EFFECTIVE DATE: 07/27/2012
DURATION: This amendment is effective until superseded or removed. / 6270
Page 12 of 12
fsm 6200 - office management
chapteR 6270 - AVAILABILITY OF RECORDS
/ Forest Service manual
national headquarters (wo)
Washington, DC
FSM 6200 - OFFICE MANAGEMENT
chapteR 6270 - AVAILABILITY OF RECORDS
Amendment No.: 6200-2012-3
Effective Date: July 27, 2012
Duration: This amendment is effective until superseded or removed.
Approved: LARENDA C. KINGAssistant Director, D&R / Date Approved: 07/26/2012
Posting Instructions: Amendments are numbered consecutively by title and calendar year. Post by document; remove the entire document and replace it with this amendment. Retain this transmittal as the first page(s) of this document. The last amendment to this title was
6200-2012-2 to FSM 6270.
Superseded Document(s) by Issuance Number and Effective Date / 6270
(Amendment 6200-2012-2, 05/24/2012) / 13 Pages
Digest: This technical amendment revises the following:
6270.42a - Adds signature authority and responsibility for Regional Special Agents in Charge.
6270.42c - Adds signature authority and responsibility for Regional Special Agent in Charge Coordinators.
Table of Contents
6270.1 - Authority 3
6270.2 - Objective 3
6270.3 - Policy 4
6270.4 - Responsibility 4
6270.41 - Washington Office 4
6270.41a - Chief/Associate Chief 4
6270.41b - Deputy Chiefs and Chief Financial Officer 4
6270.41c - Deputy Chief for Business Operations 5
6270.41d - Washington Office and National Staff Directors 5
6270.41e - National FOIA/PA Officer 5
6270.41f - Washington Office FOIA/PA Analysts (Including Albuquerque Service Center) 6
6270.42 - Field Offices 7
6270.42a - Regional Foresters, Regional Special Agents In Charge, Station Directors, Area Director, Forest Products Laboratory (FPL) Director, and International Institute of Tropical Forestry Director (IITF) 7
6270.42b - Regional Office, Director of Lands (Appraisals Only) 7
6270.42c - Region, Regional Special Agent in Charge, Station, Area, Forest Products Laboratory (FPL), and International Institute of Tropical Forestry (IITF), FOIA/PA Coordinators 7
6270.42d - Forest Supervisors 8
6270.42e - Forest FOIA/PA Coordinators 9
6270.5 - Definitions 9
6271 - FREEDOM OF INFORMATION ACT 10
6271.1 - Availability of Records 10
6271.2 - Appeal 10
6271.3 - Litigation Hold/FOIA Lawsuits 10
6272 - PRIVACY ACT OF 1974 10
6272.01 - Authority 10
6272.1 - Access to Records 10
6272.2 - Requests for Access to or Amendment of Records 10
6272.3 - Response Times 10
6272.4 - Signing Authority 11
6272.5 - Appeal of Denied Access or Amendment 11
6272.51 - Decision on Access or Amendment Appeal 11
6272.52 - Response Times 11
6272.53 - Signing Authority 11
6272.54 - Granting Appeal 11
6272.55 - Denying Appeal 11
6272.56 - Statement of Disagreement 12
6270.1 - Authority
1. The Freedom of Information Act (FOIA) of 1966 as amended (5 U.S.C. 552). Directs agencies to make records available to the public, upon written request; establishes exemptions to the Act describing circumstances in which records may be withheld; provides an appeal process when access to records is denied; and requires that agencies inform appellants of the provisions for judicial review if an appeal is denied.
a. Title 7, Code of Federal Regulations (CFR), Subtitle A, Part 1, Subpart A. Establishes U.S. Department of Agriculture (USDA) policy, procedures, requirements, and responsibilities for administration and coordination of the FOIA; it also establishes that agencies may not deny a FOIA appeal without USDA. Office of General Counsel (OGC) concurrence. In addition, Part 1, Subpart K establishes that subpoena duces tecum, for USDA records in judicial or administrative proceedings in which the United States is not a party, shall be processed as FOIA requests. In addition, Part 2, Subpart D, Section 2.31 establishes that USDA, OGC will certify documents as true copies of those on file in the Agency.
b. Title 36, CFR, part 200, Subpart B, sections 200.6 to 200.8. Sets forth and describes the location of and USDA rules governing access to Forest Service records. They also describe the appeals process when requests for records are denied.
