---
kind: "range"
citation: "5 U.S.C. §§ 551–559"
title: "5"
from: "551"
to: "559"
count: 11
release: "119-102"
url: "https://uscodex.org/usc/5/551..559"
---

# §551. Definitions


For the purpose of this subchapter—

- (1) “agency” means each [authority](/usc/5/7103.md?p=a-6) of the Government of the United States, whether or not it is within or subject to review by another agency, but does not include—
  - (A) the Congress;
  - (B) the courts of the United States;
  - (C) the governments of the territories or possessions of the United States;
  - (D) the government of the District of Columbia;

  or except as to the requirements of [section 552 of this title](/usc/5/552.md)—

  - (E) [agencies](#1) composed of representatives of the [parties](#3) or of representatives of organizations of the [parties](#3) to the disputes determined by them;
  - (F) courts martial and military commissions;
  - (G) military [authority](/usc/5/7103.md?p=a-6) exercised in the field in time of war or in occupied territory; or
  - (H) functions conferred by sections [1738](/usc/12/1738.md), [1739](/usc/12/1739.md), [1743](/usc/12/1743.md), and [1744](/usc/12/1744.md) of title 12; subchapter II of [chapter 471](/usc/49/chstVII-ptB-ch471.md) of title 49; or sections [1884](/usc/12/1884.md), 1891–1902, and former section 1641(b)(2), of [title 50](/usc/50.md), appendix;[^1]
- (2) “person” includes an individual, partnership, corporation, association, or public or private organization other than an [agency](#1);
- (3) “party” includes a [person](#2) or [agency](#1) named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an [agency proceeding](#12), and a [person](#2) or [agency](#1) admitted by an [agency](#1) as a party for limited purposes;
- (4) “rule” means the whole or a part of an [agency](#1) statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law or policy or describing the organization, procedure, or practice requirements of an [agency](#1) and includes the approval or prescription for the future of rates, wages, corporate or financial structures or [reorganizations](/usc/5/902.md?p=2) thereof, prices, facilities, appliances, [services](/usc/5/8331.md?p=12) or allowances therefor or of valuations, costs, or accounting, or practices bearing on any of the foregoing;
- (5) “rule making” means [agency](#1) process for formulating, amending, or repealing a rule;
- (6) “order” means the whole or a part of a final disposition, whether affirmative, negative, injunctive, or declaratory in form, of an [agency](#1) in a matter other than [rule making](#5) but including [licensing](#9);
- (7) “adjudication” means [agency](#1) process for the formulation of an [order](#6);
- (8) “license” includes the whole or a part of an [agency](#1) permit, certificate, approval, registration, charter, membership, statutory exemption or other form of permission;
- (9) “licensing” includes [agency](#1) process respecting the grant, renewal, denial, revocation, [suspension](/usc/5/7541.md?p=2), annulment, withdrawal, limitation, amendment, modification, or conditioning of a [license](#8);
- (10) “sanction” includes the whole or a part of an [agency](#1)—
  - (A) prohibition, requirement, limitation, or other condition affecting the freedom of a [person](#2);
  - (B) withholding of [relief](#11);
  - (C) imposition of penalty or fine;
  - (D) destruction, taking, seizure, or withholding of property;
  - (E) assessment of damages, reimbursement, restitution, compensation, costs, charges, or fees;
  - (F) requirement, revocation, or [suspension](/usc/5/7541.md?p=2) of a [license](#8); or
  - (G) taking other compulsory or restrictive action;
- (11) “relief” includes the whole or a part of an [agency](#1)—
  - (A) grant of money, assistance, [license](#8), [authority](/usc/5/7103.md?p=a-6), exemption, exception, privilege, or remedy;
  - (B) recognition of a claim, right, immunity, privilege, exemption, or exception; or
  - (C) taking of other action on the application or petition of, and beneficial to, a [person](#2);
- (12) “agency proceeding” means an [agency](#1) process as defined by paragraphs [(5)](#5), [(7)](#7), and [(9)](#9) of this section;
- (13) “agency action” includes the whole or a part of an [agency](#1) rule, [order](#6), [license](#8), [sanction](#10), [relief](#11), or the equivalent or denial thereof, or failure to act; and
- (14) “ex parte communication” means an oral or written communication not on the public record with respect to which reasonable prior notice to all [parties](#3) is not given, but it shall not include requests for status reports on any matter or proceeding covered by this subchapter.

# §552. Public information; agency rules, opinions, orders, records, and proceedings

- (a) Each [agency](/usc/5/551.md?p=1) shall make available to the public information as follows:
  - (1) Each [agency](/usc/5/551.md?p=1) 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](/usc/5/5361.md?p=1) (and in the case of a uniformed [service](/usc/5/8331.md?p=12), the [members](/usc/5/5531.md?p=1)) 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](/usc/5/551.md?p=1); and
    - (E) each amendment, revision, or repeal of the foregoing.

    Except to the extent that a [person](/usc/5/551.md?p=2) has actual and timely notice of the terms thereof, a [person](/usc/5/551.md?p=2) 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](/usc/5/551.md?p=2) 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](/usc/5/551.md?p=1), in accordance with published rules, shall make available for public inspection in an electronic format—
    - (A) final opinions, including concurring and dissenting opinions, as well as [orders](/usc/5/551.md?p=6), made in the [adjudication](/usc/5/551.md?p=7) of cases;
    - (B) those statements of policy and interpretations which have been adopted by the [agency](/usc/5/551.md?p=1) and are not published in the Federal Register;
    - (C) administrative staff manuals and instructions to staff that affect a [member](/usc/5/5531.md?p=1) of the public;
    - (D) copies of all records, regardless of form or format—
      - (i) that have been released to any [person](/usc/5/551.md?p=2) under [paragraph (3)](#a-3); and
      - (ii)
        - (I) that because of the nature of their subject matter, the [agency](/usc/5/551.md?p=1) determines have become or are likely to become the subject of subsequent requests for substantially the same records; or
        - (II) that have been requested 3 or more times; and
    - (E) a general index of the records referred to under [subparagraph (D)](#a-2-D);

    unless the materials are promptly published and copies offered for sale. For records created on or after November 1, 1996, within one year after such date, each [agency](/usc/5/551.md?p=1) shall make such records available, including by computer telecommunications or, if computer telecommunications means have not been established by the [agency](/usc/5/551.md?p=1), by other electronic means. To the extent required to prevent a clearly unwarranted invasion of personal privacy, an [agency](/usc/5/551.md?p=1) may delete identifying details when it makes available or publishes an opinion, statement of policy, interpretation, staff manual, instruction, or copies of records referred to in [subparagraph (D)](#a-2-D). However, in each case the justification for the deletion shall be explained fully in writing, and the extent of such deletion shall be indicated on the portion of the record which is made available or published, unless including that indication would harm an interest protected by the exemption in [subsection (b)](#b) under which the deletion is made. If technically feasible, the extent of the deletion shall be indicated at the place in the record where the deletion was made. Each [agency](/usc/5/551.md?p=1) shall also maintain and make available for public inspection in an electronic format 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](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=6) published in the Federal Register that the publication would be unnecessary and impracticable, in which case the [agency](/usc/5/551.md?p=1) shall nonetheless provide copies of such index on request at a cost not to exceed the direct cost of duplication. Each [agency](/usc/5/551.md?p=1) shall make the index referred to in [subparagraph (E)](#a-2-E) available by computer telecommunications by December 31, 1999. A final [order](/usc/5/551.md?p=6), opinion, statement of policy, interpretation, or staff manual or instruction that affects a [member](/usc/5/5531.md?p=1) of the public may be relied on, used, or cited as precedent by an [agency](/usc/5/551.md?p=1) against a [party](/usc/5/551.md?p=3) other than an [agency](/usc/5/551.md?p=1) only if—

    - (i) it has been indexed and either made available or published as provided by this paragraph; or
    - (ii) the [party](/usc/5/551.md?p=3) has actual and timely notice of the terms thereof.
  - (3)
    - (A) Except with respect to the records made available under paragraphs (1) and (2) of this subsection, and except as provided in [subparagraph (E)](#a-3-E), each [agency](/usc/5/551.md?p=1), upon any request for records which (i) reasonably describes such records and (ii) is made in accordance with published rules stating the time, place, fees (if any), and procedures to be followed, shall make the records promptly available to any [person](/usc/5/551.md?p=2).
    - (B) In making any record available to a [person](/usc/5/551.md?p=2) under this paragraph, an [agency](/usc/5/551.md?p=1) shall provide the record in any form or format requested by the [person](/usc/5/551.md?p=2) if the record is readily reproducible by the [agency](/usc/5/551.md?p=1) in that form or format. Each [agency](/usc/5/551.md?p=1) shall make reasonable efforts to maintain its records in forms or formats that are reproducible for purposes of this section.
    - (C) In responding under this paragraph to a request for records, an [agency](/usc/5/551.md?p=1) shall make reasonable efforts to [search](#a-3-D) for the records in electronic form or format, except when such efforts would significantly interfere with the operation of the [agency](/usc/5/551.md?p=1)’s automated information system.
    - (D) For purposes of this paragraph, the term “search” means to review, manually or by automated means, [agency](/usc/5/551.md?p=1) records for the purpose of locating those records which are responsive to a request.
    - (E) An [agency](/usc/5/551.md?p=1), or part of an [agency](/usc/5/551.md?p=1), that is an element of the intelligence community (as that term is defined in section 3(4) of the National Security Act of 1947 ([50 U.S.C. 401a(4)](/usc/50/401a.md)))[^1] shall not make any record available under this paragraph to—
      - (i) any government entity, other than a State, territory, commonwealth, or district of the United States, or any subdivision thereof; or
      - (ii) a representative of a government entity described in [clause (i)](#a-3-E-i).
  - (4)
    - (A)
      - (i) In [order](/usc/5/551.md?p=6) to carry out the provisions of this section, each [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1).
      - (ii) Such [agency](/usc/5/551.md?p=1) 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](#a-4-A-ii); and
        - (III) for any request not described in (I) or (II), fees shall be limited to reasonable standard charges for document search and duplication.

        In this clause, the term “a representative of the news media” means any [person](/usc/5/551.md?p=2) or entity that gathers information of potential interest to a segment of the public, uses its editorial skills to turn the raw materials into a distinct work, and distributes that work to an audience. In this clause, the term “news” means information that is about current events or that would be of current interest to the public. Examples of news-media entities are television or radio stations broadcasting to the public at large and publishers of periodicals (but only if such entities qualify as disseminators of “news”) who make their products available for purchase by or subscription by or free distribution to the general public. These examples are not all-inclusive. Moreover, as methods of news delivery evolve (for example, the adoption of the electronic dissemination of newspapers through telecommunications [services](/usc/5/8331.md?p=12)), such alternative media shall be considered to be news-media entities. A freelance journalist shall be regarded as working for a news-media entity if the journalist can demonstrate a solid basis for expecting publication through that entity, whether or not the journalist is actually employed by the entity. A publication contract would present a solid basis for such an expectation; the Government may also consider the past publication record of the requester in making such a determination.

      - (iii) Documents shall be furnished without any charge or at a charge reduced below the fees established under [clause (ii)](#a-4-A-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](/usc/5/551.md?p=1) 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)](#a-4-A-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](/usc/5/551.md?p=1) may require advance payment of any fee unless the requester has previously failed to pay fees in a timely fashion, or the [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1).
      - (viii)
        - (I) Except as provided in [subclause (II)](#a-4-A-viii-II), an [agency](/usc/5/551.md?p=1) shall not assess any search fees (or in the case of a requester described under clause (ii)(II) of this subparagraph, duplication fees) under this subparagraph if the [agency](/usc/5/551.md?p=1) has failed to comply with any time limit under [paragraph (6)](#a-6).
        - (II)
          - (aa) If an [agency](/usc/5/551.md?p=1) has determined that unusual circumstances apply (as the term is defined in [paragraph (6)(B)](#a-6-B)) and the [agency](/usc/5/551.md?p=1) provided a timely written notice to the requester in accordance with [paragraph (6)(B)](#a-6-B), a failure described in [subclause (I)](#a-4-A-viii-I) is excused for an additional 10 days. If the [agency](/usc/5/551.md?p=1) fails to comply with the extended time limit, the [agency](/usc/5/551.md?p=1) may not assess any search fees (or in the case of a requester described under clause (ii)(II) of this subparagraph, duplication fees).
          - (bb) If an [agency](/usc/5/551.md?p=1) has determined that unusual circumstances apply and more than 5,000 pages are necessary to respond to the request, an [agency](/usc/5/551.md?p=1) may charge search fees (or in the case of a requester described under clause (ii)(II) of this subparagraph, duplication fees) if the [agency](/usc/5/551.md?p=1) has provided a timely written notice to the requester in accordance with [paragraph (6)(B)](#a-6-B) and the [agency](/usc/5/551.md?p=1) has discussed with the requester via written mail, electronic mail, or telephone (or made not less than 3 good-faith attempts to do so) how the requester could effectively limit the scope of the request in accordance with [paragraph (6)(B)(ii)](#a-6-B-ii).
          - (cc) If a court has determined that exceptional circumstances exist (as that term is defined in [paragraph (6)(C)](#a-6-C)), a failure described in [subclause (I)](#a-4-A-viii-I) shall be excused for the length of time provided by the court [order](/usc/5/551.md?p=6).
    - (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](/usc/5/551.md?p=1) records are situated, or in the District of Columbia, has jurisdiction to enjoin the [agency](/usc/5/551.md?p=1) from withholding [agency](/usc/5/551.md?p=1) records and to [order](/usc/5/551.md?p=6) the production of any [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) 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)](#b) of this section, and the burden is on the [agency](/usc/5/551.md?p=1) to sustain its action. In addition to any other matters to which a court accords substantial weight, a court shall accord substantial weight to an affidavit of an [agency](/usc/5/551.md?p=1) concerning the [agency](/usc/5/551.md?p=1)’s determination as to technical feasibility under [paragraph (2)(C)](#a-2-C) and [subsection (b)](#b) and reproducibility under [paragraph (3)(B)](#a-3-B).
    - (C) Notwithstanding any other provision of law, the defendant shall serve an answer or otherwise plead to any complaint made under this subsection within thirty days after [service](/usc/5/8331.md?p=12) 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, § 402(2), Nov. 8, 1984, 98 Stat. 3357.
    - (E)
      - (i) 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.
      - (ii) For purposes of this subparagraph, a complainant has substantially prevailed if the complainant has obtained [relief](/usc/5/551.md?p=11) through either—
        - (I) a judicial [order](/usc/5/551.md?p=6), or an enforceable written agreement or consent decree; or
        - (II) a voluntary or unilateral change in [position](/usc/5/5531.md?p=2) by the [agency](/usc/5/551.md?p=1), if the complainant’s claim is not insubstantial.
    - (F)
      - (i) Whenever the court [orders](/usc/5/551.md?p=6) the production of any [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) 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](/usc/5/5361.md?p=1) 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](/usc/5/7103.md?p=a-6) of the [agency](/usc/5/551.md?p=1) concerned and shall send copies of the findings and recommendations to the officer or [employee](/usc/5/5361.md?p=1) or his representative. The administrative [authority](/usc/5/7103.md?p=a-6) shall take the corrective action that the Special Counsel recommends.
      - (ii) The Attorney General shall—
        - (I) notify the Special Counsel of each civil action described under the first sentence of [clause (i)](#a-4-F-i); and
        - (II) annually submit a report to Congress on the number of such civil actions in the preceding year.
      - (iii) The Special Counsel shall annually submit a report to Congress on the actions taken by the Special Counsel under [clause (i)](#a-4-F-i).
    - (G) In the event of noncompliance with the [order](/usc/5/551.md?p=6) of the court, the district court may punish for contempt the responsible [employee](/usc/5/5361.md?p=1), and in the case of a uniformed [service](/usc/5/8331.md?p=12), the responsible [member](/usc/5/5531.md?p=1).
  - (5) Each [agency](/usc/5/551.md?p=1) having more than one [member](/usc/5/5531.md?p=1) shall maintain and make available for public inspection a record of the final votes of each [member](/usc/5/5531.md?p=1) in every [agency](/usc/5/551.md?p=1) proceeding.
  - (6)
    - (A) Each [agency](/usc/5/551.md?p=1), upon any request for records made under paragraph (1), (2), or (3) of this subsection, shall—
      - (i) determine within 20 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](/usc/5/551.md?p=2) making such request of—
        - (I) such determination and the reasons therefor;
        - (II) the right of such [person](/usc/5/551.md?p=2) to seek assistance from the FOIA Public Liaison of the [agency](/usc/5/551.md?p=1); and
        - (III) in the case of an adverse determination—
          - (aa) the right of such [person](/usc/5/551.md?p=2) to appeal to the head of the [agency](/usc/5/551.md?p=1), within a period determined by the head of the [agency](/usc/5/551.md?p=1) that is not less than 90 days after the date of such adverse determination; and
          - (bb) the right of such [person](/usc/5/551.md?p=2) to seek dispute resolution [services](/usc/5/8331.md?p=12) from the FOIA Public Liaison of the [agency](/usc/5/551.md?p=1) or the Office of Government Information [Services](/usc/5/8331.md?p=12); 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](/usc/5/551.md?p=1) shall notify the [person](/usc/5/551.md?p=2) making such request of the provisions for judicial review of that determination under paragraph (4) of this subsection.

