Corporate Practice Series Portfolio No. 14-4th, Business Uses of the Freedom of Information Act, analyzes the federal statutory framework by which corporations and others, including public interest groups, may gain access to government-generated records or other records in the possession of government agencies. The portfolio examines the Freedom of Information Act, describing how it can be used by requesters of public information, how it protects certain exempt categories of information, and how litigation arises under the act. It also discusses the FOIA exemptions from mandatory disclosure most commonly encountered by business users of the act. The portfolio also includes practical advice with respect to obtaining and protecting business information and litigating these issues under the act.
Portfolio 14-3rd: Business Uses of the Freedom of Information Act
Portfolio 14-4th: Business Uses of the Freedom of Information Act
I. Introduction
I. Introduction
II. Overview of the Act
A. Background
B. Mechanics of Operation
1. Coverage of the act
2. Segregability of records
3. Administrative procedures for requests
4. Litigation under the act
a. Direct-FOIA actions
b. Reverse-FOIA actions
c. Intervention
C. Exemptions Under the Act
1. Exemption 1
2. Exemption 2
3. Exemption 3
4. Exemption 4
5. Exemption 5
6. Exemption 6
7. Exemption 7
8. Exemption 8
9. Exemption 9
D. Principal Business Uses of the Act
II. Overview of the Act
A.
Background
B. Mechanics of
Operation
1. Coverage of the act
2. Segregability of records
3.
Administrative procedures for requests
4.
Litigation under the act
a. Direct-FOIA
actions
b. Reverse-FOIA actions
c. Intervention
C. Exemptions Under
the Act
1. Exemption 1
2. Exemption 2
3. Exemption
3
4. Exemption 4
5.
Exemption 5
6. Exemption 6
7. Exemption 7
8. Exemption
8
9. Exemption 9
D.
Principal Business Uses of the Act
III. Exemption 4: Trade Secrets and Confidential Commercial
Information
. Introductory Material
A. Legislative History
B.
Discretionary Release and the Trade Secrets Act
C.
The Elements of Exemption 4
D. ‘Trade Secret'
34
E.
Confidential Commercial Information
1. ‘Commercial
or financial'
2. ‘Obtained from a
person'
3. ‘Privileged or
confidential'
a. ‘Privileged'
b. ‘Confidential'
(1). Information
submitted under compulsion (National Parks I
test)
(a). Substantial harm to
competitive position
(i). Actual competition
(ii). Competitive harm and degree of proof
required
(b). Impairing the government’s ability to
obtain necessary information in the future
(2).
Information submitted voluntarily (Critical Mass III
test)
(a). Determining
voluntariness
(b). Application of the
Critical Mass III test to information submitted
voluntarily
(c). Types of information litigated
under Exemption 4
(3). Contract pricing
information
(4). Other financial information:
profit rates, general and administrative rates, labor hours, and rates,
etc.
(5). Technical information: designs, test
results, and other portions of technical proposals
(6). Affirmative action and equal opportunity
information
(7). Other
F. Summary
III. Exemption 4: Trade Secrets and Confidential Commercial Information
. Introductory Material
A. Legislative History
B. Discretionary Release and the Trade Secrets Act
C. The Elements of Exemption 4
D. ‘Trade Secret' 33
E. Confidential Commercial Information
1. ‘Commercial or financial'
2. ‘Obtained from a person'
3. ‘Privileged or confidential'
a. ‘Privileged'
b. ‘Confidential'
(1). Information submitted under compulsion (National Parks I test)
(a). Substantial harm to competitive position
(i). Actual competition
(ii). Competitive harm and degree of proof required
(b). Impairing the government’s ability to obtain necessary information in the future
(2). Information submitted voluntarily (Critical Mass III test)
(a). Determining voluntariness
(b). Application of the Critical Mass III test to information submitted voluntarily
(c). Types of information litigated under Exemption 4
(3). Contract pricing information
(4). Other financial information: profit rates, general and administrative rates, labor hours, and rates, etc.
(5). Technical information: designs, test results, and other portions of technical proposals
(6). Affirmative action and equal opportunity information
(7). Other
F. Summary
IV. Other Exemptions: Business Users’ Access to
Government-Generated Information . Introductory
Material A. Government Decisionmaking and
‘Commercial' Information (Exemption 5) 1.
Inter-agency or intra-agency memoranda or letters 2. Memoranda or letters not available by law to a party in
litigation with the agency a. The deliberative
process privilege b. Attorney-client, work-product,
and Fed. R. Civ. P. 26(c)(7) privileges B.
Government Law Enforcement Information (Exemption 7) 1. Records or information compiled for law enforcement
purposes 2. The enumerated harms relating to
business users C. Using Other Statutes to Withhold
Information (Exemption 3) 1. Trade Secrets
Act 2. Contract information under 41 U.S.C.
§253b(m) and 10 U.S.C. §2305(g) 3. Federal Rule of
Criminal Procedure 6(e) on grand jury secrecy 4.
Tax return information (26 U.S.C. §6103) 5.
Critical infrastructure information 6. Federal
Technology Transfer Act (15 U.S.C. § 3710a(c)(7)) 7. Postal Reorganization Act, 39 U.S.C. §
410(c)(2). D. Information That Would Allow
Circumvention of Law or Regulations (Exemption 2) E. Bank Examination Records and Information Pertaining to
WellsIV. Other Exemptions: Business Users’ Access to Government-Generated Information
. Introductory Material
A. Government Decisionmaking and ‘Commercial' Information (Exemption 5)
1. Inter-agency or intra-agency memoranda or letters
2. Memoranda or letters not available by law to a party in litigation with the agency
a. The deliberative process privilege
b. Attorney-client, work-product, and Fed. R. Civ. P. 26(c)(7) privileges
B. Invasion of Personal Privacy (Exemption 6)
C. Government Law Enforcement Information (Exemption 7)
1. Records or information compiled for law enforcement purposes
2. The enumerated harms relating to business users
D. Using Other Statutes to Withhold Information (Exemption 3)
1. Trade Secrets Act
2. Contract information under 41 U.S.C. §253b(m) and 10 U.S.C. §2305(g)
3. Federal Rule of Criminal Procedure 6(e) on grand jury secrecy
4. Tax return information (26 U.S.C. §6103)
5. Critical infrastructure information
6. Federal Technology Transfer Act (15 U.S.C. § 3710a(c)(7))
7. Postal Reorganization Act (39 U.S.C. § 410(c)(2))
E. Information That Would Allow Circumvention of Law or Regulations (Exemption 2)
F. Bank Examination Records and Information Pertaining to Wells
V. Obtaining Information Under the Act
. Introductory Material
A. Initial
Requests
1. Basic elements
2. Some considerations
3. Describing
the documents
4. Business notification
procedures
5. Fees
B.
Administrative Appeals
1. Basic
elements
2. Requirements at the appeal level to
explain withholding
C. Litigation
1. Standard of review
2. The
complaint
3. Expediting FOIA cases
4. Conducting the lawsuit: discovery, summary judgment, and
trial
V. Obtaining Information Under the Act
. Introductory Material
A. Initial Requests
1. Basic elements
2. Some considerations
3. Describing the documents
4. Business notification procedures
5. Fees
B. Administrative Appeals
1. Basic elements
2. Requirements at the appeal level to explain withholding
C. Litigation
1. Standard of review
2. The complaint
3. Expediting FOIA cases
4. Conducting the lawsuit: discovery, summary judgment, and trial
VI. Protecting Information From Disclosure Under the
Act A. Introduction B.
Protecting Information at the Agency Level 1.
General guidance 2. Executive Order
12,600 3. Agency responses to Executive Order
12,600 a. The Department of Defense and its
components b. The Environmental Protection Agency
and the Securities and Exchange Commission c. The
Department of Energy d. The Food and Drug
Administration e. Contracting agencies governed by
the Procurement Integrity Act C. Submitter’s
Responses to Predisclosure Notification D.
Reverse-FOIA Actions 1. Administrative Procedure
Act review 2. Procedure and preliminary relief in
reverse-FOIA cases E. Intervention in FOIA
ActionsVI. Protecting Information From Disclosure Under the Act
A. Introduction
B. Protecting Information at the Agency Level
1. General guidance
2. Executive Order 12,600
3. Agency responses to Executive Order 12,600
a. The Department of Defense and its components
b. The Environmental Protection Agency and the Securities and Exchange Commission
c. The Department of Energy
d. The Food and Drug Administration
e. Contracting agencies governed by the Procurement Integrity Act
C. Submitter’s Responses to Predisclosure Notification
D. Reverse-FOIA Actions
1. Administrative Procedure Act review
2. Procedure and preliminary relief in reverse-FOIA cases
E. Intervention in FOIA Actions
VII. Recent Legislative and Administrative
Changes A. Introduction B. The OPEN Government Act 1. Time
limits 2. Request tracking 3. Office of Government Information Services 4. Attorneys' fees C. Executive Order
13392VII. Recent Legislative and Administrative Changes
A. Introduction
B. The OPEN Government Act
1. Time limits
2. Request tracking
3. Office of Government Information Services
4. Attorneys' fees
C. Executive Order 13,392
D. Changes Under the Obama Administration