Information Act and the Privacy Act,
numbers nearly 5,000 entries. It was last updated in 2002 and is available on the Internet
at [http://www.usdoj.gov/04foia/cl-tofc.html]. Judicial Watch, a public interest group,
has posted information about its own activities under “Our Litigation” at
[http://www.judicialwatch.org/litigation.shtml].
Guides to Using the Information Acts. Individuals, groups, and organizations
all exercise the right to access government information. Both government and private
groups publish guides to the information acts in paper and on the Internet as well.
The U.S. House of Representatives Committee on Government Reform published
several editions of its report, A Citizen’s Guide on Using the Freedom of Information Act
and the Privacy Act of 1974 to Request Government Records (H.Rept. 109-226). In
addition to the text of the acts, the Citizen’s Guide contains descriptions and explanations,
sample document request forms, and bibliographies of related congressional and noncongressional material. The report is available at [http://www.
access.gpo.gov/congress/house/house07cr109.html]. The General Services
Administration’s Federal Citizen Information Center publishes Your Right To Federal
Records: Questions and Answers on the Freedom of Information Act and Privacy Act.
Like the Citizen’s Guide, this publication contains explanations, samples, and texts,
although in less detail than found in the Citizen’s Guide. Your Right to Federal Records
is available on the Internet at [http://www.pueblo.gsa.gov/cic_text/fed_prog/foia/foia.pdf].
The Justice Department is the agency responsible for overseeing and coordinating
administration of the Freedom of Information Act. Its website at [http://www.usdoj.gov/
04foia/index.html] includes extensive material about the act, statistics on its usage,
guidelines for making requests, and freedom of information contacts at other federal
agencies.
Among many non-governmental groups that publish information about freedom of
information are Public Citizen and National Security Archive. Public Citizen maintains
the “Freedom of Information Clearinghouse” on its website at [http://www.citizen.org/
litigation/free_info/]. The National Security Archive at [http://www.nsarchive.org/]
includes among the many freedom of information documents and reports on its website,
“40 Noteworthy Headlines Made Possible by FOIA, 2004-2006” at
[http://www.nsarchive.org/nsa/foia/stories.htm].
Selected CRS Reports
CRS Report RL32780, Freedom of Information Act (FOIA) Amendments: 110th Congress,
by Harold C. Relyea.
CRS Report RL30319, Presidential Claims of Executive Privilege: History, Law,
Practice and Recent Developments, by Morton Rosenberg.
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Selected Additional Resources
Archibald, Sam. “The Early Years of the Freedom of Information Act — 1955 to 1974.”
PS: Political Science and Politics, Vol. 26, no. 4 (1993): 726-731.
Foerstel, Herbert N. Freedom of Information and the Right To Know: The Origins and
Applications of the Freedom of Information Act. Westport, CT: Greenwood Press,
1999.
Hoffman, Daniel N. Governmental Secrecy and the Founding Fathers: A Study in
Constitutional Controls. Westport, CT: Greenwood Press, 1981.
Public Information Provision in the Digital Age: Implementation and Effects of the U.S.
Freedom of Information Act. Santa Monica, CA: RAND, 2001.
U.S. Congress. House. Committee on Government Reform. A Citizen’s Guide on Using
the Freedom of Information Act and the Privacy Act of 1974 to Request Government
Records. 109th Congress, first session. H.Rept. 109-226. Washington: GPO, 2005.
U.S. Congress. Senate. Committee on Governmental Affairs. Federal Advisory
Committee Act (Public Law 92-463) — Source Book: Legislative History, Texts, and
Other Documents. Committee Print. 95th Congress, second session. Washington:
GPO, 1978.
——. Government in the Sunshine Act: History and Recent Issues. Committee Print.
101st Congress, first session. Washington: GPO, 1989.
U.S. Department of Justice. Office of Information and Privacy. Freedom of Information
Act Guide, March 2007 Edition. Washington: GPO, 2007.
U.S. Department of Justice and U.S. General Services Administration. Your Right to
Federal Records: Questions and Answers on the Freedom of Information Act and
Privacy Act, May 2006. Washington: GSA Federal Citizen Information Center,
2006.