      The 20-day period under [clause (i)](#a-6-A-i) shall commence on the date on which the request is first received by the appropriate component of the [agency](/usc/5/551.md?p=1), but in any event not later than ten days after the request is first received by any component of the [agency](/usc/5/551.md?p=1) that is designated in the [agency](/usc/5/551.md?p=1)’s regulations under this section to receive requests under this section. The 20-day period shall not be tolled by the [agency](/usc/5/551.md?p=1) except—

      - (I) that the [agency](/usc/5/551.md?p=1) may make one request to the requester for information and toll the 20-day period while it is awaiting such information that it has reasonably requested from the requester under this section; or
      - (II) if necessary to clarify with the requester issues regarding fee assessment. In either case, the [agency](/usc/5/551.md?p=1)’s receipt of the requester’s response to the [agency](/usc/5/551.md?p=1)’s request for information or clarification ends the tolling period.
    - (B)
      - (i) In unusual circumstances as specified in this subparagraph, the time limits prescribed in either [clause (i)](#a-6-B-i) or [clause (ii)](#a-6-A-ii) of subparagraph (A) may be extended by written notice to the [person](/usc/5/551.md?p=2) making such request setting forth the unusual circumstances 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, except as provided in clause (ii) of this subparagraph.
      - (ii) With respect to a request for which a written notice under [clause (i)](#a-6-B-i) extends the time limits prescribed under [clause (i)](#a-6-A-i) of subparagraph (A), the [agency](/usc/5/551.md?p=1) shall notify the [person](/usc/5/551.md?p=2) making the request if the request cannot be processed within the time limit specified in that clause and shall provide the [person](/usc/5/551.md?p=2) an opportunity to limit the scope of the request so that it may be processed within that time limit or an opportunity to arrange with the [agency](/usc/5/551.md?p=1) an alternative time frame for processing the request or a modified request. To aid the requester, each [agency](/usc/5/551.md?p=1) shall make available its FOIA Public Liaison, who shall assist in the resolution of any disputes between the requester and the [agency](/usc/5/551.md?p=1), and notify the requester of the right of the requester to seek dispute resolution [services](/usc/5/8331.md?p=12) from the Office of Government Information [Services](/usc/5/8331.md?p=12). Refusal by the [person](/usc/5/551.md?p=2) to reasonably modify the request or arrange such an alternative time frame shall be considered as a factor in determining whether exceptional circumstances exist for purposes of [subparagraph (C)](#a-6-C).
      - (iii) As used in this subparagraph, “unusual circumstances” means, but only to the extent reasonably necessary to the proper processing of the particular requests—
        - (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](/usc/5/551.md?p=1) having a substantial interest in the determination of the request or among two or more components of the [agency](/usc/5/551.md?p=1) having substantial subject-matter interest therein.
      - (iv) Each [agency](/usc/5/551.md?p=1) may promulgate regulations, pursuant to notice and receipt of public comment, providing for the aggregation of certain requests by the same requestor, or by a group of requestors acting in concert, if the [agency](/usc/5/551.md?p=1) reasonably believes that such requests actually constitute a single request, which would otherwise satisfy the unusual circumstances specified in this subparagraph, and the requests involve clearly related matters. Multiple requests involving unrelated matters shall not be aggregated.
    - (C)
      - (i) Any [person](/usc/5/551.md?p=2) making a request to any [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) fails to comply with the applicable time limit provisions of this paragraph. If the Government can show [exceptional circumstances](#a-6-C-ii) exist and that the [agency](/usc/5/551.md?p=1) is exercising due diligence in responding to the request, the court may retain jurisdiction and allow the [agency](/usc/5/551.md?p=1) additional time to complete its review of the records. Upon any determination by an [agency](/usc/5/551.md?p=1) to comply with a request for records, the records shall be made promptly available to such [person](/usc/5/551.md?p=2) making such request. Any notification of denial of any request for records under this subsection shall set forth the names and titles or [positions](/usc/5/5531.md?p=2) of each [person](/usc/5/551.md?p=2) responsible for the denial of such request.
      - (ii) For purposes of this subparagraph, the term “exceptional circumstances” does not include a delay that results from a predictable [agency](/usc/5/551.md?p=1) workload of requests under this section, unless the [agency](/usc/5/551.md?p=1) demonstrates reasonable progress in reducing its backlog of pending requests.
      - (iii) Refusal by a [person](/usc/5/551.md?p=2) to reasonably modify the scope of a request or arrange an alternative time frame for processing a request (or a modified request) under [clause (ii)](#a-6-C-ii) after being given an opportunity to do so by the [agency](/usc/5/551.md?p=1) to whom the [person](/usc/5/551.md?p=2) made the request shall be considered as a factor in determining whether [exceptional circumstances](#a-6-C-ii) exist for purposes of this subparagraph.
    - (D)
      - (i) Each [agency](/usc/5/551.md?p=1) may promulgate regulations, pursuant to notice and receipt of public comment, providing for multitrack processing of requests for records based on the amount of work or time (or both) involved in processing requests.
      - (ii) Regulations under this subparagraph may provide a [person](/usc/5/551.md?p=2) making a request that does not qualify for the fastest multitrack processing an opportunity to limit the scope of the request in [order](/usc/5/551.md?p=6) to qualify for faster processing.
      - (iii) This subparagraph shall not be considered to affect the requirement under [subparagraph (C)](#a-6-C) to exercise due diligence.
    - (E)
      - (i) Each [agency](/usc/5/551.md?p=1) shall promulgate regulations, pursuant to notice and receipt of public comment, providing for expedited processing of requests for records—
        - (I) in cases in which the [person](/usc/5/551.md?p=2) requesting the records demonstrates a [compelling need](#a-6-E-v); and
        - (II) in other cases determined by the [agency](/usc/5/551.md?p=1).
      - (ii) Notwithstanding [clause (i)](#a-6-E-i), regulations under this subparagraph must ensure—
        - (I) that a determination of whether to provide expedited processing shall be made, and notice of the determination shall be provided to the [person](/usc/5/551.md?p=2) making the request, within 10 days after the date of the request; and
        - (II) expeditious consideration of administrative appeals of such determinations of whether to provide expedited processing.
      - (iii) An [agency](/usc/5/551.md?p=1) shall process as soon as practicable any request for records to which the [agency](/usc/5/551.md?p=1) has granted expedited processing under this subparagraph. [Agency action](/usc/5/551.md?p=13) to deny or affirm denial of a request for expedited processing pursuant to this subparagraph, and failure by an [agency](/usc/5/551.md?p=1) to respond in a timely manner to such a request shall be subject to judicial review under [paragraph (4)](#a-4), except that the judicial review shall be based on the record before the [agency](/usc/5/551.md?p=1) at the time of the determination.
      - (iv) A district court of the United States shall not have jurisdiction to review an [agency](/usc/5/551.md?p=1) denial of expedited processing of a request for records after the [agency](/usc/5/551.md?p=1) has provided a complete response to the request.
      - (v) For purposes of this subparagraph, the term “compelling need” means—
        - (I) that a failure to obtain requested records on an expedited basis under this paragraph could reasonably be expected to pose an imminent threat to the life or physical safety of an individual; or
        - (II) with respect to a request made by a [person](/usc/5/551.md?p=2) primarily engaged in disseminating information, urgency to inform the public concerning actual or alleged Federal Government activity.
      - (vi) A demonstration of a [compelling need](#a-6-E-v) by a [person](/usc/5/551.md?p=2) making a request for expedited processing shall be made by a statement certified by such [person](/usc/5/551.md?p=2) to be true and correct to the best of such [person](/usc/5/551.md?p=2)’s knowledge and belief.
    - (F) In denying a request for records, in whole or in part, an [agency](/usc/5/551.md?p=1) shall make a reasonable effort to estimate the volume of any requested matter the provision of which is denied, and shall provide any such estimate to the [person](/usc/5/551.md?p=2) making the request, unless providing such estimate would harm an interest protected by the exemption in [subsection (b)](#b) pursuant to which the denial is made.
  - (7) Each [agency](/usc/5/551.md?p=1) shall—
    - (A) establish a system to assign an individualized tracking number for each request received that will take longer than ten days to process and provide to each [person](/usc/5/551.md?p=2) making a request the tracking number assigned to the request; and
    - (B) establish a telephone line or Internet [service](/usc/5/8331.md?p=12) that provides information about the status of a request to the [person](/usc/5/551.md?p=2) making the request using the assigned tracking number, including—
      - (i) the date on which the [agency](/usc/5/551.md?p=1) originally received the request; and
      - (ii) an estimated date on which the [agency](/usc/5/551.md?p=1) will complete action on the request.
  - (8)
    - (A) An [agency](/usc/5/551.md?p=1) shall—
      - (i) withhold information under this section only if—
        - (I) the [agency](/usc/5/551.md?p=1) reasonably foresees that disclosure would harm an interest protected by an exemption described in [subsection (b)](#b); or
        - (II) disclosure is prohibited by law; and
      - (ii)
        - (I) consider whether partial disclosure of information is possible whenever the [agency](/usc/5/551.md?p=1) determines that a full disclosure of a requested record is not possible; and
        - (II) take reasonable steps necessary to segregate and release nonexempt information; and
    - (B) Nothing in this paragraph requires disclosure of information that is otherwise prohibited from disclosure by law, or otherwise exempted from disclosure under [subsection (b)(3)](#b-3).
- (b) This section does not apply to matters that are—
  - (1)
    - (A) specifically authorized under criteria established by an Executive [order](/usc/5/551.md?p=6) 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](/usc/5/551.md?p=6);
  - (2) related solely to the internal personnel rules and practices of an [agency](/usc/5/551.md?p=1);
  - (3) specifically exempted from disclosure by statute (other than [section 552b of this title](/usc/5/552b.md)), if that statute—
    - (A)
      - (i) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue; or
      - (ii) establishes particular criteria for withholding or refers to particular types of matters to be withheld; and
    - (B) if enacted after the date of enactment of the OPEN FOIA Act of 2009, specifically cites to this paragraph.
  - (4) trade secrets and commercial or financial information obtained from a [person](/usc/5/551.md?p=2) and privileged or confidential;
  - (5) inter-[agency](/usc/5/551.md?p=1) or intra-[agency](/usc/5/551.md?p=1) memorandums or letters that would not be available by law to a [party](/usc/5/551.md?p=3) other than an [agency](/usc/5/551.md?p=1) in litigation with the [agency](/usc/5/551.md?p=1), provided that the deliberative process privilege shall not apply to records created 25 years or more before the date on which the records were requested;
  - (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](/usc/5/551.md?p=2) of a right to a fair trial or an impartial [adjudication](/usc/5/551.md?p=7), (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](/usc/5/551.md?p=1) or [authority](/usc/5/7103.md?p=a-6) 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](/usc/5/7103.md?p=a-6) in the course of a criminal investigation or by an [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=2) requesting such record after deletion of the portions which are exempt under this subsection. The amount of information deleted, and the exemption under which the deletion is made, shall be indicated on the released portion of the record, unless including that indication would harm an interest protected by the exemption in this subsection under which the deletion is made. If technically feasible, the amount of the information deleted, and the exemption under which the deletion is made, shall be indicated at the place in the record where such deletion is made.

- (c)
  - (1) Whenever a request is made which involves access to records described in subsection (b)(7)(A) and—
    - (A) the investigation or proceeding involves a possible violation of criminal law; and
    - (B) there is reason to believe that (i) the subject of the investigation or proceeding is not aware of its pendency, and (ii) disclosure of the existence of the records could reasonably be expected to interfere with enforcement proceedings,

    the [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) under an informant’s name or personal identifier are requested by a third [party](/usc/5/551.md?p=3) according to the informant’s name or personal identifier, the [agency](/usc/5/551.md?p=1) may treat the records as not subject to the requirements of this section unless the informant’s status as an informant has been officially confirmed.
  - (3) Whenever a request is made which involves access to records maintained by the Federal Bureau of Investigation pertaining to foreign intelligence or counterintelligence, or international terrorism, and the existence of the records is classified information as provided in [subsection (b)(1)](#b-1), the Bureau may, as long as the existence of the records remains classified information, treat the records as not subject to the requirements of this section.
- (d) This section does not authorize withholding of information or limit the availability of records to the public, except as specifically stated in this section. This section is not [authority](/usc/5/7103.md?p=a-6) to withhold information from Congress.
- (e)
  - (1) On or before February 1 of each year, each [agency](/usc/5/551.md?p=1) shall submit to the Attorney General of the United States and to the Director of the Office of Government Information [Services](/usc/5/8331.md?p=12) a report which shall cover the preceding fiscal year and which shall include—
    - (A) the number of determinations made by the [agency](/usc/5/551.md?p=1) not to comply with requests for records made to such [agency](/usc/5/551.md?p=1) under [subsection (a)](#a) and the reasons for each such determination;
    - (B)
      - (i) the number of appeals made by [persons](/usc/5/551.md?p=2) under [subsection (a)(6)](#a-6), the result of such appeals, and the reason for the action upon each appeal that results in a denial of information; and
      - (ii) a complete list of all statutes that the [agency](/usc/5/551.md?p=1) relies upon to authorize the [agency](/usc/5/551.md?p=1) to withhold information under [subsection (b)(3)](#b-3), the number of occasions on which each statute was relied upon, a description of whether a court has upheld the decision of the [agency](/usc/5/551.md?p=1) to withhold information under each such statute, and a concise description of the scope of any information withheld;
    - (C) the number of requests for records pending before the [agency](/usc/5/551.md?p=1) as of September 30 of the preceding year, and the median and average number of days that such requests had been pending before the [agency](/usc/5/551.md?p=1) as of that date;
    - (D) the number of requests for records received by the [agency](/usc/5/551.md?p=1) and the number of requests which the [agency](/usc/5/551.md?p=1) processed;
    - (E) the median number of days taken by the [agency](/usc/5/551.md?p=1) to process different types of requests, based on the date on which the requests were received by the [agency](/usc/5/551.md?p=1);
    - (F) the average number of days for the [agency](/usc/5/551.md?p=1) to respond to a request beginning on the date on which the request was received by the [agency](/usc/5/551.md?p=1), the median number of days for the [agency](/usc/5/551.md?p=1) to respond to such requests, and the range in number of days for the [agency](/usc/5/551.md?p=1) to respond to such requests;
    - (G) based on the number of business days that have elapsed since each request was originally received by the [agency](/usc/5/551.md?p=1)—
      - (i) the number of requests for records to which the [agency](/usc/5/551.md?p=1) has responded with a determination within a period up to and including 20 days, and in 20-day increments up to and including 200 days;
      - (ii) the number of requests for records to which the [agency](/usc/5/551.md?p=1) has responded with a determination within a period greater than 200 days and less than 301 days;
      - (iii) the number of requests for records to which the [agency](/usc/5/551.md?p=1) has responded with a determination within a period greater than 300 days and less than 401 days; and
      - (iv) the number of requests for records to which the [agency](/usc/5/551.md?p=1) has responded with a determination within a period greater than 400 days;
    - (H) the average number of days for the [agency](/usc/5/551.md?p=1) to provide the granted information beginning on the date on which the request was originally filed, the median number of days for the [agency](/usc/5/551.md?p=1) to provide the granted information, and the range in number of days for the [agency](/usc/5/551.md?p=1) to provide the granted information;
    - (I) the median and average number of days for the [agency](/usc/5/551.md?p=1) to respond to administrative appeals based on the date on which the appeals originally were received by the [agency](/usc/5/551.md?p=1), the highest number of business days taken by the [agency](/usc/5/551.md?p=1) to respond to an administrative appeal, and the lowest number of business days taken by the [agency](/usc/5/551.md?p=1) to respond to an administrative appeal;
    - (J) data on the 10 active requests with the earliest filing dates pending at each [agency](/usc/5/551.md?p=1), including the amount of time that has elapsed since each request was originally received by the [agency](/usc/5/551.md?p=1);
    - (K) data on the 10 active administrative appeals with the earliest filing dates pending before the [agency](/usc/5/551.md?p=1) as of September 30 of the preceding year, including the number of business days that have elapsed since the requests were originally received by the [agency](/usc/5/551.md?p=1);
    - (L) the number of expedited review requests that are granted and denied, the average and median number of days for adjudicating expedited review requests, and the number adjudicated within the required 10 days;
    - (M) the number of fee waiver requests that are granted and denied, and the average and median number of days for adjudicating fee waiver determinations;
    - (N) the total amount of fees collected by the [agency](/usc/5/551.md?p=1) for processing requests;
    - (O) the number of full-time staff of the [agency](/usc/5/551.md?p=1) devoted to processing requests for records under this section, and the total amount expended by the [agency](/usc/5/551.md?p=1) for processing such requests;
    - (P) the number of times the [agency](/usc/5/551.md?p=1) denied a request for records under [subsection (c)](#c); and
    - (Q) the number of records that were made available for public inspection in an electronic format under [subsection (a)(2)](#a-2).
  - (2) Information in each report submitted under [paragraph (1)](#e-1) shall be expressed in terms of each principal component of the [agency](/usc/5/551.md?p=1) and for the [agency](/usc/5/551.md?p=1) overall.
  - (3) Each [agency](/usc/5/551.md?p=1) shall make each such report available for public inspection in an electronic format. In addition, each [agency](/usc/5/551.md?p=1) shall make the raw statistical data used in each report available in a timely manner for public inspection in an electronic format, which shall be made available—
    - (A) without charge, [license](/usc/5/551.md?p=8), or registration requirement;
    - (B) in an aggregated, searchable format; and
    - (C) in a format that may be downloaded in bulk.
  - (4) 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](/usc/5/5531.md?p=1) of the Committee on Oversight and Government Reform of the House of Representatives and the Chairman and ranking minority [member](/usc/5/5531.md?p=1) of the Committees on Homeland Security and Governmental Affairs and the Judiciary of the Senate, no later than March 1 of the year in which each such report is issued, that such reports are available by electronic means.
  - (5) 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.
  - (6)
    - (A) The Attorney General of the United States shall submit to the Committee on Oversight and Government Reform of the House of Representatives, the Committee on the Judiciary of the Senate, and the President a report on or before March 1 of each calendar year, which shall include for the prior calendar year—
      - (i) a listing of the number of cases arising under this section;
      - (ii) a listing of—
        - (I) each subsection, and any exemption, if applicable, involved in each case arising under this section;
        - (II) the disposition of each case arising under this section; and
        - (III) the cost, fees, and penalties assessed under subparagraphs [(E)](#a-4-E), [(F)](#a-4-F), and [(G)](#a-4-G) of subsection (a)(4); and
      - (iii) a description of the efforts undertaken by the Department of Justice to encourage [agency](/usc/5/551.md?p=1) compliance with this section.
    - (B) The Attorney General of the United States shall make—
      - (i) each report submitted under [subparagraph (A)](#e-6-A) available for public inspection in an electronic format; and
      - (ii) the raw statistical data used in each report submitted under [subparagraph (A)](#e-6-A) available for public inspection in an electronic format, which shall be made available—
        - (I) without charge, [license](/usc/5/551.md?p=8), or registration requirement;
        - (II) in an aggregated, searchable format; and
        - (III) in a format that may be downloaded in bulk.
- (f) For purposes of this section, the term—
  - (1) “[agency](/usc/5/551.md?p=1)” as defined in [section 551(1) of this title](/usc/5/551.md?p=1) includes any executive department, military department, [Government corporation](/usc/5/103.md?p=1), Government controlled corporation, or other establishment in the [executive branch](/usc/5/13101.md?p=4) of the Government (including the Executive Office of the President), or any independent regulatory [agency](/usc/5/551.md?p=1); and
  - (2) “record” and any other term used in this section in reference to information includes—
    - (A) any information that would be an [agency](/usc/5/551.md?p=1) record subject to the requirements of this section when maintained by an [agency](/usc/5/551.md?p=1) in any format, including an electronic format; and
    - (B) any information described under [subparagraph (A)](#f-2-A) that is maintained for an [agency](/usc/5/551.md?p=1) by an entity under Government contract, for the purposes of records management.
- (g) The head of each [agency](/usc/5/551.md?p=1) shall prepare and make available for public inspection in an electronic format, reference material or a guide for requesting records or information from the [agency](/usc/5/551.md?p=1), subject to the exemptions in [subsection (b)](#b), including—
  - (1) an index of all major information systems of the [agency](/usc/5/551.md?p=1);
  - (2) a description of major information and record locator systems maintained by the [agency](/usc/5/551.md?p=1); and
  - (3) a handbook for obtaining various types and categories of public information from the [agency](/usc/5/551.md?p=1) pursuant to [chapter 35](/usc/44/ch35.md) of title 44, and under this section.
- (h)
  - (1) There is established the Office of Government Information [Services](/usc/5/8331.md?p=12) within the National Archives and Records Administration. The head of the Office shall be the Director of the Office of Government Information [Services](/usc/5/8331.md?p=12).
  - (2) The Office of Government Information [Services](/usc/5/8331.md?p=12) shall—
    - (A) review policies and procedures of [administrative agencies](/usc/5/592.md?p=2) under this section;
    - (B) review compliance with this section by [administrative agencies](/usc/5/592.md?p=2); and
    - (C) identify procedures and methods for improving compliance under this section.
  - (3) The Office of Government Information [Services](/usc/5/8331.md?p=12) shall offer mediation [services](/usc/5/8331.md?p=12) to resolve disputes between [persons](/usc/5/551.md?p=2) making requests under this section and [administrative agencies](/usc/5/592.md?p=2) as a nonexclusive alternative to litigation and may issue advisory opinions at the discretion of the Office or upon request of any [party](/usc/5/551.md?p=3) to a dispute.
  - (4)
    - (A) Not less frequently than annually, the Director of the Office of Government Information [Services](/usc/5/8331.md?p=12) shall submit to the Committee on Oversight and Government Reform of the House of Representatives, the Committee on the Judiciary of the Senate, and the President—
      - (i) a report on the findings of the information reviewed and identified under [paragraph (2)](#h-2);
      - (ii) a summary of the activities of the Office of Government Information [Services](/usc/5/8331.md?p=12) under [paragraph (3)](#h-3), including—
        - (I) any advisory opinions issued; and
        - (II) the number of times each [agency](/usc/5/551.md?p=1) engaged in dispute resolution with the assistance of the Office of Government Information [Services](/usc/5/8331.md?p=12) or the FOIA Public Liaison; and
      - (iii) legislative and regulatory recommendations, if any, to improve the administration of this section.
    - (B) The Director of the Office of Government Information [Services](/usc/5/8331.md?p=12) shall make each report submitted under [subparagraph (A)](#h-4-A) available for public inspection in an electronic format.
    - (C) The Director of the Office of Government Information [Services](/usc/5/8331.md?p=12) shall not be required to obtain the prior approval, comment, or review of any officer or [agency](/usc/5/551.md?p=1) of the United States, including the Department of Justice, the Archivist of the United States, or the Office of Management and Budget before submitting to Congress, or any committee or subcommittee thereof, any reports, recommendations, testimony, or comments, if such submissions include a statement indicating that the views expressed therein are those of the Director and do not necessarily represent the views of the President.
  - (5) The Director of the Office of Government Information [Services](/usc/5/8331.md?p=12) may directly submit additional information to Congress and the President as the Director determines to be appropriate.
  - (6) Not less frequently than annually, the Office of Government Information [Services](/usc/5/8331.md?p=12) shall conduct a meeting that is open to the public on the review and reports by the Office and shall allow interested [persons](/usc/5/551.md?p=2) to appear and present oral or written statements at the meeting.
- (i) The Government Accountability Office shall conduct audits of [administrative agencies](/usc/5/592.md?p=2) on the implementation of this section and issue reports detailing the results of such audits.
- (j)
  - (1) Each [agency](/usc/5/551.md?p=1) shall designate a Chief FOIA Officer who shall be a senior official of such [agency](/usc/5/551.md?p=1) (at the Assistant Secretary or equivalent level).
  - (2) The Chief FOIA Officer of each [agency](/usc/5/551.md?p=1) shall, subject to the [authority](/usc/5/7103.md?p=a-6) of the head of the [agency](/usc/5/551.md?p=1)—
    - (A) have [agency](/usc/5/551.md?p=1)-wide responsibility for efficient and appropriate compliance with this section;
    - (B) monitor implementation of this section throughout the [agency](/usc/5/551.md?p=1) and keep the head of the [agency](/usc/5/551.md?p=1), the chief legal officer of the [agency](/usc/5/551.md?p=1), and the Attorney General appropriately informed of the [agency](/usc/5/551.md?p=1)’s performance in implementing this section;
    - (C) recommend to the head of the [agency](/usc/5/551.md?p=1) such adjustments to [agency](/usc/5/551.md?p=1) practices, policies, personnel, and funding as may be necessary to improve its implementation of this section;
    - (D) review and report to the Attorney General, through the head of the [agency](/usc/5/551.md?p=1), at such times and in such formats as the Attorney General may direct, on the [agency](/usc/5/551.md?p=1)’s performance in implementing this section;
    - (E) facilitate public understanding of the purposes of the statutory exemptions of this section by including concise descriptions of the exemptions in both the [agency](/usc/5/551.md?p=1)’s handbook issued under [subsection (g)](#g), and the [agency](/usc/5/551.md?p=1)’s annual report on this section, and by providing an overview, where appropriate, of certain general categories of [agency](/usc/5/551.md?p=1) records to which those exemptions apply;
    - (F) offer training to [agency](/usc/5/551.md?p=1) staff regarding their responsibilities under this section;
    - (G) serve as the primary [agency](/usc/5/551.md?p=1) liaison with the Office of Government Information [Services](/usc/5/8331.md?p=12) and the Office of Information Policy; and
    - (H) designate 1 or more FOIA Public Liaisons.
  - (3) The Chief FOIA Officer of each [agency](/usc/5/551.md?p=1) shall review, not less frequently than annually, all aspects of the administration of this section by the [agency](/usc/5/551.md?p=1) to ensure compliance with the requirements of this section, including—
    - (A) [agency](/usc/5/551.md?p=1) regulations;
    - (B) disclosure of records required under paragraphs [(2)](#a-2) and [(8)](#a-8) of subsection (a);
    - (C) assessment of fees and determination of eligibility for fee waivers;
    - (D) the timely processing of requests for information under this section;
    - (E) the use of exemptions under [subsection (b)](#b); and
    - (F) dispute resolution [services](/usc/5/8331.md?p=12) with the assistance of the Office of Government Information [Services](/usc/5/8331.md?p=12) or the FOIA Public Liaison.
- (k)
  - (1) There is established in the [executive branch](/usc/5/13101.md?p=4) the Chief FOIA Officers [Council](/usc/5/8471.md?p=2) (referred to in this subsection as the “[Council](/usc/5/8471.md?p=2)”).
  - (2) The [Council](/usc/5/8471.md?p=2) shall be comprised of the following [members](/usc/5/5531.md?p=1):
    - (A) The Deputy Director for Management of the Office of Management and Budget.
    - (B) The Director of the Office of Information Policy at the Department of Justice.
    - (C) The Director of the Office of Government Information [Services](/usc/5/8331.md?p=12).
    - (D) The Chief FOIA Officer of each [agency](/usc/5/551.md?p=1).
    - (E) Any other officer or [employee](/usc/5/5361.md?p=1) of the United States as designated by the Co-Chairs.
  - (3) The Director of the Office of Information Policy at the Department of Justice and the Director of the Office of Government Information [Services](/usc/5/8331.md?p=12) shall be the Co-Chairs of the [Council](/usc/5/8471.md?p=2).
  - (4) The Administrator of General [Services](/usc/5/8331.md?p=12) shall provide administrative and other support for the [Council](/usc/5/8471.md?p=2).
  - (5)
    - (A) The duties of the [Council](/usc/5/8471.md?p=2) shall include the following:
      - (i) Develop recommendations for increasing compliance and efficiency under this section.
      - (ii) Disseminate information about [agency](/usc/5/551.md?p=1) experiences, ideas, best practices, and innovative approaches related to this section.
      - (iii) Identify, develop, and coordinate initiatives to increase transparency and compliance with this section.
      - (iv) Promote the development and use of common performance measures for [agency](/usc/5/551.md?p=1) compliance with this section.
    - (B) In performing the duties described in [subparagraph (A)](#k-5-A), the [Council](/usc/5/8471.md?p=2) shall consult on a regular basis with [members](/usc/5/5531.md?p=1) of the public who make requests under this section.
  - (6)
    - (A) The [Council](/usc/5/8471.md?p=2) shall meet regularly and such meetings shall be open to the public unless the [Council](/usc/5/8471.md?p=2) determines to close the meeting for reasons of national security or to discuss information exempt under [subsection (b)](#b).
    - (B) Not less frequently than annually, the [Council](/usc/5/8471.md?p=2) shall hold a meeting that shall be open to the public and permit interested [persons](/usc/5/551.md?p=2) to appear and present oral and written statements to the [Council](/usc/5/8471.md?p=2).
    - (C) Not later than 10 business days before a meeting of the [Council](/usc/5/8471.md?p=2), notice of such meeting shall be published in the Federal Register.
    - (D) Except as provided in [subsection (b)](#b), the records, reports, transcripts, minutes, appendices, working papers, drafts, studies, agenda, or other documents that were made available to or prepared for or by the [Council](/usc/5/8471.md?p=2) shall be made publicly available.
    - (E) Detailed minutes of each meeting of the [Council](/usc/5/8471.md?p=2) shall be kept and shall contain a record of the [persons](/usc/5/551.md?p=2) present, a complete and accurate description of matters discussed and conclusions reached, and copies of all reports received, issued, or approved by the [Council](/usc/5/8471.md?p=2). The minutes shall be redacted as necessary and made publicly available.
- (l) FOIA Public Liaisons shall report to the [agency](/usc/5/551.md?p=1) Chief FOIA Officer and shall serve as supervisory officials to whom a requester under this section can raise concerns about the [service](/usc/5/8331.md?p=12) the requester has received from the FOIA Requester Center, following an initial response from the FOIA Requester Center Staff. FOIA Public Liaisons shall be responsible for assisting in reducing delays, increasing transparency and understanding of the status of requests, and assisting in the resolution of disputes.
- (m)
  - (1) The Director of the Office of Management and Budget, in consultation with the Attorney General, shall ensure the operation of a consolidated online request portal that allows a [member](/usc/5/5531.md?p=1) of the public to submit a request for records under [subsection (a)](#a) to any [agency](/usc/5/551.md?p=1) from a single website. The portal may include any additional tools the Director of the Office of Management and Budget finds will improve the implementation of this section.
  - (2) This subsection shall not be construed to alter the power of any other [agency](/usc/5/551.md?p=1) to create or maintain an independent online portal for the submission of a request for records under this section. The Director of the Office of Management and Budget shall establish standards for interoperability between the portal required under [paragraph (1)](#m-1) and other request processing software used by [agencies](/usc/5/551.md?p=1) subject to this section.

# §552a. Records maintained on individuals

- (a) **Definitions.—** For purposes of this section—
  - (1) the term “[agency](/usc/5/551.md?p=1)” means [agency](/usc/5/551.md?p=1) as defined in [section 552(e)](/usc/5/552.md?p=e)[^1] 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, collect, use, or disseminate;
  - (4) the term “record” means any item, collection, or grouping of information about an [individual](#a-2) that is maintained by an [agency](/usc/5/551.md?p=1), 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](#a-2), such as a finger or voice print or a photograph;
  - (5) the term “system of records” means a group of any [records](#a-4) under the control of any [agency](/usc/5/551.md?p=1) from which information is retrieved by the name of the [individual](#a-2) or by some identifying number, symbol, or other identifying particular assigned to the [individual](#a-2);
  - (6) the term “statistical record” means a [record](#a-4) in a [system of records](#a-5) maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable [individual](#a-2), except as provided by [section 8 of title 13](/usc/13/8.md);
  - (7) the term “routine use” means, with respect to the disclosure of a [record](#a-4), the use of such [record](#a-4) 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](#a-4) or a [system of records](#a-5) with non-Federal [records](#a-4) 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](/usc/5/8471.md?p=3) in, or providers of [services](/usc/5/8331.md?p=12) with respect to, cash or in-kind assistance or payments under [Federal benefit programs](#a-12), or
        - (II) recouping payments or delinquent debts under such [Federal benefit programs](#a-12), or
      - (ii) two or more automated [Federal personnel](#a-13) or payroll systems of [records](#a-4) or a system of [Federal personnel](#a-13) or payroll [records](#a-4) with non-Federal [records](#a-4),
    - (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](#a-2);
      - (iii) matches performed, by an [agency](/usc/5/551.md?p=1) (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](/usc/5/551.md?p=2) or [persons](/usc/5/551.md?p=2) for the purpose of gathering evidence against such [person](/usc/5/551.md?p=2) or [persons](/usc/5/551.md?p=2);
      - (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)](/usc/5/6103.md) of such Code, (III) for the purpose of intercepting a tax refund due an [individual](#a-2) under [authority](/usc/5/7103.md?p=a-6) 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](#a-2) 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](#a-4) predominantly relating to [Federal personnel](#a-13), 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)](#v)); or
        - (II) conducted by an [agency](/usc/5/551.md?p=1) using only [records](#a-4) from systems of [records](#a-4) maintained by that [agency](/usc/5/551.md?p=1);

      if the purpose of the match is not to take any adverse financial, personnel, disciplinary, or other adverse action against [Federal personnel](#a-13);

      - (vi) matches performed for foreign counterintelligence purposes or to produce background checks for security clearances of [Federal personnel](#a-13) or Federal contractor personnel;
      - (vii) matches performed incident to a levy described in section 6103(k)(8) of the Internal Revenue Code of 1986;
      - (viii) matches performed pursuant to section 202(x)(3) or 1611(e)(1) of the Social Security Act ([42 U.S.C. 402(x)(3)](/usc/42/402.md?p=x-3), 1382(e)(1));
      - (ix) matches performed by the Secretary of Health and Human [Services](/usc/5/8331.md?p=12) or the Inspector General of the Department of Health and Human [Services](/usc/5/8331.md?p=12) with respect to potential fraud, waste, and abuse, including matches of a [system of records](#a-5) with non-Federal [records](#a-4); or
      - (x) matches performed pursuant to section 3(d)(4) of the Achieving a Better Life Experience Act of 2014;[^1]
  - (9) the term “recipient agency” means any [agency](/usc/5/551.md?p=1), or contractor thereof, receiving [records](#a-4) contained in a [system of records](#a-5) from a [source agency](#a-11) for use in a [matching program](#a-8);
  - (10) the term “non-Federal agency” means any State or local government, or [agency](/usc/5/551.md?p=1) thereof, which receives [records](#a-4) contained in a [system of records](#a-5) from a [source agency](#a-11) for use in a [matching program](#a-8);
  - (11) the term “source agency” means any [agency](/usc/5/551.md?p=1) which discloses [records](#a-4) contained in a [system of records](#a-5) to be used in a [matching program](#a-8), or any State or local government, or [agency](/usc/5/551.md?p=1) thereof, which discloses [records](#a-4) to be used in a [matching program](#a-8);
  - (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](#a-2); and
  - (13) the term “Federal personnel” means officers and [employees](/usc/5/5361.md?p=1) of the Government of the United States, [members](/usc/5/5531.md?p=1) of the [uniformed services](/usc/5/2101.md?p=3) (including [members](/usc/5/5531.md?p=1) of the Reserve Components), [individuals](#a-2) 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](/usc/5/551.md?p=1) shall disclose any [record](#a-4) which is contained in a [system of records](#a-5) by any means of communication to any [person](/usc/5/551.md?p=2), or to another [agency](/usc/5/551.md?p=1), except pursuant to a written request by, or with the prior written consent of, the [individual](#a-2) to whom the [record](#a-4) pertains, unless disclosure of the [record](#a-4) would be—
  - (1) to those officers and [employees](/usc/5/5361.md?p=1) of the [agency](/usc/5/551.md?p=1) which [maintains](#a-3) the [record](#a-4) who have a need for the [record](#a-4) in the performance of their duties;
  - (2) required under [section 552 of this title](/usc/5/552.md);
  - (3) for a [routine use](#a-7) as defined in [subsection (a)(7)](#a-7) of this section and described under [subsection (e)(4)(D)](#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](/usc/13.md);
  - (5) to a recipient who has provided the [agency](/usc/5/551.md?p=1) with advance adequate written assurance that the [record](#a-4) will be used solely as a statistical research or reporting [record](#a-4), and the [record](#a-4) is to be transferred in a form that is not individually identifiable;
  - (6) to the National Archives and [Records](#a-4) Administration as a [record](#a-4) 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](#a-4) has such value;
  - (7) to another [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) or instrumentality has made a written request to the [agency](/usc/5/551.md?p=1) which [maintains](#a-3) the [record](#a-4) specifying the particular portion desired and the law enforcement activity for which the [record](#a-4) is sought;
  - (8) to a [person](/usc/5/551.md?p=2) pursuant to a showing of compelling circumstances affecting the health or safety of an [individual](#a-2) if upon such disclosure notification is transmitted to the last known address of such [individual](#a-2);
  - (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 Government Accountability Office;
  - (11) to the Director of the Congressional Budget Office, or any authorized representative of the Director, in the course of performance of the duties of the Congressional Budget Office;
  - (12) pursuant to the [order](/usc/5/551.md?p=6) of a court of competent jurisdiction; or
  - (13) to a consumer reporting [agency](/usc/5/551.md?p=1) in accordance with [section 3711(e) of title 31](/usc/31/3711.md?p=e).
- (c) **Accounting of Certain Disclosures.—** Each [agency](/usc/5/551.md?p=1), with respect to each [system of records](#a-5) under its control, shall—
  - (1) except for disclosures made under subsections [(b)(1)](#b-1) or [(b)(2)](#b-2) of this section, keep an accurate accounting of—
    - (A) the date, nature, and purpose of each disclosure of a [record](#a-4) to any [person](/usc/5/551.md?p=2) or to another [agency](/usc/5/551.md?p=1) made under [subsection (b)](#b) of this section; and
    - (B) the name and address of the [person](/usc/5/551.md?p=2) or [agency](/usc/5/551.md?p=1) 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](#a-4), whichever is longer, after the disclosure for which the accounting is made;
  - (3) except for disclosures made under [subsection (b)(7)](#b-7) of this section, make the accounting made under paragraph (1) of this subsection available to the [individual](#a-2) named in the [record](#a-4) at his request; and
  - (4) inform any [person](/usc/5/551.md?p=2) or other [agency](/usc/5/551.md?p=1) about any correction or notation of dispute made by the [agency](/usc/5/551.md?p=1) in accordance with [subsection (d)](#d) of this section of any [record](#a-4) that has been disclosed to the [person](/usc/5/551.md?p=2) or [agency](/usc/5/551.md?p=1) if an accounting of the disclosure was made.
- (d) **Access to Records.—** Each [agency](/usc/5/551.md?p=1) that [maintains](#a-3) a system of rec­ords shall—
  - (1) upon request by any [individual](#a-2) to gain access to his [record](#a-4) or to any information pertaining to him which is contained in the system, permit him and upon his request, a [person](/usc/5/551.md?p=2) of his own choosing to accompany him, to review the [record](#a-4) and have a copy made of all or any portion thereof in a form comprehensible to him, except that the [agency](/usc/5/551.md?p=1) may require the [individual](#a-2) to furnish a written statement authorizing discussion of that [individual](#a-2)’s [record](#a-4) in the accompanying [person](/usc/5/551.md?p=2)’s presence;
  - (2) permit the [individual](#a-2) to request amendment of a [record](#a-4) 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](#a-2) believes is not accurate, relevant, timely, or complete; or
      - (ii) inform the [individual](#a-2) of its refusal to amend the [record](#a-4) in accordance with his request, the reason for the refusal, the procedures established by the [agency](/usc/5/551.md?p=1) for the [individual](#a-2) to request a review of that refusal by the head of the [agency](/usc/5/551.md?p=1) or an officer designated by the head of the [agency](/usc/5/551.md?p=1), and the name and business address of that official;
  - (3) permit the [individual](#a-2) who disagrees with the refusal of the [agency](/usc/5/551.md?p=1) to amend his [record](#a-4) 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](#a-2) requests such review, complete such review and make a final determination unless, for good cause shown, the head of the [agency](/usc/5/551.md?p=1) extends such 30-day period; and if, after his review, the reviewing official also refuses to amend the [record](#a-4) in accordance with the request, permit the [individual](#a-2) to file with the [agency](/usc/5/551.md?p=1) a concise statement setting forth the reasons for his disagreement with the refusal of the [agency](/usc/5/551.md?p=1), and notify the [individual](#a-2) of the provisions for judicial review of the reviewing official’s determination under [subsection (g)(1)(A)](#g-1-A) of this section;
  - (4) in any disclosure, containing information about which the [individual](#a-2) 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](#a-4) which is disputed and provide copies of the statement and, if the [agency](/usc/5/551.md?p=1) deems it appropriate, copies of a concise statement of the reasons of the [agency](/usc/5/551.md?p=1) for not making the amendments requested, to [persons](/usc/5/551.md?p=2) or other [agencies](/usc/5/551.md?p=1) to whom the disputed [record](#a-4) has been disclosed; and
  - (5) nothing in this section shall allow an [individual](#a-2) access to any information compiled in reasonable anticipation of a civil action or proceeding.
- (e) **Agency Requirements.—** Each [agency](/usc/5/551.md?p=1) that [maintains](#a-3) a system of rec­ords shall—
  - (1) [maintain](#a-3) in its [records](#a-4) only such information about an [individual](#a-2) as is relevant and necessary to accomplish a purpose of the [agency](/usc/5/551.md?p=1) required to be accomplished by statute or by executive [order](/usc/5/551.md?p=6) of the President;
  - (2) collect information to the greatest extent practicable directly from the subject [individual](#a-2) when the information may result in adverse determinations about an [individual](#a-2)’s rights, benefits, and privileges under Federal programs;
  - (3) inform each [individual](#a-2) 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-2)—
    - (A) the [authority](/usc/5/7103.md?p=a-6) (whether granted by statute, or by executive [order](/usc/5/551.md?p=6) 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](#a-7) 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](#a-2) on whom [records](#a-4) are maintained in the system;
    - (C) the categories of [records](#a-4) maintained in the system;
    - (D) each [routine use](#a-7) of the [records](#a-4) contained in the system, including the categories of users and the purpose of such use;
    - (E) the policies and practices of the [agency](/usc/5/551.md?p=1) regarding storage, retrievability, access controls, retention, and disposal of the [records](#a-4);
    - (F) the title and business address of the [agency](/usc/5/551.md?p=1) official who is responsible for the [system of records](#a-5);
    - (G) the [agency](/usc/5/551.md?p=1) procedures whereby an [individual](#a-2) can be notified at his request if the [system of records](#a-5) contains a [record](#a-4) pertaining to him;
    - (H) the [agency](/usc/5/551.md?p=1) procedures whereby an [individual](#a-2) can be notified at his request how he can gain access to any [record](#a-4) pertaining to him contained in the [system of records](#a-5), and how he can contest its content; and
    - (I) the categories of sources of [records](#a-4) in the system;
  - (5) [maintain](#a-3) all [records](#a-4) which are used by the [agency](/usc/5/551.md?p=1) in making any determination about any [individual](#a-2) with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the [individual](#a-2) in the determination;
  - (6) prior to disseminating any [record](#a-4) about an [individual](#a-2) to any [person](/usc/5/551.md?p=2) other than an [agency](/usc/5/551.md?p=1), unless the dissemination is made pursuant to [subsection (b)(2)](#b-2) of this section, make reasonable efforts to assure that such [records](#a-4) are accurate, complete, timely, and relevant for [agency](/usc/5/551.md?p=1) purposes;
  - (7) [maintain](#a-3) no [record](#a-4) describing how any [individual](#a-2) exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the [individual](#a-2) about whom the [record](#a-4) 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](#a-2) when any [record](#a-4) on such [individual](#a-2) is made available to any [person](/usc/5/551.md?p=2) under compulsory legal process when such process becomes a matter of public [record](#a-4);
  - (9) establish rules of conduct for [persons](/usc/5/551.md?p=2) involved in the design, development, operation, or maintenance of any [system of records](#a-5), or in maintaining any [record](#a-4), and instruct each such [person](/usc/5/551.md?p=2) 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](#a-4) 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](#a-2) 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](/usc/5/551.md?p=2) to submit written data, views, or arguments to the [agency](/usc/5/551.md?p=1); and
  - (12) if such [agency](/usc/5/551.md?p=1) is a [recipient agency](#a-9) or a [source agency](#a-11) in a [matching program](#a-8) with a [non-Federal agency](#a-10), with respect to any establishment or revision of a [matching program](#a-8), 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](/usc/5/551.md?p=6) to carry out the provisions of this section, each [agency](/usc/5/551.md?p=1) that [maintains](#a-3) a [system of records](#a-5) shall promulgate rules, in accordance with the requirements (including general notice) of [section 553 of this title](/usc/5/553.md), which shall—
  - (1) establish procedures whereby an [individual](#a-2) can be notified in response to his request if any [system of records](#a-5) named by the [individual](#a-2) contains a [record](#a-4) pertaining to him;
  - (2) define reasonable times, places, and requirements for identifying an [individual](#a-2) who requests his [record](#a-4) or information pertaining to him before the [agency](/usc/5/551.md?p=1) shall make the [record](#a-4) or information available to the [individual](#a-2);
  - (3) establish procedures for the disclosure to an [individual](#a-2) upon his request of his [record](#a-4) or information pertaining to him, including special procedure, if deemed necessary, for the disclosure to an [individual](#a-2) of medical rec­ords, including psychological [records](#a-4), pertaining to him;
  - (4) establish procedures for reviewing a request from an [individual](#a-2) concerning the amendment of any [record](#a-4) or information pertaining to the [individual](#a-2), for making a determination on the request, for an appeal within the [agency](/usc/5/551.md?p=1) of an initial adverse [agency](/usc/5/551.md?p=1) determination, and for whatever additional means may be necessary for each [individual](#a-2) to be able to exercise fully his rights under this section; and
  - (5) establish fees to be charged, if any, to any [individual](#a-2) for making copies of his [record](#a-4), excluding the cost of any search for and review of the [record](#a-4).

  The Office of the Federal Register shall biennially compile and publish the rules promulgated under this subsection and [agency](/usc/5/551.md?p=1) notices published under [subsection (e)(4)](#e-4) of this section in a form available to the public at low cost.

- (g)
  - (1) **Civil Remedies.—** Whenever any [agency](/usc/5/551.md?p=1)
    - (A) makes a determination under [subsection (d)(3)](#d-3) of this section not to amend an [individual](#a-2)’s [record](#a-4) in accordance with his request, or fails to make such review in conformity with that subsection;
    - (B) refuses to comply with an [individual](#a-2) request under [subsection (d)(1)](#d-1) of this section;
    - (C) fails to [maintain](#a-3) any [record](#a-4) concerning any [individual](#a-2) 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](#a-2) that may be made on the basis of such [record](#a-4), and consequently a determination is made which is adverse to the [individual](#a-2); 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](#a-2),

    the [individual](#a-2) may bring a civil action against the [agency](/usc/5/551.md?p=1), 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)](#g-1-A) of this section, the court may [order](/usc/5/551.md?p=6) the [agency](/usc/5/551.md?p=1) to amend the [individual](#a-2)’s [record](#a-4) 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)](#g-1-B) of this section, the court may enjoin the [agency](/usc/5/551.md?p=1) from withholding the [records](#a-4) and [order](/usc/5/551.md?p=6) the production to the complainant of any [agency](/usc/5/551.md?p=1) [records](#a-4) improperly withheld from him. In such a case the court shall determine the matter de novo, and may examine the contents of any [agency](/usc/5/551.md?p=1) [records](#a-4) in camera to determine whether the [records](#a-4) or any portion thereof may be withheld under any of the exemptions set forth in [subsection (k)](#k) of this section, and the burden is on the [agency](/usc/5/551.md?p=1) 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)](#g-1-C) or [(D)](#g-1-D) of this section in which the court determines that the [agency](/usc/5/551.md?p=1) acted in a manner which was intentional or willful, the United States shall be liable to the [individual](#a-2) in an amount equal to the sum of—
    - (A) actual damages sustained by the [individual](#a-2) as a result of the refusal or failure, but in no case shall a [person](/usc/5/551.md?p=2) 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](/usc/5/551.md?p=1) [records](#a-4) 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](/usc/5/551.md?p=1) has materially and willfully misrepresented any information required under this section to be disclosed to an [individual](#a-2) and the information so misrepresented is material to establishment of the liability of the [agency](/usc/5/551.md?p=1) to the [individual](#a-2) under this section, the action may be brought at any time within two years after discovery by the [individual](#a-2) 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](#a-4) 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](#a-2) 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](#a-2).
- (i)
  - (1) **Criminal Penalties.—** Any officer or [employee](/usc/5/5361.md?p=1) of an [agency](/usc/5/551.md?p=1), who by virtue of his employment or official [position](/usc/5/5531.md?p=2), has possession of, or access to, [agency](/usc/5/551.md?p=1) [records](#a-4) 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](/usc/5/551.md?p=2) or [agency](/usc/5/551.md?p=1) not entitled to receive it, shall be guilty of a misdemeanor and fined not more than $5,000.
  - (2) Any officer or [employee](/usc/5/5361.md?p=1) of any [agency](/usc/5/551.md?p=1) who willfully [maintains](#a-3) a [system of records](#a-5) without meeting the notice requirements of [subsection (e)(4)](#e-4) of this section shall be guilty of a misdemeanor and fined not more than $5,000.
  - (3) Any [person](/usc/5/551.md?p=2) who knowingly and willfully requests or obtains any [record](#a-4) concerning an [individual](#a-2) from an [agency](/usc/5/551.md?p=1) under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000.
- (j) **General Exemptions.—** The head of any [agency](/usc/5/551.md?p=1) may promulgate rules, in accordance with the requirements (including general notice) of sections [553(b)(1)](/usc/5/553.md?p=b-1), [(2)](/usc/5/553.md?p=b-2), and [(3)](/usc/5/553.md?p=b-3), [(c)](/usc/5/553.md), and [(e)](/usc/5/553.md?p=e) of this title, to exempt any [system of records](#a-5) within the [agency](/usc/5/551.md?p=1) from any part of this section except subsections [(b)](#b), [(c)(1)](#c-1) and [(2)](#c-2), [(e)(4)(A) through (F)](#e-4-A..e-4-F), [(e)(6)](#e-6), [(7)](#e-7), [(9)](#e-9), [(10)](#e-10), and [(11)](#e-11), and (i) if the system of rec­ords is—
  - (1) maintained by the Central Intelligence [Agency](/usc/5/551.md?p=1); or
  - (2) maintained by an [agency](/usc/5/551.md?p=1) 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](/usc/5/7103.md?p=a-6), and which consists of (A) information compiled for the purpose of identifying [individual](#a-2) 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](#a-2); or (C) reports identifiable to an [individual](#a-2) 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](/usc/5/551.md?p=1) shall include in the statement required under [section 553(c) of this title](/usc/5/553.md?p=c), the reasons why the [system of records](#a-5) is to be exempted from a provision of this section.

- (k) **Specific Exemptions.—** The head of any [agency](/usc/5/551.md?p=1) may promulgate rules, in accordance with the requirements (including general notice) of sections [553(b)(1)](/usc/5/553.md?p=b-1), [(2)](/usc/5/553.md?p=b-2), and [(3)](/usc/5/553.md?p=b-3), [(c)](/usc/5/553.md), and [(e)](/usc/5/553.md?p=e) of this title, to exempt any [system of records](#a-5) within the [agency](/usc/5/551.md?p=1) from subsections [(c)(3)](#c-3), [(d)](#d), [(e)(1)](#e-1), [(e)(4)(G)](#e-4-G), [(H)](#e-4-H), and [(I)](#e-4-I) and [(f)](#f) of this section if the system of rec­ords is—
  - (1) subject to the provisions of [section 552(b)(1) of this title](/usc/5/552.md?p=b-1);
  - (2) investigatory material compiled for law enforcement purposes, other than material within the scope of [subsection (j)(2)](#j-2) of this section: Provided, however, That if any [individual](#a-2) 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](#a-2), 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](/usc/5/8331.md?p=12) to the President of the United States or other [individuals](#a-2) pursuant to [section 3056 of title 18](/usc/18/3056.md);
  - (4) required by statute to be maintained and used solely as [statistical records](#a-6);
  - (5) investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military [service](/usc/5/8331.md?p=12), 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](#a-2) qualifications for appointment or promotion in the Federal [service](/usc/5/8331.md?p=12) 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](/usc/5/8331.md?p=12), 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](/usc/5/551.md?p=1) shall include in the statement required under [section 553(c) of this title](/usc/5/553.md?p=c), the reasons why the [system of records](#a-5) is to be exempted from a provision of this section.

- (l)
  - (1) **Archival Records.—** Each [agency](/usc/5/551.md?p=1) [record](#a-4) which is accepted by the Archivist of the United States for storage, processing, and servicing in accordance with [section 3103 of title 44](/usc/44/3103.md) shall, for the purposes of this section, be considered to be maintained by the [agency](/usc/5/551.md?p=1) which deposited the [record](#a-4) and shall be subject to the provisions of this section. The Archivist of the United States shall not disclose the [record](#a-4) except to the [agency](/usc/5/551.md?p=1) which [maintains](#a-3) the [record](#a-4), or under rules established by that [agency](/usc/5/551.md?p=1) which are not inconsistent with the provisions of this section.
  - (2) Each [agency](/usc/5/551.md?p=1) [record](#a-4) pertaining to an identifiable [individual](#a-2) which was transferred to the National Archives of the United States as a [record](#a-4) 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](#a-4) (modeled after the requirements relating to [records](#a-4) subject to [subsections (e)(4)(A) through (G)](#e-4-A..e-4-G) of this section) shall be published in the Federal Register.
  - (3) Each [agency](/usc/5/551.md?p=1) [record](#a-4) pertaining to an identifiable [individual](#a-2) which is transferred to the National Archives of the United States as a [record](#a-4) 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)](#e-4-A..e-4-G) and [(e)(9)](#e-9) of this section.
- (m)
  - (1) **Government Contractors.—** When an [agency](/usc/5/551.md?p=1) provides by a contract for the operation by or on behalf of the [agency](/usc/5/551.md?p=1) of a [system of records](#a-5) to accomplish an [agency](/usc/5/551.md?p=1) function, the [agency](/usc/5/551.md?p=1) shall, consistent with its [authority](/usc/5/7103.md?p=a-6), cause the requirements of this section to be applied to such system. For purposes of [subsection (i)](#i) of this section any such contractor and any [employee](/usc/5/5361.md?p=1) 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](/usc/5/5361.md?p=1) of an [agency](/usc/5/551.md?p=1).
  - (2) A consumer reporting [agency](/usc/5/551.md?p=1) to which a [record](#a-4) is disclosed under [section 3711(e) of title 31](/usc/31/3711.md?p=e) shall not be considered a contractor for the purposes of this section.
- (n) **Mailing Lists.—** An [individual](#a-2)’s name and address may not be sold or rented by an [agency](/usc/5/551.md?p=1) 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](#a-4) which is contained in a [system of records](#a-5) may be disclosed to a [recipient agency](#a-9) or [non-Federal agency](#a-10) for use in a computer [matching program](#a-8) except pursuant to a written agreement between the [source agency](#a-11) and the [recipient agency](#a-9) or [non-Federal agency](#a-10) specifying—
    - (A) the purpose and legal [authority](/usc/5/7103.md?p=a-6) 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](#a-4) that will be matched, including each data element that will be used, the approximate number of [records](#a-4) that will be matched, and the projected starting and completion dates of the [matching program](#a-8);
    - (D) procedures for providing individualized notice at the time of application, and notice periodically thereafter as directed by the Data Integrity [Board](/usc/5/8401.md?p=5) of such [agency](/usc/5/551.md?p=1) (subject to guidance provided by the Director of the Office of Management and Budget pursuant to [subsection (v)](#v)), to—
      - (i) applicants for and recipients of financial assistance or payments under [Federal benefit programs](#a-12), and
      - (ii) applicants for and holders of [positions](/usc/5/5531.md?p=2) as [Federal personnel](#a-13),

      that any information provided by such applicants, recipients, holders, and [individuals](#a-2) may be subject to verification through [matching programs](#a-8);

