FOIA request response responsibility

Under 70.20(a) the component that first receives a request and maintains the record is responsible for responding.

• This means the FOIA office in the unit that has the record and first got the request handles the search, review, and decision unless one of the exceptions in paragraph (d) applies.
• If records are found in other components, the Office of Information Services (OIS) may coordinate a department-wide response.

Under 70.20(a) a component will ordinarily include only records in its possession as of the date it begins the search.

• If a component uses a different date (for example, to include later records), it must inform the requester of that date.
• This preserves predictable scope and prevents surprise additions to the responsive set.

Under 70.20(a) records excluded from FOIA under 5 U.S.C. 552(c) are not considered responsive.

• That exclusion means certain records that fall outside FOIA’s coverage (per the cited statute) should not be searched for or produced in response to the request.

Under 70.20(b) the head of a component, or their designee, may grant or deny requests for records that the component maintains.

• Decisions should use the exemptions in 5 U.S.C. 552(b) and any relevant exclusions in 5 U.S.C. 552(c).
• The component’s designated official is accountable for applying exemptions correctly.

Under 70.20(c) the receiving component's FOIA office will work with the Office of Information Services (OIS) to route the request to the correct component's FOIA office.

• The goal is to facilitate prompt transfer so the requester reaches the office best able to respond.
• Proper routing reduces delays and avoids unnecessary searches by the wrong component.

Under 70.20(d) a component should consult other components or agencies when another entity is better able to determine whether a record can be disclosed or is exempt.

• Consultations are appropriate when the other component has substantive expertise or a substantial interest in the record.
• Consultation helps ensure correct application of exemptions and protects other components’ equities.

Under 70.20(d)(1) the receiving component may respond to the requester after consulting with the component or agency best able to determine disclosure and with any other component that has a substantial interest.

• This means the receiving office stays the lead but seeks input from the subject matter owner before making a disclosure decision.
• The consultation should be timely so the requester receives a prompt and accurate response.

Under 70.20(d)(2) the receiving component should refer the request to the component or agency best able to determine disclosure when it is not the best office to make the decision.

• Referral to the originating component is normally appropriate because that component is presumed best able to decide disclosure.
• Referral to another agency is allowed only if that agency is subject to FOIA.

Under 70.20(d)(2) the component or agency that originated the record is ordinarily presumed to be best able to determine whether to disclose it.

• That presumption guides whether to consult or to refer the request.
• If the receiving component contests that presumption, it should document why another component is better suited.

Under 70.20(e) the component must notify the requester of the referral and provide the name and contact information of each component or agency the request was sent to.

• This notice helps the requester know who now handles the request and where to follow up.
• Include telephone, email, or mailing contact so the requester can contact the new office directly.

Under 70.20(f) any request for classified records in the Department's custody must be referred to the classifying agency under the consultation and notice rules in paragraphs (d) and (e).

• The Department does not unilaterally decide disclosure of classified records; it forwards them to the agency that originally classified them.
• The referral process includes notifying the requester of the referral and the receiving agency’s contact information.

Under 70.20(a) and the general text, the Office of Information Services (OIS) may coordinate and, if appropriate, issue a consolidated response on behalf of the Department.

• OIS coordination is used when records are located in multiple components and a single departmental reply is preferable.
• A consolidated response helps ensure consistent exemptions and efficient communication with the requester.

Under 70.20(d)(1) if the receiving component consults another agency but does not refer the request, the receiving component retains responsibility for responding.

• The receiving office must consider the consulted agency's input but remains the official decisionmaker and contact for the requester.
• Documenting the consultation helps show the basis for the final disclosure decision.

Under 70.20(c) a component that determines a request was misdirected should promptly work with OIS to route the request to the correct component's FOIA office and notify the requester of the change.

• Steps include: identify the correct component, coordinate transfer with OIS, and inform the requester of where the request was sent and the new contact information.
• Timely action reduces delay and provides transparency to the requester.

Under 70.20(d)(2) the component should refer responsibility for those records to the agency that originated them, but only if that agency is subject to FOIA.

• If the other agency is not subject to FOIA, the receiving component must consult with that agency to determine disclosure and proceed accordingly.
• The requester must be notified of any referral and given the receiving agency’s contact details under 70.20(e).

Under 70.20(a) the component that first receives a request will ordinarily search only its own records as of the search start date, but when records may be located in multiple components, the Office of Information Services may coordinate the Department's response.

• The receiving component does not automatically have to search other components; coordination or referral may be used instead.
• If broader searches are to be done, the receiving component should tell the requester about the search scope and dates used.

Under 70.20(e) the referring component must provide the name of each component or agency receiving the referral and give contact information for those offices.

• Include sufficient contact details (such as office name, telephone number, email, or mailing address) so the requester can follow up directly.
• This notice must be clear to avoid confusion about who now handles the request.

Under 70.20(d) a FOIA officer should document why the receiving component is handling the response (consult) or why the matter was referred (referral) and identify the component(s) with greater expertise or interest.

• Good documentation should note who was consulted, the substance of their input, and why the final decision was made by the receiving or referred component.
• Clear records help with accountability and any future appeals or audits.

Under 70.20(a) and the introductory text, the Office of Information Services may issue a consolidated response on behalf of the Department when records responsive to a request are located in multiple components and a unified departmental reply is appropriate.

• Consolidation is appropriate to ensure consistency in exemption application and to simplify communication with the requester.
• OIS coordination reduces duplicate effort and helps meet requester expectations for a single authoritative response.

Under 70.20(a) if a component uses a search date other than the date it began the search, it must inform the requester of the date used.

• This notification keeps the requester informed about the time window covered by the search and prevents disputes about missing records.
• The notice should be explicit about the chosen date and why it was selected if that context matters.