1. Freedom of Information Act (FOIA) November 2014

2. What Is FOIA?  A statutory right of public access to federal agency records unless those records are exempt from disclosure  Contributes to the “public understanding of the operations or activities of the government”  Promotes government accountability through transparency  Requires agencies to make certain records available without request  E.g., statements of policy and interpretation, frequently requested records  FOIA authority  FOIA: 5 U.S.C. § 552 et. seq.  LSC Act: 42 U.S.C. § 2996d(g)  LSC Regulations: 45 C.F.R. § 1602 et. seq. 2

3. Where Does FOIA Come From?  2007 - OPEN Government Act  Amended FOIA processing guidelines and reporting requirements  2009 - President Obama’s FOIA Memo  Established a clear presumption in favor of disclosure  “In the face of doubt, openness prevails“  2009 - Attorney General Holder’s FOIA Guidelines  Underscores “fundamental commitment to open government”  Encourages agencies to make discretionary disclosures  1966 – LBJ signs FOIA into law  Set up the structure for FOIA  1986 – FOIA Amendments  Addressed fees charged and scope of access to law enforcement records  1996 – Electronic FOIA Amendments  Required agencies to make certain records electronically available 3

4. What Is a FOIA Request?  Written request (e.g., e-mail, on-line submission form, letter, fax)  By a member of the public (includes individuals, corporations, associations, state and local governments)  For LSC records  Reasonably describing records requested  Non-FOIA requests are re-routed to appropriate office  E.g., request for legal assistance via on-line submission form Let the people know the facts, and the country will be safe. Abraham Lincoln, 1861 4

5. Why is FOIA Important to LSC? 5  LSC has an obligation to conduct its affairs in a transparent manner  LSC Act: 42 U.S.C. § 2996d(g)  LSC’s FOIA performance is monitored and graded by DOJ  Required to submit FOIA Reports (e.g., quarterly reports, annual report, Chief FOIA Officer Report)  Sanctions for non-compliance

6. Why is FOIA Important to LSC? (cont.) 6

7. LSC FOIA Requests – By the Numbers 7 FY 2013FY 2014 37 requests received 24 to LSC and 13 to OIG 54 requests received 42 to LSC and 12 to OIG 37 requests processed 24 by LSC and 13 by OIG 54 requests processed 42 by LSC and 12 by OIG 0 requests pending at end of FY 1 request appealed 1 to LSC 5 requests appealed 3 to LSC and 2 to OIG 9.94 avg. # of days to respond 12.625 days by LSC and 5 by OIG 15.07 avg. # of days to respond 15.52 days by LSC and 13.5 days by OIG

8. How Does LSC Disseminate Information?  Published in the Federal Register: www.federalregister.gov  LSC Website  In LSC’s Public Reading Room  LSC Library: 1 st Floor  Electronic Reading Room: www.lsc.gov/about/foia/electronic-public-reading- room www.lsc.gov/about/foia/electronic-public-reading- room  In Response to a FOIA Request to LSC 8

9. What Are FOIA Exemptions? Responsive records falling under one of the nine FOIA exemptions may be withheld in whole or in part. Exemption 1: Classified to protect national security Exemption 2: Internal personnel rules and practices of agency Exemption 3: Specifically exempted by statute other than FOIA Exemption 4: Confidential trade secrets and financial information Exemption 5: Internal memos protected by legal privileges Exemption 6: Information that would invade personal privacy Exemption 7: Files compiled for law enforcement purposes Exemption 8: Information about financial institution supervision Exemption 9: Geological information on wells 9

10. Who Processes FOIA Requests? LSC FOIA Requests:Cheryl DuHart, FOIA Analyst Office 3202 Ext. 1621 or duhartc@lsc.gov LSC OIG FOIA Requests: Tom Hester, FOIA Officer (Responsible for FOIA requests Office 3412 for records exclusively in possession Ext. 1665 or hestert@oig.lsc.gov and control of OIG) 10

11. How Does LSC Respond to a FOIA request? Step 1: General Intake  LSC receives FOIA request  Case file created, tracking number assigned  Entered into FOIA database for tracking/reporting  Acknowledgement letter sent to requester  Fee assessment (if applicable)  Search >2 hours or duplication after first 100 pages  Commercial-use requests  Request from news media, educational or non- commercial scientific institution  LSC has 20 working days to respond 11

12. 12 How Does LSC Respond to a FOIA Request? (cont.) Step 2: Conduct Search  FOIA request forwarded with Search and Time Forms to appropriate LSC office director  Director may assign FOIA request to staff member to conduct thorough search  Search must be reasonably calculated to uncover all relevant documents  Not required to create new documents or perform outside research  All responsive documents must be copied and sent to FOIA Analyst along with the completed Search and Time Forms by the deadline 12

13. Step 3: Review and Disclose Non-exempt Documents  FOIA Analyst reviews and identifies documents or portions of documents exempt from FOIA  FOIA Analyst decides whether to withhold or redact exempt documents  Requester provided with non-exempt responsive documents and reasons for withheld/redacted documents.  Requester provided with copy and labor fee if applicable, and appeal procedures Step 4: Appeal  Requester may appeal FOIA Analyst’s decision to the LSC President if, for example, all or part of request is denied or no responsive documents are located. How Does LSC Respond to a FOIA Request? (cont.) 13

14. How Can LSC Staff Help with Processing FOIA Requests? If you receive or come upon FOIA request, immediately forward it to the FOIA Analyst.  Most requests are clearly marked and addressed to FOIA Analyst  Requests not clearly marked and addressed may be misdirected  Re-routing promptly is critical  FOIA timeline on misdirected request begins to run when properly identified as FOIA request If you are asked to handle FOIA request:  Conduct a thorough search, including of deleted e-mail folders  Immediately notify supervisor and FOIA Analyst if you need time extension for complex search  Keep track of your time for proper billing  Only produce records that already exist  Do not create new documents or perform outside research  Submit search results and completed Search and Time Forms to FOIA Analyst before deadline 14

15. What Happens If LSC Doesn’t Comply with FOIA? LSC and employees may be subject to sanctions for arbitrary and capricious conduct in withholding records.  Initiation of investigation  Disciplinary action against employee responsible for withholding  Injunction against LSC requiring production of documents and/or prohibiting withholding documents  Payment of attorney’s fees and litigation costs 15

16. Questions About FOIA? For more information or questions regarding FOIA, contact: LSC Chief FOIA Officer Ron Flagg Office 4200 Ext. 1620 or flaggr@lsc.gov LSC FOIA Analyst Cheryl DuHart Office 3202 Ext. 1621 or duhartc@lsc.gov OIG FOIA Officer Tom Hester Office 3412 Ext. 1665 or hestert@oig.lsc.gov 16

17. Freedom of Information Act (FOIA) November 2014