    - (E) procedures for verifying information produced in such [matching program](#a-8) as required by [subsection (p)](#p);
    - (F) procedures for the retention and timely destruction of identifiable [records](#a-4) created by a [recipient agency](#a-9) or [non-Federal agency](#a-10) in such [matching program](#a-8);
    - (G) procedures for ensuring the administrative, technical, and physical security of the [records](#a-4) matched and the results of such programs;
    - (H) prohibitions on duplication and redisclosure of [records](#a-4) provided by the [source agency](#a-11) within or outside the [recipient agency](#a-9) or the [non-Federal agency](#a-10), except where required by law or essential to the conduct of the [matching program](#a-8);
    - (I) procedures governing the use by a [recipient agency](#a-9) or [non-Federal agency](#a-10) of [records](#a-4) provided in a [matching program](#a-8) by a [source agency](#a-11), including procedures governing return of the [records](#a-4) to the [source agency](#a-11) or destruction of [records](#a-4) used in such program;
    - (J) information on assessments that have been made on the accuracy of the [records](#a-4) that will be used in such [matching program](#a-8); and
    - (K) that the Comptroller General may have access to all [records](#a-4) of a [recipient agency](#a-9) or a [non-Federal agency](#a-10) that the Comptroller General deems necessary in [order](/usc/5/551.md?p=6) to monitor or verify compliance with the agreement.
  - (2)
    - (A) A copy of each agreement entered into pursuant to [paragraph (1)](#o-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)](#o-2-A-i).
    - (C) Such an agreement shall remain in effect only for such period, not to exceed 18 months, as the Data Integrity [Board](/usc/5/8401.md?p=5) of the [agency](/usc/5/551.md?p=1) determines is appropriate in light of the purposes, and length of time necessary for the conduct, of the [matching program](#a-8).
    - (D) Within 3 months prior to the expiration of such an agreement pursuant to [subparagraph (C)](#o-2-C), the Data Integrity [Board](/usc/5/8401.md?p=5) of the [agency](/usc/5/551.md?p=1) may, without additional review, renew the matching agreement for a current, ongoing [matching program](#a-8) for not more than one additional year if—
      - (i) such program will be conducted without any change; and
      - (ii) each [party](/usc/5/551.md?p=3) to the agreement certifies to the [Board](/usc/5/8401.md?p=5) in writing that the program has been conducted in compliance with the agreement.
- (p) **Verification and Opportunity to Contest Findings.—**
  - (1) In [order](/usc/5/551.md?p=6) to protect any [individual](#a-2) whose [records](#a-4) are used in a [matching program](#a-8), no [recipient agency](#a-9), [non-Federal agency](#a-10), or [source agency](#a-11) may suspend, terminate, reduce, or make a final denial of any financial assistance or payment under a [Federal benefit program](#a-12) to such [individual](#a-2), or take other adverse action against such [individual](#a-2), as a result of information produced by such [matching program](#a-8), until—
    - (A)
      - (i) the [agency](/usc/5/551.md?p=1) has independently verified the information; or
      - (ii) the Data Integrity [Board](/usc/5/8401.md?p=5) of the [agency](/usc/5/551.md?p=1), or in the case of a [non-Federal agency](#a-10) the Data Integrity [Board](/usc/5/8401.md?p=5) of the [source agency](#a-11), 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](#a-11) under a [Federal benefit program](#a-12); and
        - (II) there is a high degree of confidence that the information provided to the [recipient agency](#a-9) is accurate;
    - (B) the [individual](#a-2) receives a notice from the [agency](/usc/5/551.md?p=1) containing a statement of its findings and informing the [individual](#a-2) 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](#a-2) 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)](#p-1-B) is mailed or otherwise provided to the [individual](#a-2).
  - (2) Independent verification referred to in [paragraph (1)](#p-1) requires investigation and confirmation of specific information relating to an [individual](#a-2) that is used as a basis for an adverse action against the [individual](#a-2), including where applicable investigation and confirmation of—
    - (A) the amount of any asset or income involved;
    - (B) whether such [individual](#a-2) actually has or had access to such asset or income for such [individual](#a-2)’s own use; and
    - (C) the period or periods when the [individual](#a-2) actually had such asset or income.
  - (3) Notwithstanding [paragraph (1)](#p-1), an [agency](/usc/5/551.md?p=1) may take any appropriate action otherwise prohibited by such paragraph if the [agency](/usc/5/551.md?p=1) 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](#a-11) may disclose any [record](#a-4) which is contained in a [system of records](#a-5) to a [recipient agency](#a-9) or [non-Federal agency](#a-10) for a [matching program](#a-8) if such [source agency](#a-11) has reason to believe that the requirements of [subsection (p)](#p), or any matching agreement entered into pursuant to [subsection (o)](#o), or both, are not being met by such [recipient agency](#a-9).
  - (2) No [source agency](#a-11) may renew a matching agreement unless—
    - (A) the [recipient agency](#a-9) or [non-Federal agency](#a-10) has certified that it has complied with the provisions of that agreement; and
    - (B) the [source agency](#a-11) has no reason to believe that the certification is inaccurate.
- (r) **Report on New Systems and Matching Programs.—** Each [agency](/usc/5/551.md?p=1) that proposes to establish or make a significant change in a [system of records](#a-5) or a [matching program](#a-8) 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](/usc/5/551.md?p=6) to permit an evaluation of the probable or potential effect of such proposal on the privacy or other rights of [individuals](#a-2).
- (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](#a-2) rights of access and amendment under this section during such years;
  - (3) identifying changes in or additions to systems of [records](#a-4);
  - (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](/usc/5/551.md?p=1) shall rely on any exemption contained in [section 552 of this title](/usc/5/552.md) to withhold from an [individual](#a-2) any [record](#a-4) which is otherwise accessible to such [individual](#a-2) under the provisions of this section.
  - (2) No [agency](/usc/5/551.md?p=1) shall rely on any exemption in this section to withhold from an [individual](#a-2) any [record](#a-4) which is otherwise accessible to such [individual](#a-2) under the provisions of [section 552 of this title](/usc/5/552.md).
- (u) **Data Integrity Boards.—**
  - (1) Every [agency](/usc/5/551.md?p=1) conducting or participating in a [matching program](#a-8) shall establish a Data Integrity [Board](/usc/5/8401.md?p=5) to oversee and coordinate among the various components of such [agency](/usc/5/551.md?p=1) the [agency](/usc/5/551.md?p=1)’s implementation of this section.
  - (2) Each Data Integrity [Board](/usc/5/8401.md?p=5) shall consist of senior officials designated by the head of the [agency](/usc/5/551.md?p=1), and shall include any senior official designated by the head of the [agency](/usc/5/551.md?p=1) as responsible for implementation of this section, and the inspector general of the [agency](/usc/5/551.md?p=1), if any. The inspector general shall not serve as chairman of the Data Integrity [Board](/usc/5/8401.md?p=5).
  - (3) Each Data Integrity [Board](/usc/5/8401.md?p=5)—
    - (A) shall review, approve, and [maintain](#a-3) all written agreements for receipt or disclosure of [agency](/usc/5/551.md?p=1) [records](#a-4) for [matching programs](#a-8) to ensure compliance with [subsection (o)](#o), and all relevant statutes, regulations, and guidelines;
    - (B) shall review all [matching programs](#a-8) in which the [agency](/usc/5/551.md?p=1) has participated during the year, either as a [source agency](#a-11) or [recipient agency](#a-9), determine compliance with applicable laws, regulations, guidelines, and [agency](/usc/5/551.md?p=1) agreements, and assess the costs and benefits of such programs;
    - (C) shall review all recurring [matching programs](#a-8) in which the [agency](/usc/5/551.md?p=1) has participated during the year, either as a [source agency](#a-11) or [recipient agency](#a-9), for continued justification for such disclosures;
    - (D) shall compile an annual report, which shall be submitted to the head of the [agency](/usc/5/551.md?p=1) and the Office of Management and Budget and made available to the public on request, describing the matching activities of the [agency](/usc/5/551.md?p=1), including—
      - (i) [matching programs](#a-8) in which the [agency](/usc/5/551.md?p=1) has participated as a [source agency](#a-11) or [recipient agency](#a-9);
      - (ii) matching agreements proposed under [subsection (o)](#o) that were disapproved by the [Board](/usc/5/8401.md?p=5);
      - (iii) any changes in membership or structure of the [Board](/usc/5/8401.md?p=5) in the preceding year;
      - (iv) the reasons for any waiver of the requirement in [paragraph (4)](#u-4) of this section for completion and submission of a cost-benefit analysis prior to the approval of a [matching program](#a-8);
      - (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](#a-4) used in [matching programs](#a-8);
    - (F) shall provide interpretation and guidance to [agency](/usc/5/551.md?p=1) components and personnel on the requirements of this section for [matching programs](#a-8);
    - (G) shall review [agency](/usc/5/551.md?p=1) recordkeeping and disposal policies and practices for [matching programs](#a-8) to assure compliance with this section; and
    - (H) may review and report on any [agency](/usc/5/551.md?p=1) matching activities that are not [matching programs](#a-8).
  - (4)
    - (A) Except as provided in subparagraphs [(B)](#u-4-B) and [(C)](#u-4-C), a Data Integrity [Board](/usc/5/8401.md?p=5) shall not approve any written agreement for a [matching program](#a-8) unless the [agency](/usc/5/551.md?p=1) has completed and submitted to such [Board](/usc/5/8401.md?p=5) a cost-benefit analysis of the proposed program and such analysis demonstrates that the program is likely to be cost effective.[^2]
    - (B) The [Board](/usc/5/8401.md?p=5) 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)](#u-4-A) prior to the initial approval of a written agreement for a [matching program](#a-8) that is specifically required by statute. Any subsequent written agreement for such a program shall not be approved by the Data Integrity [Board](/usc/5/8401.md?p=5) unless the [agency](/usc/5/551.md?p=1) 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](/usc/5/8401.md?p=5), any [party](/usc/5/551.md?p=3) 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](/usc/5/8401.md?p=5) if the Director determines that—
      - (i) the [matching program](#a-8) 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](#a-8) 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)](#u-5-A).
    - (D) If the Data Integrity [Board](/usc/5/8401.md?p=5) and the Director of the Office of Management and Budget disapprove a [matching program](#a-8) proposed by the inspector general of an [agency](/usc/5/551.md?p=1), the inspector general may report the disapproval to the head of the [agency](/usc/5/551.md?p=1) and to the Congress.
  - (6) In the reports required by [paragraph (3)(D)](#u-3-D), [agency](/usc/5/551.md?p=1) matching activities that are not [matching programs](#a-8) 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](/usc/5/551.md?p=1) in implementing the provisions of this section; and
  - (2) provide continuing assistance to and oversight of the implementation of this section by [agencies](/usc/5/551.md?p=1).
- (w) **Applicability to Bureau of Consumer Financial Protection.—** Except as provided in the Consumer Financial Protection Act of 2010, this section shall apply with respect to the Bureau of Consumer Financial Protection.

# §552b. Open meetings

- (a) For purposes of this section—
  - (1) the term “[agency](/usc/5/551.md?p=1)” means any [agency](/usc/5/551.md?p=1), as defined in [section 552(e)](/usc/5/552.md?p=e)[^1] of this title, headed by a collegial body composed of two or more individual [members](#a-3), a majority of whom are appointed to such [position](/usc/5/5531.md?p=2) by the President with the advice and consent of the Senate, and any subdivision thereof authorized to act on behalf of the [agency](/usc/5/551.md?p=1);
  - (2) the term “meeting” means the deliberations of at least the number of individual [agency](/usc/5/551.md?p=1) [members](#a-3) required to take action on behalf of the [agency](/usc/5/551.md?p=1) where such deliberations determine or result in the joint conduct or disposition of official [agency](/usc/5/551.md?p=1) business, but does not include deliberations required or permitted by subsection [(d)](#d) or [(e)](#e); and
  - (3) the term “member” means an individual who belongs to a collegial body heading an [agency](/usc/5/551.md?p=1).
- (b) [Members](#a-3) shall not jointly conduct or dispose of [agency](/usc/5/551.md?p=1) business other than in accordance with this section. Except as provided in [subsection (c)](#c), every portion of every [meeting](#a-2) of an [agency](/usc/5/551.md?p=1) shall be open to public observation.
- (c) Except in a case where the [agency](/usc/5/551.md?p=1) finds that the public interest requires otherwise, the second sentence of [subsection (b)](#b) shall not apply to any portion of an [agency](/usc/5/551.md?p=1) [meeting](#a-2), and the requirements of subsections [(d)](#d) and [(e)](#e) shall not apply to any information pertaining to such [meeting](#a-2) otherwise required by this section to be disclosed to the public, where the [agency](/usc/5/551.md?p=1) properly determines that such portion or portions of its [meeting](#a-2) or the disclosure of such information is likely to—
  - (1) disclose matters that are (A) specifically authorized under criteria established by an Executive [order](/usc/5/551.md?p=6) to be kept secret in the interests of national defense or foreign policy and (B) in fact properly classified pursuant to such Executive [order](/usc/5/551.md?p=6);
  - (2) relate solely to the internal personnel rules and practices of an [agency](/usc/5/551.md?p=1);
  - (3) disclose matters specifically exempted from disclosure by statute (other than [section 552 of this title](/usc/5/552.md)), 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) disclose trade secrets and commercial or financial information obtained from a [person](/usc/5/551.md?p=2) and privileged or confidential;
  - (5) involve accusing any [person](/usc/5/551.md?p=2) of a crime, or formally censuring any [person](/usc/5/551.md?p=2);
  - (6) disclose information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
  - (7) disclose investigatory records compiled for law enforcement purposes, or information which if written would be contained in such records, but only to the extent that the production of such records or information would (A) interfere with enforcement proceedings, (B) deprive a [person](/usc/5/551.md?p=2) of a right to a fair trial or an impartial [adjudication](/usc/5/551.md?p=7), (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](/usc/5/7103.md?p=a-6) in the course of a criminal investigation, or by an [agency](/usc/5/551.md?p=1) 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;
  - (8) disclose information contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an [agency](/usc/5/551.md?p=1) responsible for the regulation or supervision of financial institutions;
  - (9) disclose information the premature disclosure of which would—
    - (A) in the case of an [agency](/usc/5/551.md?p=1) which regulates currencies, securities, commodities, or financial institutions, be likely to (i) lead to significant financial speculation in currencies, securities, or commodities, or (ii) significantly endanger the stability of any financial institution; or
    - (B) in the case of any [agency](/usc/5/551.md?p=1), be likely to significantly frustrate implementation of a proposed [agency action](/usc/5/551.md?p=13),

    except that [subparagraph (B)](#c-9-B) shall not apply in any instance where the [agency](/usc/5/551.md?p=1) has already disclosed to the public the content or nature of its proposed action, or where the [agency](/usc/5/551.md?p=1) is required by law to make such disclosure on its own initiative prior to taking final [agency action](/usc/5/551.md?p=13) on such proposal; or

  - (10) specifically concern the [agency](/usc/5/551.md?p=1)’s issuance of a subpena, or the [agency](/usc/5/551.md?p=1)’s participation in a civil action or proceeding, an action in a foreign court or international tribunal, or an arbitration, or the initiation, conduct, or disposition by the [agency](/usc/5/551.md?p=1) of a particular case of formal [agency](/usc/5/551.md?p=1) [adjudication](/usc/5/551.md?p=7) pursuant to the procedures in [section 554 of this title](/usc/5/554.md) or otherwise involving a determination on the record after opportunity for a hearing.
- (d)
  - (1) Action under [subsection (c)](#c) shall be taken only when a majority of the entire membership of the [agency](/usc/5/551.md?p=1) (as defined in [subsection (a)(1)](#a-1)) votes to take such action. A separate vote of the [agency](/usc/5/551.md?p=1) [members](#a-3) shall be taken with respect to each [agency](/usc/5/551.md?p=1) [meeting](#a-2) a portion or portions of which are proposed to be closed to the public pursuant to [subsection (c)](#c), or with respect to any information which is proposed to be withheld under [subsection (c)](#c). A single vote may be taken with respect to a series of [meetings](#a-2), a portion or portions of which are proposed to be closed to the public, or with respect to any information concerning such series of [meetings](#a-2), so long as each [meeting](#a-2) in such series involves the same particular matters and is scheduled to be held no more than thirty days after the initial [meeting](#a-2) in such series. The vote of each [agency](/usc/5/551.md?p=1) [member](#a-3) participating in such vote shall be recorded and no proxies shall be allowed.
  - (2) Whenever any [person](/usc/5/551.md?p=2) whose interests may be directly affected by a portion of a [meeting](#a-2) requests that the [agency](/usc/5/551.md?p=1) close such portion to the public for any of the reasons referred to in paragraph [(5)](#c-5), [(6)](#c-6), or [(7)](#c-7) of subsection (c), the [agency](/usc/5/551.md?p=1), upon request of any one of its [members](#a-3), shall vote by recorded vote whether to close such [meeting](#a-2).
  - (3) Within one day of any vote taken pursuant to paragraph [(1)](#d-1) or [(2)](#d-2), the [agency](/usc/5/551.md?p=1) shall make publicly available a written copy of such vote reflecting the vote of each [member](#a-3) on the question. If a portion of a [meeting](#a-2) is to be closed to the public, the [agency](/usc/5/551.md?p=1) shall, within one day of the vote taken pursuant to paragraph (1) or (2) of this subsection, make publicly available a full written explanation of its action closing the portion together with a list of all [persons](/usc/5/551.md?p=2) expected to attend the [meeting](#a-2) and their affiliation.
  - (4) Any [agency](/usc/5/551.md?p=1), a majority of whose [meetings](#a-2) may properly be closed to the public pursuant to paragraph [(4)](#c-4), [(8)](#c-8), [(9)(A)](#c-9-A), or [(10)](#c-10) of subsection (c), or any combination thereof, may provide by regulation for the closing of such [meetings](#a-2) or portions thereof in the event that a majority of the [members](#a-3) of the [agency](/usc/5/551.md?p=1) votes by recorded vote at the beginning of such [meeting](#a-2), or portion thereof, to close the exempt portion or portions of the [meeting](#a-2), and a copy of such vote, reflecting the vote of each [member](#a-3) on the question, is made available to the public. The provisions of paragraphs (1), (2), and (3) of this subsection and [subsection (e)](#e) shall not apply to any portion of a [meeting](#a-2) to which such regulations apply: Provided, That the [agency](/usc/5/551.md?p=1) shall, except to the extent that such information is exempt from disclosure under the provisions of [subsection (c)](#c), provide the public with public announcement of the time, place, and subject matter of the [meeting](#a-2) and of each portion thereof at the earliest practicable time.
- (e)
  - (1) In the case of each [meeting](#a-2), the [agency](/usc/5/551.md?p=1) shall make public announcement, at least one week before the [meeting](#a-2), of the time, place, and subject matter of the [meeting](#a-2), whether it is to be open or closed to the public, and the name and phone number of the official designated by the [agency](/usc/5/551.md?p=1) to respond to requests for information about the [meeting](#a-2). Such announcement shall be made unless a majority of the [members](#a-3) of the [agency](/usc/5/551.md?p=1) determines by a recorded vote that [agency](/usc/5/551.md?p=1) business requires that such [meeting](#a-2) be called at an earlier date, in which case the [agency](/usc/5/551.md?p=1) shall make public announcement of the time, place, and subject matter of such [meeting](#a-2), and whether open or closed to the public, at the earliest practicable time.
  - (2) The time or place of a [meeting](#a-2) may be changed following the public announcement required by [paragraph (1)](#e-1) only if the [agency](/usc/5/551.md?p=1) publicly announces such change at the earliest practicable time. The subject matter of a [meeting](#a-2), or the determination of the [agency](/usc/5/551.md?p=1) to open or close a [meeting](#a-2), or portion of a [meeting](#a-2), to the public, may be changed following the public announcement required by this subsection only if (A) a majority of the entire membership of the [agency](/usc/5/551.md?p=1) determines by a recorded vote that [agency](/usc/5/551.md?p=1) business so requires and that no earlier announcement of the change was possible, and (B) the [agency](/usc/5/551.md?p=1) publicly announces such change and the vote of each [member](#a-3) upon such change at the earliest practicable time.
  - (3) Immediately following each public announcement required by this subsection, notice of the time, place, and subject matter of a [meeting](#a-2), whether the [meeting](#a-2) is open or closed, any change in one of the preceding, and the name and phone number of the official designated by the [agency](/usc/5/551.md?p=1) to respond to requests for information about the [meeting](#a-2), shall also be submitted for publication in the Federal Register.
- (f)
  - (1) For every [meeting](#a-2) closed pursuant to [paragraphs (1) through (10)](#c-1..c-10) of subsection (c), the General Counsel or chief legal officer of the [agency](/usc/5/551.md?p=1) shall publicly certify that, in his or her opinion, the [meeting](#a-2) may be closed to the public and shall state each relevant exemptive provision. A copy of such certification, together with a statement from the presiding officer of the [meeting](#a-2) setting forth the time and place of the [meeting](#a-2), and the [persons](/usc/5/551.md?p=2) present, shall be retained by the [agency](/usc/5/551.md?p=1). The [agency](/usc/5/551.md?p=1) shall maintain a complete transcript or electronic recording adequate to record fully the proceedings of each [meeting](#a-2), or portion of a [meeting](#a-2), closed to the public, except that in the case of a [meeting](#a-2), or portion of a [meeting](#a-2), closed to the public pursuant to paragraph [(8)](#c-8), [(9)(A)](#c-9-A), or [(10)](#c-10) of subsection (c), the [agency](/usc/5/551.md?p=1) shall maintain either such a transcript or recording, or a set of minutes. Such minutes shall fully and clearly describe all matters discussed and shall provide a full and accurate summary of any actions taken, and the reasons therefor, including a description of each of the views expressed on any item and the record of any rollcall vote (reflecting the vote of each [member](#a-3) on the question). All documents considered in connection with any action shall be identified in such minutes.
  - (2) The [agency](/usc/5/551.md?p=1) shall make promptly available to the public, in a place easily accessible to the public, the transcript, electronic recording, or minutes (as required by [paragraph (1)](#f-1)) of the discussion of any item on the agenda, or of any item of the testimony of any witness received at the [meeting](#a-2), except for such item or items of such discussion or testimony as the [agency](/usc/5/551.md?p=1) determines to contain information which may be withheld under [subsection (c)](#c). Copies of such transcript, or minutes, or a transcription of such recording disclosing the identity of each speaker, shall be furnished to any [person](/usc/5/551.md?p=2) at the actual cost of duplication or transcription. The [agency](/usc/5/551.md?p=1) shall maintain a complete verbatim copy of the transcript, a complete copy of the minutes, or a complete electronic recording of each [meeting](#a-2), or portion of a [meeting](#a-2), closed to the public, for a period of at least two years after such [meeting](#a-2), or until one year after the conclusion of any [agency](/usc/5/551.md?p=1) proceeding with respect to which the [meeting](#a-2) or portion was held, whichever occurs later.
- (g) Each [agency](/usc/5/551.md?p=1) subject to the requirements of this section shall, within 180 days after the date of enactment of this section, following consultation with the Office of the Chairman of the Administrative Conference of the United States and published notice in the Federal Register of at least thirty days and opportunity for written comment by any [person](/usc/5/551.md?p=2), promulgate regulations to implement the requirements of [subsections (b) through (f)](#b..f) of this section. Any [person](/usc/5/551.md?p=2) may bring a proceeding in the United States District Court for the District of Columbia to require an [agency](/usc/5/551.md?p=1) to promulgate such regulations if such [agency](/usc/5/551.md?p=1) has not promulgated such regulations within the time period specified herein. Subject to any limitations of time provided by law, any [person](/usc/5/551.md?p=2) may bring a proceeding in the United States Court of Appeals for the District of Columbia to set aside [agency](/usc/5/551.md?p=1) regulations issued pursuant to this subsection that are not in accord with the requirements of [subsections (b) through (f)](#b..f) of this section and to require the promulgation of regulations that are in accord with such subsections.
- (h)
  - (1) The district courts of the United States shall have jurisdiction to enforce the requirements of [subsections (b) through (f)](#b..f) of this section by declaratory judgment, injunctive [relief](/usc/5/551.md?p=11), or other [relief](/usc/5/551.md?p=11) as may be appropriate. Such actions may be brought by any [person](/usc/5/551.md?p=2) against an [agency](/usc/5/551.md?p=1) prior to, or within sixty days after, the [meeting](#a-2) out of which the violation of this section arises, except that if public announcement of such [meeting](#a-2) is not initially provided by the [agency](/usc/5/551.md?p=1) in accordance with the requirements of this section, such action may be instituted pursuant to this section at any time prior to sixty days after any public announcement of such [meeting](#a-2). Such actions may be brought in the district court of the United States for the district in which the [agency](/usc/5/551.md?p=1) [meeting](#a-2) is held or in which the [agency](/usc/5/551.md?p=1) in question has its headquarters, or in the District Court for the District of Columbia. In such actions a defendant shall serve his answer within thirty days after the [service](/usc/5/8331.md?p=12) of the complaint. The burden is on the defendant to sustain his action. In deciding such cases the court may examine in camera any portion of the transcript, electronic recording, or minutes of a [meeting](#a-2) closed to the public, and may take such additional evidence as it deems necessary. The court, having due regard for orderly administration and the public interest, as well as the interests of the [parties](/usc/5/551.md?p=3), may grant such equitable [relief](/usc/5/551.md?p=11) as it deems appropriate, including granting an injunction against future violations of this section or ordering the [agency](/usc/5/551.md?p=1) to make available to the public such portion of the transcript, recording, or minutes of a [meeting](#a-2) as is not authorized to be withheld under [subsection (c)](#c) of this section.
  - (2) Any Federal court otherwise authorized by law to review [agency action](/usc/5/551.md?p=13) may, at the application of any [person](/usc/5/551.md?p=2) properly participating in the proceeding pursuant to other applicable law, inquire into violations by the [agency](/usc/5/551.md?p=1) of the requirements of this section and afford such [relief](/usc/5/551.md?p=11) as it deems appropriate. Nothing in this section authorizes any Federal court having jurisdiction solely on the basis of [paragraph (1)](#h-1) to set aside, enjoin, or invalidate any [agency action](/usc/5/551.md?p=13) (other than an action to close a [meeting](#a-2) or to withhold information under this section) taken or discussed at any [agency](/usc/5/551.md?p=1) [meeting](#a-2) out of which the violation of this section arose.
- (i) The court may assess against any [party](/usc/5/551.md?p=3) reasonable attorney fees and other litigation costs reasonably incurred by any other [party](/usc/5/551.md?p=3) who substantially prevails in any action brought in accordance with the provisions of subsection [(g)](#g) or [(h)](#h) of this section, except that costs may be assessed against the plaintiff only where the court finds that the suit was initiated by the plaintiff primarily for frivolous or dilatory purposes. In the case of assessment of costs against an [agency](/usc/5/551.md?p=1), the costs may be assessed by the court against the United States.
- (j) Each [agency](/usc/5/551.md?p=1) subject to the requirements of this section shall annually report to the Congress regarding the following:
  - (1) The changes in the policies and procedures of the [agency](/usc/5/551.md?p=1) under this section that have occurred during the preceding 1-year period.
  - (2) A tabulation of the number of [meetings](#a-2) held, the exemptions applied to close [meetings](#a-2), and the days of public notice provided to close [meetings](#a-2).
  - (3) A brief description of litigation or formal complaints concerning the implementation of this section by the [agency](/usc/5/551.md?p=1).
  - (4) A brief explanation of any changes in law that have affected the responsibilities of the [agency](/usc/5/551.md?p=1) under this section.
- (k) Nothing herein expands or limits the present rights of any [person](/usc/5/551.md?p=2) under [section 552 of this title](/usc/5/552.md), except that the exemptions set forth in [subsection (c)](#c) of this section shall govern in the case of any request made pursuant to [section 552](/usc/5/552.md) to copy or inspect the transcripts, recordings, or minutes described in [subsection (f)](#f) of this section. The requirements of [chapter 33](/usc/44/ch33.md) of title 44, United States Code, shall not apply to the transcripts, recordings, and minutes described in [subsection (f)](#f) of this section.
- (l) This section does not constitute [authority](/usc/5/7103.md?p=a-6) to withhold any information from Congress, and does not authorize the closing of any [agency](/usc/5/551.md?p=1) [meeting](#a-2) or portion thereof required by any other provision of law to be open.
- (m) Nothing in this section authorizes any [agency](/usc/5/551.md?p=1) to withhold from any individual any record, including transcripts, recordings, or minutes required by this section, which is otherwise accessible to such individual under [section 552a of this title](/usc/5/552a.md).

# §553. Rule making

- (a) This section applies, according to the provisions thereof, except to the extent that there is involved—
  - (1) a military or foreign affairs function of the United States; or
  - (2) a matter relating to [agency](/usc/5/551.md?p=1) management or personnel or to public property, loans, grants, benefits, or contracts.
- (b) General notice of proposed [rule making](/usc/5/551.md?p=5) shall be published in the Federal Register, unless [persons](/usc/5/551.md?p=2) subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law. The notice shall include—
  - (1) a statement of the time, place, and nature of public [rule making](/usc/5/551.md?p=5) proceedings;
  - (2) reference to the legal [authority](/usc/5/7103.md?p=a-6) under which the rule is proposed;
  - (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved; and
  - (4) the Internet address of a summary of not more than 100 words in length of the proposed rule, in plain language, that shall be posted on the Internet website under section 206(d) of the E-Government Act of 2002 ([44 U.S.C. 3501](/usc/44/3501.md) note) (commonly known as regulations.gov).

  Except when notice or hearing is required by statute, this subsection does not apply—

  - (A) to interpretative rules, general statements of policy, or rules of [agency](/usc/5/551.md?p=1) organization, procedure, or practice; or
  - (B) when the [agency](/usc/5/551.md?p=1) for good cause finds (and incorporates the finding and a brief statement of reasons therefor in the rules issued) that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest.
- (c) After notice required by this section, the [agency](/usc/5/551.md?p=1) shall give interested [persons](/usc/5/551.md?p=2) an opportunity to participate in the [rule making](/usc/5/551.md?p=5) through submission of written data, views, or arguments with or without opportunity for oral presentation. After consideration of the relevant matter presented, the [agency](/usc/5/551.md?p=1) shall incorporate in the rules adopted a concise general statement of their basis and purpose. When rules are required by statute to be made on the record after opportunity for an [agency](/usc/5/551.md?p=1) hearing, sections [556](/usc/5/556.md) and [557](/usc/5/557.md) of this title apply instead of this subsection.
- (d) The required publication or [service](/usc/5/8331.md?p=12) of a substantive rule shall be made not less than 30 days before its effective date, except—
  - (1) a substantive rule which grants or recognizes an exemption or relieves a restriction;
  - (2) interpretative rules and statements of policy; or
  - (3) as otherwise provided by the [agency](/usc/5/551.md?p=1) for good cause found and published with the rule.
- (e) Each [agency](/usc/5/551.md?p=1) shall give an interested [person](/usc/5/551.md?p=2) the right to petition for the issuance, amendment, or repeal of a rule.

# §554. Adjudications

- (a) This section applies, according to the provisions thereof, in every case of [adjudication](/usc/5/551.md?p=7) required by statute to be determined on the record after opportunity for an [agency](/usc/5/551.md?p=1) hearing, except to the extent that there is involved—
  - (1) a matter subject to a subsequent trial of the law and the facts de novo in a court;
  - (2) the selection or tenure of an [employee](/usc/5/5361.md?p=1), except a[^1] administrative law judge appointed under [section 3105 of this title](/usc/5/3105.md);
  - (3) proceedings in which decisions rest solely on inspections, tests, or elections;
  - (4) the conduct of military or foreign affairs functions;
  - (5) cases in which an [agency](/usc/5/551.md?p=1) is acting as an agent for a court; or
  - (6) the certification of worker representatives.
- (b) [Persons](/usc/5/551.md?p=2) entitled to notice of an [agency](/usc/5/551.md?p=1) hearing shall be timely informed of—
  - (1) the time, place, and nature of the hearing;
  - (2) the legal [authority](/usc/5/7103.md?p=a-6) and jurisdiction under which the hearing is to be held; and
  - (3) the matters of fact and law asserted.

  When private [persons](/usc/5/551.md?p=2) are the moving [parties](/usc/5/551.md?p=3), other [parties](/usc/5/551.md?p=3) to the proceeding shall give prompt notice of issues controverted in fact or law; and in other instances [agencies](/usc/5/551.md?p=1) may by rule require responsive pleading. In fixing the time and place for hearings, due regard shall be had for the convenience and necessity of the [parties](/usc/5/551.md?p=3) or their representatives.

- (c) The [agency](/usc/5/551.md?p=1) shall give all interested [parties](/usc/5/551.md?p=3) opportunity for—
  - (1) the submission and consideration of facts, arguments, offers of settlement, or proposals of adjustment when time, the nature of the proceeding, and the public interest permit; and
  - (2) to the extent that the [parties](/usc/5/551.md?p=3) are unable so to determine a controversy by consent, hearing and decision on notice and in accordance with sections [556](/usc/5/556.md) and [557](/usc/5/557.md) of this title.
- (d) The [employee](/usc/5/5361.md?p=1) who presides at the reception of evidence pursuant to [section 556 of this title](/usc/5/556.md) shall make the recommended decision or initial decision required by [section 557 of this title](/usc/5/557.md), unless he becomes unavailable to the [agency](/usc/5/551.md?p=1). Except to the extent required for the disposition of ex parte matters as authorized by law, such an [employee](/usc/5/5361.md?p=1) may not—
  - (1) consult a [person](/usc/5/551.md?p=2) or [party](/usc/5/551.md?p=3) on a fact in issue, unless on notice and opportunity for all [parties](/usc/5/551.md?p=3) to participate; or
  - (2) be responsible to or subject to the supervision or direction of an [employee](/usc/5/5361.md?p=1) or agent engaged in the performance of investigative or prosecuting functions for an [agency](/usc/5/551.md?p=1).

  An [employee](/usc/5/5361.md?p=1) or agent engaged in the performance of investigative or prosecuting functions for an [agency](/usc/5/551.md?p=1) in a case may not, in that or a factually related case, participate or advise in the decision, recommended decision, or [agency](/usc/5/551.md?p=1) review pursuant to [section 557 of this title](/usc/5/557.md), except as witness or counsel in public proceedings. This subsection does not apply—

  - (A) in determining applications for initial [licenses](/usc/5/551.md?p=8);
  - (B) to proceedings involving the validity or application of rates, facilities, or practices of public utilities or carriers; or
  - (C) to the [agency](/usc/5/551.md?p=1) or a [member](/usc/5/5531.md?p=1) or [members](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1).
- (e) The [agency](/usc/5/551.md?p=1), with like effect as in the case of other [orders](/usc/5/551.md?p=6), and in its sound discretion, may issue a declaratory [order](/usc/5/551.md?p=6) to terminate a controversy or remove uncertainty.