United States: A Primer
Wendy R. Ginsberg
Analyst in Government Organization and Management
January 16, 2013
Congressional Research Service
7-5700
www.crs.gov
97-71
CRS Report for Congress
Prepared for Members and Committees of Congress
c11173008
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Access to Government Information In the United States: A Primer
Summary
No provision in the U.S. Constitution expressly establishes a procedure for public access to
government records or meetings. Congress, however, has legislated various public access laws.
Among these laws are two records access statutes,
•
the Freedom of Information Act (FOI Act or FOIA; 5 U.S.C. § 552), and
•
the Privacy Act (5 U.S.C. § 552a),
and two meetings access statutes,
•
the Federal Advisory Committee Act (FACA; 5 U.S.C. App.), and
•
the Government in the Sunshine Act (5 U.S.C. § 552b).
These four laws provide the foundation for access to executive branch information in the
American federal government. The records-access statutes provide the public with a variety of
methods to examine how executive branch departments and agencies execute their missions. The
meeting-access statutes provide the public the opportunity to inform the policy process. These
four laws are also among the most used and most litigated federal access laws.
While the four statutes provide the public with access to executive branch federal records and
meetings, they do not apply to the legislative or judicial branches of the U.S. government. The
American separation of powers model of government provides a collection of formal and
informal methods that the branches can use to provide information to one another. Moreover, the
separation of powers anticipates conflicts over the accessibility of information. These conflicts
are neither unexpected nor necessarily destructive. Although there is considerable interbranch
cooperation in the sharing of information and records, such conflicts over access may continue on
occasion.
This report offers an introduction to the four access laws and provides citations to additional
resources related to these statutes. This report includes statistics on the use of FOIA and FACA
and on litigation related to FOIA. The 113th Congress may have an interest in overseeing the
implementation of these laws or may consider amending the laws. In addition, this report
provides some examples of the methods Congress, the President, and the Courts have employed
to provide or require the provision of information to one another. This report is a primer on
information access in the U.S. federal government and provides a list of resources related to
transparency, secrecy, access, and nondisclosure.
Congressional Research Service
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Access to Government Information In the United States: A Primer
Contents
History and Background .................................................................................................................. 1
Freedom of Information Act (5 U.S.C. § 552)........................................................................... 2
Federal Advisory Committee Act (5 U.S.C. App.) .................................................................... 3
Privacy Act (5 U.S.C. § 552a) ................................................................................................... 3
Government in the Sunshine Act (5 U.S.C. § 552b).................................................................. 4
Interbranch Access ........................................................................................................................... 4
Using the Information Access Laws ................................................................................................ 5
Statistics on Usage ..................................................................................................................... 5
FOIA ................................................................................................................................... 5
FACA .................................................................................................................................. 5
Litigation ................................................................................................................................... 5
Guides to Records Access ......................................................................................................... 6
Selected CRS Reports................................................................................................................ 7
Selected Additional Resources .................................................................................................. 8
Contacts
Author Contact Information............................................................................................................. 9
Acknowledgments ........................................................................................................................... 9
Congressional Research Service
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Access to Government Information In the United States: A Primer
History and Background
Throughout the first 150 years of the federal government, access to government information does
not appear to have been a major issue for the federal branches or the public. There were a few
instances during this period when the President, arguing the need to maintain the constitutional
independence and equality of his branch, vigorously resisted attempts by Congress and the courts
to obtain executive records.1 During this same era, an active federal public printing program was
established and effectively developed, making government documents more accessible.2
Following World War II, some information was available from certain federal departments and
agencies.3 The public availability of records held by the executive branch was limited by narrow
interpretation of the “housekeeping” statute of 1789 (now codified at 5 U.S.C. § 301), which
authorized the heads of departments to prescribe regulations regarding the custody, use, and
preservation of their agencies’ records, papers, and property of their entity. Prevailing law
tolerated this state of affairs, offering citizens no clear avenue of access to agency information.
Section 3(b) of the Administrative Procedure Act of 1946 (5 U.S.C. § 551) indicated that matters
of official record should be available to the public, but added that an agency could restrict access
to its documents “for good cause found” or “in the public interest.” These discretionary
authorities were relied upon to restrict the accessibility of unpublished agency records and
documents.
Some congressional panels began examining information access issues and seeking responsive
legislative solutions. Among these legislative responses were the creation of four statutes.
Two provide access to federal records:
•
the Freedom of Information Act (1966); and
•
the Privacy Act (1974);
Two provide access to federal meetings:
1
The powers of Congress to access executive-branch records date back to as early as 1790, when the House established
a select congressional committee to investigate the actions of former Superintendent of Finance Robert Morris. For
more information see 1 Annals of Cong. 1168 (February 8, 1790). See also United States v. Nixon, 418 U.S. 683, 711
(1974). In U.S. v. Nixon, the Court said that if the extent of the President’s interest in withholding information for the
purpose of confidentiality “relates to the effective discharge of a President’s powers, [the President’s interest] is
constitutionally based.” See also House Committee on the Judiciary, “House Judiciary Committee Releases Rove and
Miers Interview Transcripts and Over 5,400 Pages of Bush White House Documents,” at http://judiciary.house.gov/
news/090811.html.
2
Harold C. Relyea, American Federal Government Printing and Publication Reform: A Special Issue of Government
Publications, Part A; Research Articles (Oxford, England: Pergamon Press, 1982).
3
See U.S. Congress, Senate Committee on the Judiciary, Bills to Amend the Administrative Procedure Act, and for
Other Purposes, hearing on S. 1160, S. 1336, S. 1758, and S. 1879, May 12-14 and 21, 1965, 89th Cong., 1st sess.
(Washington: GPO, 1965). At the hearing, Chairman James O. Eastland stated the following:
Access to information about the activities of Government is crucial to the citizen’s ability to cope
with the bigness and complexity of Government today.… There is no validity therefore, to the
frequently heard argument that these [access to executive-branch information] proposals impinge
on executive privilege for they would not affect the proper exercise of authority of the President
and department heads. (p. 4)
Congressional Research Service
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Access to Government Information In the United States: A Primer
•
the Federal Advisory Committee Act (1972); and
•
the Government in the Sunshine Act (1976).
This report offers an overview of each of these statutes, including the boundaries of their
authority. This report then provides citations to additional resources on each of the laws.
Freedom of Information Act (5 U.S.C. § 552)
In 1966, Congress enacted the Freedom of Information Act (FOIA), the first law requiring public
access to executive branch information. Pursuant to the statute, FOIA does not apply to the
legislative or judicial branches of the federal government or to state, local, or tribal governments.
Legislative records were not included in the bill because Congress believed that its own
deliberations and proceedings were adequately subject to public observation.4 For example, the
Constitution explicitly permits each house of Congress to keep portions of its journal of
proceedings secret and disallows the questioning of Members of Congress “in any other Place”
regarding official speech or debate.5 Legislators also were satisfied with the openness of federal
court files and hearing rooms. Thus, the departments and agencies were the principal object of
government information access reform laws.
FOIA established, for any person—corporate or individual, citizen or otherwise—presumptive
access to existing, unpublished agency records on any topic.6 The law specifies nine categories of
information that may be exempted from the rule of disclosure. Agencies within the federal
intelligence community are prohibited from making any record available to a foreign government
or a representative of same pursuant to a FOIA request. Disputes over the accessibility of
requested records may be settled, according to the provisions of the act, in federal court or may be
mediated in the Office of Government Information Services (OGIS).7
Fees for search, review, or copying of materials may be imposed, while certain types of requesters
may be granted fee waivers or reductions.8 FOIA was amended in 1996 to provide for public
4
The committees that developed FOIA—the House Committee on Government Operations and the Senate Committee
on the Judiciary—were responding to perceived secrecy problems in the executive branch. Furthermore, these panels
had no jurisdiction over legislation concerning congressional operations. Thus, FOIA was created, approved, and
implemented with an executive branch focus. For more information on the limitations of FOIA applicability see Harold
C. Relyea, “Congress and Freedom of Information: A Retrospective and a Look at the Current Issue,” Government
Information Quarterly, vol. 26 (2009), pp. 437-440. For a more detailed examination of transparency and access in the
executive branch see CRS Report R42817, Government Transparency and Secrecy: An Examination of Meaning and
Its Use in the Executive Branch, by Wendy Ginsberg et al.
5
The U.S. Constitution, Article I, Section 6, at http://www.archives.gov/exhibits/charters/constitution_transcript.html.
6
For more detail on FOIA, see CRS Report R41933, Freedom of Information Act (FOIA): Background and Policy
Options for the 112th Congress, by Wendy Ginsberg.
7
5 U.S.C. § 552(4)(B). See U.S. Congress, House Committee on Government Reform, A Citizen’s Guide on Using the
Freedom of Information Act and the Privacy Act of 1974 to Request Government Records, H.Rept. 112-689, 112th
Cong., 2nd sess. (Washington: GPO, 2012), at http://oversight.house.gov/wp-content/uploads/2012/09/Citizens-Guideon-Using-FOIA.2012.pdf. OGIS began operating in September 2009. It was statutorily created in the OPEN
Government Act of 2007 (P.L. 110-175). Prior to its creation, the only method of challenging an agency’s
interpretation of FOIA (beyond the agency’s internal appeal process) was through the court system.
8
5 U.S.C. § 552(h)(3).
Congressional Research Service
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Access to Government Information In the United States: A Primer
access to information in an electronic form or format. These amendments are often referred to as
e-FOIA.9 In 2007, FOIA was further amended to
•
redefine qualifications for fee waivers for those seeking records,
•
require the National Archives and Records Administration to create offices of
inspector general (OIGs) to act as a centralized FOIA oversight office and FOIA
dispute mediator, and
•
require agencies to create tracking systems that allow requesters to determine the
status of their information requests, among other modifications.10
Federal Advisory Committee Act (5 U.S.C. App.)
A 1972 statute, the Federal Advisory Committee Act (FACA) requires that the meetings of all
federal advisory committees serving executive branch entities be open to public observation and
that all committee records be accessible to the public. FACA was designed to eliminate
duplication of committee expertise and make advisory bodies in the executive branch more
transparent. Committees that fit certain FACA criteria are governed by FACA’s guidelines.11
Congress can decide, however, to place some or all FACA requirements on a body that it
statutorily created.12
The statute specifies certain categories of records and debate—identical to the record exemptions
in FOIA—that permit a committee to hold meetings that are not accessible to the public or
authorize agencies to withhold certain committee records from release.13 Disputes over the proper
public notice for a committee meeting or the closing of a session may be pursued in federal court.
Privacy Act (5 U.S.C. § 552a)
Legislated in 1974, the Privacy Act provides U.S. citizens or permanent resident aliens
presumptive access to personally identifiable files on themselves held by federal agencies—
generally excepting law enforcement and intelligence entities. The statute specifies seven types of
information that may be exempted from the rule of access. 14 Where a file subject contends that a
record contains inaccurate information about that individual, the act allows correction through a
request to the agency that possesses the record. Disputes over the accessibility or accuracy of
personally identifiable files may be pursued in federal court.
9
5 U.S.C. § 552 note.
P.L. 110-175; 121 Stat. 2524.
11
41 C.F.R. Appendix to Subpart A of § 102-3.
12
For more information on FACA, see CRS Report R40520, Federal Advisory Committees: An Overview, by Wendy
Ginsberg.
13
FACA cites 5 U.S.C. § 552(b), which is the section of the U.S. Code that states which records are exempted from
FOIA.
14
5 U.S.C. § 552a(j) and 5 U.S.C. § 552a(k). Privacy Act exemptions are similar to FOIA’s exemptions, but include
other exemptions, such as information maintained to protect the President and information “required by statute to be
maintained and used solely as statistical records.”
10
Congressional Research Service
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Access to Government Information In the United States: A Primer
Government in the Sunshine Act (5 U.S.C. § 552b)
Enacted in 1976, the Government in the Sunshine Act is intended to open the policymaking
deliberations of any agency headed by a “collegial body”15—such as boards, commissions, or
councils—to public scrutiny. Pursuant to the statute, agencies are required to publish advance
notice of impending meetings and make those meetings publicly accessible.16 The act includes ten
conditions under which agency meetings are to be exempted from the act.17 Disputes over proper
public notice of such meetings or the propriety of closing a deliberation may be pursued in federal
court.
Interbranch Access
Congress routinely requests non-public information from executive branch agencies. When
agencies resist these requests, Congress has formal and informal methods of encouraging or
requiring agencies to comply.18 Language within FOIA explicitly states that the statute does not
permit agencies to withhold information from Congress. In general, an agency’s dispute with the
legislature over access to information are often resolved through negotiation—reduction of the
quantity of records initially sought, substitution of other information, alternative delivery
mechanisms, or limitation of the number of individuals who will examine materials provided by
another branch. Congress could use its “power of the purse” and the Senate could use its advice
and consent power to leverage its information access demands.
Federal courts rely upon a spirit of justice and fair play to sustain their orders for the production
of information by another branch. In view of the American separation of powers model of
government, such conflicts among the three branches neither unexpected nor necessarily
destructive—and probably will continue to occur.
Both Congress and the judiciary have subpoena powers that can compel the production of
materials by another branch. Subpoenas, however, are usually only issued after other methods of
securing requested information have been unsuccessful. Even subpoenas, however, have
sometimes been resisted. In 1974, for example, a special prosecutor sought certain documents and
tape recordings (known as the Watergate Tapes) that President Richard Nixon initially refused to
provide, citing that they were protected by executive privilege. The Supreme Court, in United
States v. Nixon, rejected the President’s claim of absolute executive privilege over the items
sought, finding the competing judicial interest of the special prosecutor more compelling.19
15
5 U.S.C. § 552b(a)(1) defines “collegial body” as “composed of two or more individual members, a majority of
whom are appointed to such position by the President with the advice and consent of the Senate, and any subdivision
thereof authorized to act on behalf of the agency.”
16
5 U.S.C. § 552b(e)(3).
17
5 U.S.C. § 552b(c). These exemptions are similar to FOIA’s exemptions.
18
For example, on March 31, 2004, Senator Jim Jeffords, the then-Senate Committee on Environment and Public
Works minority ranking member, said at a hearing that he was having difficulty acquiring documents from the
Environmental Protection Agency even though he and the committee chairman had drafted a letter to the agency
requesting that it respond to requests from either member. U.S. Congress, Senate Committee on Environment and
Public Works, Nominations of the 108th Congress, 2nd Session, 108th Cong., 2nd sess., March 31, 2004, S.Hrg. 108-500
(Washington: GPO, 2004), pp. 3-4.
19
418 U.S. 683 (1974). See also, CRS Report R42670, Presidential Claims of Executive Privilege: History, Law,
(continued...)
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Using the Information Access Laws
Statistics on Usage
FOIA
FOIA requires each federal agency to submit a report on or before February 1 each year to the
Attorney General describing the agency’s freedom of information workload. Annual reports from
all of the departments and agencies are posted on the Internet by the U.S. Department of Justice at
http://www.justice.gov/oip/reports.html.20 In March 2011, DOJ launched FOIA.gov, a government
portal to explore data on the administration of FOIA in executive branch agencies. The portal uses
the data agencies provide in their annual FOIA reports to allow users to compare among agencies
the number of requests they receive, answer, deny, have appealed, and the average number of
days it takes to respond to a request. According to FOIA.gov, in FY2011, the federal government
received 644,165 FOIA requests—46,750 more than in FY2010. In FY2011, the federal
government had 83,490 “backlogged”21 FOIA requests, nearly 14,000 more backlogged requests
than in FY2010. The Department of Homeland Security (DHS) received 175,656 requests in
FY2011, more than any other agency.22 DHS also had the greatest number of backlogged requests
with 42,417 in FY2011, more than 50% of all backlogged FOIA requests.23
FACA
According to the FACA Database, which is hosted by the General Services Administration, 1,029
active advisory committees operated in FY2011,24 costing more than $395 million.25
Litigation
A certain number of requests for information under the various access to information acts result in
judicial action. The Administrative Office of the U.S. Courts provides statistical information on
the number of FOIA cases filed in U.S. District Courts in its compendium, Judicial Business of
(...continued)
Practice, and Recent Developments, by Todd Garvey and Alissa M. Dolan
20
Data from the individual annual reports, which are posted on the Department of Justice website, are summarized in
DOJ’s “Summary of Annual FOIA Reports,” available at http://www.justice.gov/oip/reports.html.
21
DOJ defines “backlog” as “[t]he number of requests or administrative appeals that are pending beyond the statutory
time period for a response.” See Department of Justice, “FOIA.gov: Glossary,” at http://www.foia.gov/glossary.html.
22
According to FOIA.gov, the Department of Defense received the second highest number of FOIA requests in
FY2011 with 74,117—101,539 fewer requests than DHS.
23
See http://www.FOIA.gov.
24
U.S. General Services Administration, Federal Advisory Committees Database, Government Statistics, FY2011, at
http://fido.gov/facadatabase/rptgovtstats.asp. Data for each fiscal year are not validated by GSA until early in the next
calendar year (usually in January or February of the following year).
25
U.S. General Services Administration, Federal Advisory Committees Database, FY2011 Government Totals, at
http://fido.gov/facadatabase/rptgovttotals.asp.
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the United States Courts.26 According to that report, 388 cases related to FOIA commenced in
U.S. District Courts in FY2011 (30.2% more than the 298 cases reported in FY2010).27
The Transitional Access Web Clearinghouse (TRAC), a “data gathering, data research and data
distribution organization at Syracuse University”28 maintains a website entitle FOIAProject.org
that tracks federal FOIA-related lawsuits around the country. According to TRAC’s research,
which was not vetted by CRS, in FY2012, 313 FOIA lawsuits were filed in U.S. District Court.29
Also in FY2012, TRAC found that 555 FOIA cases were pending in U.S. District Court.30
Judicial Watch, a public interest group that seeks to promote transparency in government, has
posted information about its own lawsuits under “The Docket.”31 Citizens for Responsibility and
Ethics in Washington, a nonprofit organization that seeks to promote government accountability,
has a webpage devoted to lawsuits in which it is involved.32 EPIC, a public interest nonprofit that
focuses on civil liberties and privacy issues, also has a webpage devoted to FOIA-related
litigation.33
Guides to Records Access
Individuals, groups, and organizations all possess a right to access some government information.
Both government and private groups publish guides to the information acts in paper and on the
Internet as well.
The U.S. House of Representatives Committee on Government Reform has published several
editions of its report, A Citizen’s Guide on Using the Freedom of Information Act and the Privacy
Act of 1974 to Request Government Records—most recently in September 2012.34 In addition to
26
The Office of Thomas F. Hogan, Director of the Statistics Division at the Office of Justice Programs, “Judicial
Business of the United States Courts,” at http://www.uscourts.gov/uscourts/Statistics/JudicialBusiness/2011/
JudicialBusiness2011.pdf
27
Ibid., p. 127 (Table C-2).
28
Transitional Access Web Clearinghouse, “About Us,” at http://trac.syr.edu/aboutTRACgeneral.html.
29
This total was calculated by taking the total number of reported FOIA lawsuit filings in FY2012 (335) and
subtracting the number of lawsuits filed in which the defendant organization was listed as “not a federal agency [22].”
See The FOIA Project, “FOIA Lawsuits,” at http://trac.syr.edu/phptools/foiaproject/lawsuit/. According to the FOIA
Project’s website, the “not a federal agency” category “reflects cases where no federal agency (or federal official sued
in his/her official capacity) was named as a defendant in the suit even though the nature of the suit for the case had
been classified under the FOIA category. Sometimes these involved pro se cases filed by individuals without an
attorney where the records being sought were from some nonfederal governmental body—such as a state agency or a
local police or sheriff’s department. In other cases, while a federal body was sued it wasn’t subject to FOIA—for
example, federal courts or Congress itself. Finally, in some cases, there was ambiguity over whether a particular federal
body was subject to FOIA.” Emphasis in original. See The FOIA Project, “FOIA Lawsuits—About the Data,” at
http://foiaproject.org/foia-lawsuits-about-the-data/.
30
Ibid. This total was calculated by taking the total number of reported pending FOIA lawsuits (571) and subtracting
the number of lawsuits pending in which the defendant organization was listed as “not a federal agency [16].”
31
Judicial Watch, “The Docket,” at http://www.judicialwatch.org/the-docket/.
32
Citizens Against Government Waste, “FOIA Requests: Legal Filings,” at http://www.citizensforethics.org/pages/
category-results/c/foia-requests2.
33
EPIC, “Litigation Docket,” at http://epic.org/privacy/litigation/.
34
U.S. Congress, House Committee on Government Reform, A Citizen’s Guide on Using the Freedom of Information
Act and the Privacy Act of 1974 to Request Government Records, H.Rept. 112-689, 112th Cong., 2nd sess. (Washington:
GPO, 2012), at http://oversight.house.gov/wp-content/uploads/2012/09/Citizens-Guide-on-Using-FOIA.2012.pdf.
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the text of the acts, the Citizen’s Guide contains descriptions and explanations, sample document
request forms, and bibliographies of related congressional and non-congressional material.
The Office of Government Information Services (OGIS), which began operations in 2009, hosts a
webpage that provides “tips and tools” to agencies and requesters. The website includes best
practices for making FOIA requests, information on FOIA training for agency administrators,
information on how agencies can work with OGIS, and FOIA contacts at agencies for
requesters.35
The General Services Administration’s Federal Citizen Information Center publishes Your Right
To Federal Records: Questions and Answers on the Freedom of Information Act and Privacy
Act.36 Like the Citizen’s Guide, this publication contains explanations, samples, and texts,
although in less detail than found in the Citizen’s Guide.
The Department of Justice (DOJ) is responsible for overseeing and coordinating administration of
the Freedom of Information Act. DOJ’s Office of Information Policy maintains online extensive
material about FOIA, statistics on its usage, guidelines for making requests, and freedom of
information contacts at other federal agencies.37
Among many non-governmental groups that publish information about freedom of information
are Public Citizen and the National Security Archive. Public Citizen, a nonprofit organization that
represents a variety of citizen interests,38 maintains a website that provides FOIA resources and
information.39 The National Security Archive, a collective of journalists and scholars who “check
rising government secrecy,”40 maintains a website that contains a number of FOIA guides,
including, “Effective FOIA Requesting for Everyone: A National Security Archive Guide,” which
was published in January 2008.41
Records on each of the active federal advisory bodies is available on the General Services
Administration’s FACA Database.42 The website includes each committee’s charter, information
on the members of each committee and their contact information, and cumulative data on the cost
of federal advisory bodies.
Selected CRS Reports
CRS Report R40520, Federal Advisory Committees: An Overview, by Wendy Ginsberg.
35
Office of Government Information Services, “OGIS Toolbox,” at https://ogis.archives.gov/ogis-toolbox.htm.
U.S. General Services Administration, “Your Right to Federal Records,” at http://www.pueblo.gsa.gov/cic_text/
fed_prog/foia/foia.pdf.
37
U.S. Department of Justice, “Office of Information Policy Home,” at http://www.justice.gov/oip/index.html.
38
Public Citizen, “About Us,” at http://www.citizen.org/Page.aspx?pid=2306.
39
Public Citizen, “Freedom of Information Act and Government Transparency,” at http://www.citizen.org/Page.aspx?
pid=3194.
40
The National Security Archives, “About the National Security Archive,” at http://www.gwu.edu/~nsarchiv/nsa/
the_archive.html.
41
National Security Archive, “Effective FOIA Requesting for Everyone: A National Security Archive Guide,” at at
http://www.gwu.edu/~nsarchiv/nsa/foia/foia_guide/foia_guide_full.pdf.