2. The Privacy Act of 1974 (PA) (5 U.S.C. 552a). Directs agencies to safeguard the privacy of individuals by only disclosing records to others for certain purposes or with an individual's written consent; provides individuals with access to and the means to amend their records; establishes exemptions by which access or amendment may be denied; and provides an appeal process when requests for access or amendment are denied. Also, requires that agencies inform appellants of their right to file a concise statement and the provisions thereof, and to inform them of their right to seek judicial review.
a. Title 7, CFR, Subtitle A, Part 1, Subpart G. Establishes USDA policy, procedures, requirements, and responsibilities for administration and coordination of the PA.
b. Title 5, CFR, Subchapter B, Parts 293 and 297. Provides OPM policy regarding personnel records.
6270.2 - Objective
Make requested records, in agency possession and under agency control, legally available to requesters in an efficient and timely manner. This includes records held by government contractors for purposes of records management.
6270.3 - Policy
1. Provide only records that are responsive to the request exactly as it was written or as specifically amended by the requester during subsequent clarification.
2. Contact requesters to clarify requests when necessary; document clarification in writing.
3. Refer responsive records originating with another Federal agency to that agency for a release determination or consult (obtain permission) from the other Federal agency prior to a release.
4. Apply exemptions, exceptions, and exclusions as appropriate.
5. Meet the timelines for responses.
6. Charge FOIA processing fees as directed in Title 7 CFR Subtitle A, Part 1, Subpart A.
7. Ensure review and concurrence by USDA, Office of General Counsel for:
a. Initial or appeal responses which include records which are part of an ongoing claim or litigation, or when litigation is likely (USDA Departmental Regulation 2510-001, Section 7c).
b. Appeal responses which contain a no records determination or where records are recommended to be withheld in part or in entirety (Title 7 CFR Subtitle A, Part 1, Subpart A, Section 1.14).
6270.4 - Responsibility
6270.41 - Washington Office
6270.41a - Chief/Associate Chief
The Chief/Associate Chief or their acting are authorized to sign final Freedom of Information Act/ Privacy Act (FOIA/PA) appeal decisions related to requested records maintained by International Programs, Office of Communications, Legislative Affairs, and Law Enforcement and Investigations.
6270.41b - Deputy Chiefs and Chief Financial Officer
Deputy Chiefs and the Chief Financial Officer or their acting is authorized to sign final FOIA/PA appeal decisions for programs within their area.
6270.41c - Deputy Chief for Business Operations
In addition to the responsibility delegation in section 6270.41b, the Deputy Chief for Business Operations shall:
1. Administer the FOIA/PA programs.
2. Designate a National FOIA/PA Officer.
6270.41d - Washington Office and National Staff Directors
Washington Office or National Staff Directors, including detached units such as Human Resource Management, Job Corps, and Budget and Finance, or their acting, are authorized to sign FOIA/PA initial request responses when:
1. Records are released in entirety;
2. Records are withheld in part or in entirety;
3. No responsive records are located for all or a portion of a request;
4. Expedited processing is granted or denied;
5. Fee waiver is granted or denied; or
6. Response time extension is granted for unusual or exceptional circumstances.
Additionally, it is the responsibility of the Washington Office staff/National Directors to:
1. Ensure timely, adequate, and reasonable searches for responsive records.
2. Concur on appeal determinations for their program area.
3. Review existing program Privacy Act System of Records Notices (SORNs) every
2 years for currency and work with the FOIA/PA Officer to revise or amend as needed.
6270.41e - National FOIA/PA Officer
The National FOIA/PA Officer or their acting is authorized to sign routine correspondence of a technical, procedural, or informational nature in connection with the FOIA/PA programs. Examples include: requests for clarification and procedural case closure letters such as an untimely receipt of an appeal or dismissal of an appeal due to receipt of a response.
It is the responsibility of the National FOIA/PA Officer to:
1. Advise field FOIA/PA employees and Washington Office program staff personnel and management in the proper administration of the FOIA/PA.
2. Ensure incoming requests, appeals, and lawsuits are appropriately assigned, analyzed, tracked, coordinated, and responded to in a timely manner nationwide.
3. Serve as the primary Forest Service FOIA/PA liaison with the USDA, Office of the General Counsel (OGC), General Law Division (GLD) and Natural Resource Division (NRD), and with the USDA FOIA office.
4. Ensure the timely preparation and submission of the Annual FOIA Report and the Chief FOIA Officer Report to the U.S. Department of Agriculture.
5. Review responsive records and concur on all Washington Office staff FOIA/PA responses, including detached staffs, prior to the Director or acting’s signature.
6. Ensure the creation and maintenance of official Washington Office FOIA/PA request/appeal/lawsuit files.
7. Assist Washington Office Directors in establishing and amending PA systems of records notices (SORNs) to comply with the PA.