# §555. Ancillary matters

- (a) This section applies, according to the provisions thereof, except as otherwise provided by this subchapter.
- (b) A [person](/usc/5/551.md?p=2) compelled to appear in [person](/usc/5/551.md?p=2) before an [agency](/usc/5/551.md?p=1) or representative thereof is entitled to be accompanied, represented, and advised by counsel or, if permitted by the [agency](/usc/5/551.md?p=1), by other qualified representative. A [party](/usc/5/551.md?p=3) is entitled to appear in [person](/usc/5/551.md?p=2) or by or with counsel or other duly qualified representative in an [agency](/usc/5/551.md?p=1) proceeding. So far as the orderly conduct of public business permits, an interested [person](/usc/5/551.md?p=2) may appear before an [agency](/usc/5/551.md?p=1) or its responsible [employees](/usc/5/5361.md?p=1) for the presentation, adjustment, or determination of an issue, request, or controversy in a proceeding, whether interlocutory, summary, or otherwise, or in connection with an [agency](/usc/5/551.md?p=1) function. With due regard for the convenience and necessity of the [parties](/usc/5/551.md?p=3) or their representatives and within a reasonable time, each [agency](/usc/5/551.md?p=1) shall proceed to conclude a matter presented to it. This subsection does not grant or deny a [person](/usc/5/551.md?p=2) who is not a lawyer the right to appear for or represent others before an [agency](/usc/5/551.md?p=1) or in an [agency](/usc/5/551.md?p=1) proceeding.
- (c) Process, requirement of a report, inspection, or other investigative act or demand may not be issued, made, or enforced except as authorized by law. A [person](/usc/5/551.md?p=2) compelled to submit data or evidence is entitled to retain or, on payment of lawfully prescribed costs, procure a copy or transcript thereof, except that in a nonpublic investigatory proceeding the witness may for good cause be limited to inspection of the official transcript of his testimony.
- (d) [Agency](/usc/5/551.md?p=1) subpenas authorized by law shall be issued to a [party](/usc/5/551.md?p=3) on request and, when required by rules of procedure, on a statement or showing of general relevance and reasonable scope of the evidence sought. On contest, the court shall sustain the subpena or similar process or demand to the extent that it is found to be in accordance with law. In a proceeding for enforcement, the court shall issue an [order](/usc/5/551.md?p=6) requiring the appearance of the witness or the production of the evidence or data within a reasonable time under penalty of punishment for contempt in case of contumacious failure to comply.
- (e) Prompt notice shall be given of the denial in whole or in part of a written application, petition, or other request of an interested [person](/usc/5/551.md?p=2) made in connection with any [agency](/usc/5/551.md?p=1) proceeding. Except in affirming a prior denial or when the denial is self-explanatory, the notice shall be accompanied by a brief statement of the grounds for denial.

# §556. Hearings; presiding employees; powers and duties; burden of proof; evidence; record as basis of decision

- (a) This section applies, according to the provisions thereof, to hearings required by section [553](/usc/5/553.md) or [554](/usc/5/554.md) of this title to be conducted in accordance with this section.
- (b) There shall preside at the taking of evidence—
  - (1) the [agency](/usc/5/551.md?p=1);
  - (2) one or more [members](/usc/5/5531.md?p=1) of the body which comprises the [agency](/usc/5/551.md?p=1); or
  - (3) one or more administrative law judges appointed under [section 3105 of this title](/usc/5/3105.md).

  This subchapter does not supersede the conduct of specified classes of proceedings, in whole or in part, by or before [boards](/usc/5/8401.md?p=5) or other [employees](/usc/5/5361.md?p=1) specially provided for by or designated under statute. The functions of presiding [employees](/usc/5/5361.md?p=1) and of [employees](/usc/5/5361.md?p=1) participating in decisions in accordance with [section 557 of this title](/usc/5/557.md) shall be conducted in an impartial manner. A presiding or participating [employee](/usc/5/5361.md?p=1) may at any time disqualify himself. On the filing in good faith of a timely and sufficient affidavit of personal bias or other disqualification of a presiding or participating [employee](/usc/5/5361.md?p=1), the [agency](/usc/5/551.md?p=1) shall determine the matter as a part of the record and decision in the case.

- (c) Subject to published rules of the [agency](/usc/5/551.md?p=1) and within its powers, [employees](/usc/5/5361.md?p=1) presiding at hearings may—
  - (1) administer oaths and affirmations;
  - (2) issue subpenas authorized by law;
  - (3) rule on offers of proof and receive relevant evidence;
  - (4) take depositions or have depositions taken when the ends of justice would be served;
  - (5) regulate the course of the hearing;
  - (6) hold conferences for the settlement or simplification of the issues by consent of the [parties](/usc/5/551.md?p=3) or by the use of alternative means of dispute resolution as provided in subchapter IV of this chapter;
  - (7) inform the [parties](/usc/5/551.md?p=3) as to the availability of one or more alternative means of dispute resolution, and encourage use of such methods;
  - (8) require the attendance at any conference held pursuant to [paragraph (6)](#c-6) of at least one representative of each [party](/usc/5/551.md?p=3) who has [authority](/usc/5/7103.md?p=a-6) to negotiate concerning resolution of issues in controversy;
  - (9) dispose of procedural requests or similar matters;
  - (10) make or recommend decisions in accordance with [section 557 of this title](/usc/5/557.md); and
  - (11) take other action authorized by [agency](/usc/5/551.md?p=1) rule consistent with this subchapter.
- (d) Except as otherwise provided by statute, the proponent of a rule or [order](/usc/5/551.md?p=6) has the burden of proof. Any oral or documentary evidence may be received, but the [agency](/usc/5/551.md?p=1) as a matter of policy shall provide for the exclusion of irrelevant, immaterial, or unduly repetitious evidence. A [sanction](/usc/5/551.md?p=10) may not be imposed or rule or [order](/usc/5/551.md?p=6) issued except on consideration of the whole record or those parts thereof cited by a [party](/usc/5/551.md?p=3) and supported by and in accordance with the reliable, probative, and substantial evidence. The [agency](/usc/5/551.md?p=1) may, to the extent consistent with the interests of justice and the policy of the underlying statutes administered by the [agency](/usc/5/551.md?p=1), consider a violation of [section 557(d) of this title](/usc/5/557.md?p=d) sufficient grounds for a decision adverse to a [party](/usc/5/551.md?p=3) who has knowingly committed such violation or knowingly caused such violation to occur. A [party](/usc/5/551.md?p=3) is entitled to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts. In [rule making](/usc/5/551.md?p=5) or determining claims for money or benefits or applications for initial [licenses](/usc/5/551.md?p=8) an [agency](/usc/5/551.md?p=1) may, when a [party](/usc/5/551.md?p=3) will not be prejudiced thereby, adopt procedures for the submission of all or part of the evidence in written form.
- (e) The transcript of testimony and exhibits, together with all papers and requests filed in the proceeding, constitutes the exclusive record for decision in accordance with [section 557 of this title](/usc/5/557.md) and, on payment of lawfully prescribed costs, shall be made available to the [parties](/usc/5/551.md?p=3). When an [agency](/usc/5/551.md?p=1) decision rests on official notice of a material fact not appearing in the evidence in the record, a [party](/usc/5/551.md?p=3) is entitled, on timely request, to an opportunity to show the contrary.

# §557. Initial decisions; conclusiveness; review by agency; submissions by parties; contents of decisions; record

- (a) This section applies, according to the provisions thereof, when a hearing is required to be conducted in accordance with [section 556 of this title](/usc/5/556.md).
- (b) When the [agency](/usc/5/551.md?p=1) did not preside at the reception of the evidence, the presiding [employee](/usc/5/5361.md?p=1) or, in cases not subject to [section 554(d) of this title](/usc/5/554.md?p=d), an [employee](/usc/5/5361.md?p=1) qualified to preside at hearings pursuant to [section 556 of this title](/usc/5/556.md), shall initially decide the case unless the [agency](/usc/5/551.md?p=1) requires, either in specific cases or by general rule, the entire record to be certified to it for decision. When the presiding [employee](/usc/5/5361.md?p=1) makes an initial decision, that decision then becomes the decision of the [agency](/usc/5/551.md?p=1) without further proceedings unless there is an appeal to, or review on motion of, the [agency](/usc/5/551.md?p=1) within time provided by rule. On appeal from or review of the initial decision, the [agency](/usc/5/551.md?p=1) has all the powers which it would have in making the initial decision except as it may limit the issues on notice or by rule. When the [agency](/usc/5/551.md?p=1) makes the decision without having presided at the reception of the evidence, the presiding [employee](/usc/5/5361.md?p=1) or an [employee](/usc/5/5361.md?p=1) qualified to preside at hearings pursuant to [section 556 of this title](/usc/5/556.md) shall first recommend a decision, except that in [rule making](/usc/5/551.md?p=5) or determining applications for initial [licenses](/usc/5/551.md?p=8)—
  - (1) instead thereof the [agency](/usc/5/551.md?p=1) may issue a tentative decision or one of its responsible [employees](/usc/5/5361.md?p=1) may recommend a decision; or
  - (2) this procedure may be omitted in a case in which the [agency](/usc/5/551.md?p=1) finds on the record that due and timely execution of its functions imperatively and unavoidably so requires.
- (c) Before a recommended, initial, or tentative decision, or a decision on [agency](/usc/5/551.md?p=1) review of the decision of subordinate [employees](/usc/5/5361.md?p=1), the [parties](/usc/5/551.md?p=3) are entitled to a reasonable opportunity to submit for the consideration of the [employees](/usc/5/5361.md?p=1) participating in the decisions—
  - (1) proposed findings and conclusions; or
  - (2) exceptions to the decisions or recommended decisions of subordinate [employees](/usc/5/5361.md?p=1) or to tentative [agency](/usc/5/551.md?p=1) decisions; and
  - (3) supporting reasons for the exceptions or proposed findings or conclusions.

  The record shall show the ruling on each finding, conclusion, or exception presented. All decisions, including initial, recommended, and tentative decisions, are a part of the record and shall include a statement of—

  - (A) findings and conclusions, and the reasons or basis therefor, on all the material issues of fact, law, or discretion presented on the record; and
  - (B) the appropriate rule, [order](/usc/5/551.md?p=6), [sanction](/usc/5/551.md?p=10), [relief](/usc/5/551.md?p=11), or denial thereof.
- (d)
  - (1) In any [agency](/usc/5/551.md?p=1) proceeding which is subject to [subsection (a)](#a) of this section, except to the extent required for the disposition of ex parte matters as authorized by law—
    - (A) no interested [person](/usc/5/551.md?p=2) outside the [agency](/usc/5/551.md?p=1) shall make or knowingly cause to be made to any [member](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) who is or may reasonably be expected to be involved in the decisional process of the proceeding, an [ex parte communication](/usc/5/551.md?p=14) relevant to the merits of the proceeding;
    - (B) no [member](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) who is or may reasonably be expected to be involved in the decisional process of the proceeding, shall make or knowingly cause to be made to any interested [person](/usc/5/551.md?p=2) outside the [agency](/usc/5/551.md?p=1) an [ex parte communication](/usc/5/551.md?p=14) relevant to the merits of the proceeding;
    - (C) a [member](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) who is or may reasonably be expected to be involved in the decisional process of such proceeding who receives, or who makes or knowingly causes to be made, a communication prohibited by this subsection shall place on the public record of the proceeding:
      - (i) all such written communications;
      - (ii) memoranda stating the substance of all such oral communications; and
      - (iii) all written responses, and memoranda stating the substance of all oral responses, to the materials described in clauses (i) and (ii) of this subparagraph;
    - (D) upon receipt of a communication knowingly made or knowingly caused to be made by a [party](/usc/5/551.md?p=3) in violation of this subsection, the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) presiding at the hearing may, to the extent consistent with the interests of justice and the policy of the underlying statutes, require the [party](/usc/5/551.md?p=3) to show cause why his claim or interest in the proceeding should not be dismissed, denied, disregarded, or otherwise adversely affected on [account](/usc/5/8401.md?p=1) of such violation; and
    - (E) the prohibitions of this subsection shall apply beginning at such time as the [agency](/usc/5/551.md?p=1) may designate, but in no case shall they begin to apply later than the time at which a proceeding is noticed for hearing unless the [person](/usc/5/551.md?p=2) responsible for the communication has knowledge that it will be noticed, in which case the prohibitions shall apply beginning at the time of his acquisition of such knowledge.
  - (2) This subsection does not constitute [authority](/usc/5/7103.md?p=a-6) to withhold information from Congress.

# §558. Imposition of sanctions; determination of applications for licenses; suspension, revocation, and expiration of licenses

- (a) This section applies, according to the provisions thereof, to the exercise of a power or [authority](/usc/5/7103.md?p=a-6).
- (b) A [sanction](/usc/5/551.md?p=10) may not be imposed or a substantive rule or [order](/usc/5/551.md?p=6) issued except within jurisdiction delegated to the [agency](/usc/5/551.md?p=1) and as authorized by law.
- (c) When application is made for a [license](/usc/5/551.md?p=8) required by law, the [agency](/usc/5/551.md?p=1), with due regard for the rights and privileges of all the interested [parties](/usc/5/551.md?p=3) or adversely affected [persons](/usc/5/551.md?p=2) and within a reasonable time, shall set and complete proceedings required to be conducted in accordance with sections [556](/usc/5/556.md) and [557](/usc/5/557.md) of this title or other proceedings required by law and shall make its decision. Except in cases of willfulness or those in which public health, interest, or safety requires otherwise, the withdrawal, [suspension](/usc/5/7541.md?p=2), revocation, or annulment of a [license](/usc/5/551.md?p=8) is lawful only if, before the institution of [agency](/usc/5/551.md?p=1) proceedings therefor, the licensee has been given—
  - (1) notice by the [agency](/usc/5/551.md?p=1) in writing of the facts or conduct which may warrant the action; and
  - (2) opportunity to demonstrate or achieve compliance with all lawful requirements.

  When the licensee has made timely and sufficient application for a renewal or a new [license](/usc/5/551.md?p=8) in accordance with [agency](/usc/5/551.md?p=1) rules, a [license](/usc/5/551.md?p=8) with reference to an activity of a continuing nature does not expire until the application has been finally determined by the [agency](/usc/5/551.md?p=1).


# §559. Effect on other laws; effect of subsequent statute


This subchapter, [chapter 7](/usc/5/chptI-ch7.md), and sections [1305](/usc/5/1305.md), [3105](/usc/5/3105.md), [3344](/usc/5/3344.md), [4301(2)(E)](/usc/5/4301.md?p=2-E), [5372](/usc/5/5372.md), and [7521](/usc/5/7521.md) of this title, and the provisions of [section 5335(a)(B) of this title](/usc/5/5335.md?p=a-B) that relate to administrative law judges, do not limit or repeal additional requirements imposed by statute or otherwise recognized by law. Except as otherwise required by law, requirements or privileges relating to evidence or procedure apply equally to [agencies](/usc/5/551.md?p=1) and [persons](/usc/5/551.md?p=2). Each [agency](/usc/5/551.md?p=1) is granted the [authority](/usc/5/7103.md?p=a-6) necessary to comply with the requirements of this subchapter through the issuance of rules or otherwise. Subsequent statute may not be held to supersede or modify this subchapter, [chapter 7](/usc/5/chptI-ch7.md), sections [1305](/usc/5/1305.md), [3105](/usc/5/3105.md), [3344](/usc/5/3344.md), [4301(2)(E)](/usc/5/4301.md?p=2-E), [5372](/usc/5/5372.md), or [7521](/usc/5/7521.md) of this title, or the provisions of [section 5335(a)(B) of this title](/usc/5/5335.md?p=a-B) that relate to administrative law judges, except to the extent that it does so expressly.