42
U.S. General Services Administration, “Federal Advisory Committee Act Database,” at http://fido.gov/facadatabase/.
36
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CRS Report R41933, Freedom of Information Act (FOIA): Background and Policy Options for
the 112th Congress, by Wendy Ginsberg.
CRS Report R41406, The Freedom of Information Act and Nondisclosure Provisions in Other
Federal Laws , by Gina Stevens
CRS Report WSLG93, The Freedom of Information Act (FOIA) and the Drone Strikes Program,
by Gina Stevens.
CRS Report R42080, Fannie Mae, Freddie Mac, and FOIA: Information Access Policy for the
Government-Sponsored Enterprises, by Wendy Ginsberg and N. Eric Weiss.
CRS Report R40238, The Presidential Records Act: Background and Recent Issues for Congress,
by Wendy Ginsberg.
CRS Report RL33502, Protection of National Security Information, by Jennifer K. Elsea.
CRS Report R41741, The State Secrets Privilege: Preventing the Disclosure of Sensitive National
Security Information During Civil Litigation, by Todd Garvey and Edward C. Liu.
CRS Report RL30240, Congressional Oversight Manual, by Todd Garvey et al.
CRS Report R42817, Government Transparency and Secrecy: An Examination of Meaning and
Its Use in the Executive Branch, by Wendy Ginsberg et al.
Selected Additional Resources
Sam Archibald, “The Early Years of the Freedom of Information Act—1955 to 1974,” PS:
Political Science and Politics, vol. 26, no. 4 (1993), pp. 726-731.
Richard K. Berg, Stephen H. Klitzman, and Gary J. Edles, An Interpetive Guide to the Goverment
In the Sunshine Act, 2nd ed. (Chicago: American Bar Association, 2005).
Herbert N. Foerstel, Freedom of Information and the Right to Know: The Origins and
Applications of the Freedom of Information Act (Westport, CT: Greenwood Press, 1999).
Harry A. Hammitt, Marc Rotenberg, and John A. Verdi, et al., Litigation Under the Federal Open
Government Laws 2008: Covering the Freedom of Information Act, the Privacy Act, the
Government in the Sunshine Act, and the Federal Advisory Committee Act, 24th ed (Washington,
DC: EPIC Publications, 2008).
Harry A. Hammitt, Access Reports: Freedom of Information, at http://www.accessreports.com/.
Daniel N. Hoffman, Governmental Secrecy and the Founding Fathers: A Study in Constitutional
Controls (Westport, CT: Greenwood Press, 1981).
U.S. Congress, House, Committee on Government Reform, A Citizen’s Guide on Using the
Freedom of Information Act and the Privacy Act of 1974 to Request Government Records,
H.Rept, 112-698, September 2012, at http://oversight.house.gov/wp-content/uploads/2012/09/
Citizens-Guide-on-Using-FOIA.2012.pdf.
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U.S. Congress. Senate, Committee on Governmental Affairs, Federal Advisory Committee Act
(Public Law 92-463)—Source Book: Legislative History, Texts, and Other Document,. Committee
Print. 95th Congress, second session, Washington: GPO, 1978.
U.S. Department of Justice, 2011 FOIA Litigation and Compliance Reports, at
http://www.justice.gov/oip/11introduction.html.
U.S. Department of Justice, FOIA Reference Guide (January 2010), Washington, DC, 2010,
http://www.justice.gov/oip/04_3.html.
U.S. Department of Justice, Guide to the Freedom of Information Act, (2009 Edition), at
http://www.justice.gov/oip/foia_guide09.htm.
U.S. Department of Justice and U.S. General Services Administration, Your Right to Federal
Records: Questions and Answers on the Freedom of Information Act and Privacy Act, 2011,
Washington: GSA’s Federal Citizen Information Center, 2011, at http://publications.usa.gov/
USAPubs.php?PubID=6080.
Author Contact Information
Wendy R. Ginsberg
Analyst in Government Organization and
Management
wginsberg@crs.loc.gov, 7-3933
Acknowledgments
Parts of this report were originally written by Harold C. Relyea, who has since retired from the Congressional Research
Service.
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