8. Ensure the creation and maintenance of official PA SORN files.
6270.41f - Washington Office FOIA/PA Analysts (Including Albuquerque Service Center)
Washington Office and Albuquerque Service Center FOIA/PA Analysts are authorized to send routine communications of a technical, procedural, or informational nature in connection with the FOIA/PA programs. Examples include: acknowledging receipt, request for clarification, interim or status report, and referral or reroute of a request or appeal.
Additionally, Analysts are responsible for:
1. Promptly entering incoming requests, appeals, and lawsuits into the national tracking system upon receipt;
2. Advising program staff personnel in the proper administration of the Acts; and
3. Timely review or responsive records.
6270.42 - Field Offices
6270.42a - Regional Foresters, Regional Special Agents In Charge, Station Directors, Area Director, Forest Products Laboratory (FPL) Director, and International Institute of Tropical Forestry Director (IITF)
Regional Foresters, Regional Special Agents in Charge, Station Directors, Area Director, FPL Director, and the IITF Director, or their acting, are authorized to sign FOIA/PA responses when:
1. Records are released in entirety;
2. Records are withheld in part or in entirety;
3. No responsive records are located for all or a portion of a request;
4. Expedited processing is granted or denied;
5. Fee waiver is granted or denied; or
6. Response time extension is granted for unusual or exceptional circumstances.
They shall also assign an individual(s) to administer the FOIA/PA programs.
6270.42b - Regional Office, Director of Lands (Appraisals Only)
The Regional Office, Director of Lands, or equivalent official, is responsible for approving the release of appraisal reports or appraisal information for field units in response to written requests under FOIA (FSM 5412, Requests for appraisal or appraisal information under Freedom of Information Act).
6270.42c - Region, Regional Special Agent in Charge, Station, Area, Forest Products Laboratory (FPL), and International Institute of Tropical Forestry (IITF), FOIA/PA Coordinators
The region, Regional Special Agent in Charge, station, Area, FPL, and IITF, FOIA/PA Coordinators or their acting are authorized to sign or send routine communications of a technical, procedural, or informational nature in connection with the FOIA/PA programs. Examples include acknowledging receipt of a request, request for clarification, interim or status report, and referral or rerouting of a request.
It is the responsibility of region/station/Area/FPL/IITF FOIA/PA Coordinators to:
1. Promptly enter incoming requests into the national tracking system upon receipt.
2. Ensure requests are appropriately assigned, coordinated, and analyzed in a timely manner.
3. Coordinate with appropriate regional office program staff and administrative unit personnel, review, and concur on all responses to FOIA/PA requests prior to Station Director or Regional Forester’s signature.
4. Advise administrative unit and program staff personnel in the proper administration of the Acts.
5. Serve as the liaison with the local OGC on FOIA/PA requests. Coordinate with the Washington Office FOIA/PA Officer on cases serviced by the Washington Office, OGC, and may serve as liaison directly with Washington Office, OGC when directed by the Washington Office FOIA/PA Officer.
6. Ensure creation and maintenance of official FOIA/PA files.
7. Upon notification of receipt of a FOIA/PA appeal, promptly provide the assigned Washington Office FOIA/PA Analyst with a copy of:
a. The initial request,
b. Regional response(s),
c. Background information,
d. All withheld records, and
e. A second search certification, if needed.
6270.42d - Forest Supervisors
Forest Supervisors, or their designated acting, are authorized to sign responses to initial requests or portions of initial requests, when records are released in entirety. This authority shall not be redelegated to District Rangers. The Forest Supervisor shall assign a Forest FOIA/PA Coordinator to administer the FOIA/PA programs for the forest; except where management decides to have only one Coordinator for more than one forest.
It is the responsibility of the forest supervisor to:
1. Ensure timely and reasonable searches for responsive records;
2. Grant requests for expedited processing within 10 days of receipt, or refer a denial of expedited processing to the Regional FOIA/PA Coordinator;
3. Grant a request for a fee waiver prior to any records delivery, or refer a fee waiver denial to the Regional FOIA/PA Coordinator;
4. Extend the response time by 10 days for unusual or exceptional circumstances
(FSM 6270.5, Definitions).
5. Ensure timely responses to initial requests, or portions of initial requests, for records that are released in entirety;
6. Promptly refer, to the Regional FOIA/PA Coordinator for Regional Forester decision, findings of “no records” and records which the forest FOIA/PA Coordinator recommends be withheld in part or in entirety.
6270.42e - Forest FOIA/PA Coordinators
The forest FOIA/PA Coordinators are authorized to send routine communications of a technical, procedural, or informational nature in connection with the FOIA/PA programs. Examples include acknowledging receipt of a request, request for clarification, interim or status report, and referral or rerouting of a request.
It is the responsibility of the forest FOIA/PA Coordinators to: