(在2009年5月26日中國法學(xué)會(huì)法律法學(xué)網(wǎng)合作機(jī)制召開的
中外政府信息公開比較研討會(huì)上的PPT 發(fā)言提綱)
Freedom of Information Act 《美國信息自由法》
First passed in 1966 1966年首次通過
Been amended numerous times 其后修改過若干回
Been supplemented by Presidential Executive Orders
總統(tǒng)行政命令進(jìn)行增補(bǔ)
Sets out the legislative and regulatory means by which citizens gain access to government records & information
設(shè)立了公民瀏覽政府信息記錄的法律途徑
Today’s PowerPoint 今日話題
Describes the FOIA request process 描述《信息自由法》申請(qǐng)流程
Discusses the Federal Government’s reaction to processing problems
探討聯(lián)邦政府在處理問題過程中的表現(xiàn)
Presents data in a recent General Accountability Office report that discusses whether or not recent enhancements to FOIA have been effective
提供關(guān)于《信息自由法》增強(qiáng)法案是否有效的GAO報(bào)告數(shù)據(jù)
Two Components 兩部分
Affirmative Agency Disclosure of certain types of Information
機(jī)構(gòu)信息公開
In the Federal Register 《聯(lián)邦公報(bào)》
On the Agency’s web site (electronic reading room)
機(jī)構(gòu)網(wǎng)站（電子閱覽室）
In an Agency information center or reading room
（機(jī)構(gòu)信息中心或閱覽室）
Respond to specific requests
Exceptions 例外
National Security 國家安全
Internal Personnel Rules 內(nèi)部人事規(guī)則
Specifically Exempted by Statute 法規(guī)特別豁免
Trade Secrets and commercial or financial information that is privileged or confidential
商業(yè)秘密以及受特權(quán)保護(hù)或秘密的商業(yè)或金融信息
Some Inter-agency or Intra-agency memorandums
一部分機(jī)構(gòu)內(nèi)部或機(jī)構(gòu)間的備忘錄
Personnel or Medical files 人事或醫(yī)療檔案
Records or Information Compiled for Law Enforcement Purposes
為法律執(zhí)行目的編纂的信息記錄
Certain Financial Information Gathered and Prepared by Oversight Agencies
監(jiān)管機(jī)構(gòu)整理和編纂的某些金融信息
Geological or Geophysical Information and Data
地理或地球物理方面的信息和數(shù)據(jù)
The FOIA Request Process 《信息自由法》申請(qǐng)流程
RECEIVE THE REQUEST–FILING REQUIRMENS VARY FROM AGENCY TO AGENCY
申請(qǐng)受理－申請(qǐng)要求依機(jī)構(gòu)不同而各異
Telephone 電話
FAX 傳真
Letter 書信
Email 電子郵件
Internet 互聯(lián)網(wǎng)
PROCESS REQUEST 處理申請(qǐng)
Log FOIA Request 記錄《信息自由法》申請(qǐng)
Single Track 單軌
Multi-track 多軌
Simple or Complex 簡(jiǎn)單或復(fù)雜
Create Case Files 創(chuàng)立文檔
Scope Request 申請(qǐng)范圍
Estimate Fees 預(yù)估費(fèi)用
Generate Initial Responses 初步回復(fù)
Retrieve Records 調(diào)出記錄
Search for Responsive Records 搜尋回復(fù)記錄
Request Records 申請(qǐng)檔案
Review Responsive Records 瀏覽回復(fù)記錄
PROCESS RECORDS 處理記錄
Make redactions 文檔校訂
Apply Exemption Codes 應(yīng)用豁免條款
Calculate Fees 計(jì)算費(fèi)用
APPROVE RELEASE OF RECORDS 批準(zhǔn)記錄公開
Review redacted records 瀏覽校訂記錄
Generate Responses 進(jìn)行回復(fù)
Approve Release 允許公開
RELEASE RECORDS 記錄公開
DISPOSITION CATEGORIES 批復(fù)的種類
GRANTS 批準(zhǔn)
PARTIAL GRANTS 部分批準(zhǔn)
DENIALS 拒絕
NOT DISCLOSED FOR OTHER REASONS 因其他原因暫不公開
DENIALS–EXEMPT UNDER STATUTORY EXEMPTIONS
拒絕－法規(guī)豁免條款下的豁免
SEE SLIDE 5 參閱幻燈片5
NOT DISCLOSED FOR OTHER REASONS 因其他原因暫不公開
No Records 沒有記錄
Request Withdrawn 申請(qǐng)撤回
Records not reasonably described 記錄不合規(guī)定
Duplicate Request 重復(fù)申請(qǐng)
Referrals 推薦
Fee-related reasons 費(fèi)用相關(guān)原因
Not a proper FOIA 不恰當(dāng)?shù)摹丁缎畔⒆杂煞ā贰飞暾?qǐng)
Not an Agency Record 不在機(jī)構(gòu)記錄內(nèi)
REQUIREMENTS FOR RESPONDING TO REQUESTS 申請(qǐng)回復(fù)要求
Generally 20 days from receipt 通常自接受日起20天內(nèi)
Whether or not complying 是否遵守
Reasons 理由
Notice of right to appeal 上訴權(quán)提示
Agency can toll the 20 day period once if it has asked for additional information from the requestor
20天期限可從機(jī)構(gòu)向申請(qǐng)者索取額外信息時(shí)起算
Make a determination within 20 days after the receipt of appeal
收到上訴申請(qǐng)后20內(nèi)做出決定
Problems with Administration of FOIA Before Recent Changes
FOIA在最新修訂前執(zhí)行中的問題(1)
There now are over 20 million FOIA requests each year
目前每年都有超過2000萬份的《《信息自由法》》申請(qǐng)
This resulted in many pending or overdue requests
因此產(chǎn)生了眾多待決或過期的申請(qǐng)
The level of service requirements were not clear
信息服務(wù)的標(biāo)準(zhǔn)不清
Applicants for information were often not satisfied with the level of service
申請(qǐng)者常常不滿意服務(wù)的水平
Problems with Administration of FOIA Before Recent Changes
FOIA在最新修訂前執(zhí)行中的問題 (2)
The responsibility of administering FOIA at the agency level was not clear
各個(gè)機(jī)構(gòu)執(zhí)行《信息自由法》的職權(quán)不清
Applicants did not know who to contact or to whom they should appeal adverse decisions
申請(qǐng)者不知道和誰聯(lián)系或向誰申述
It was not clear as to what was to be reported on an annual basis
每年匯報(bào)的內(nèi)容范圍不清
Some data that was filed was not useable 一些入檔的數(shù)據(jù)不可用
Attempts to Improve FOIA 改進(jìn)信息公開法的嘗試
Executive Order 13392 of December 14, 2005-Improving Agency Disclosure of Information
2005年12月14日行政命令13392號(hào)－提高機(jī)構(gòu)信息公開度
Open Government Act of 2007, Pub. L. No. 110-175, 121 Stat.
2524 2007年開放政府法案
United States Department of Justice, Office of Information and Privacy–2008 Guidelines for Agency Preparation of Annual FOIA Reports
美國司法部，信息與隱私辦公室－2008年度信息公開報(bào)告撰寫指南
E.O. 13392 行政命令13392號(hào)
In responding to a FOIA request, agencies shall respond courteously and appropriately 各機(jī)構(gòu)應(yīng)禮貌且適當(dāng)?shù)貙?duì)信息公開法請(qǐng)求進(jìn)行回復(fù)
All agencies shall appoint a Chief FOIA Officer
所有機(jī)構(gòu)都應(yīng)指定一個(gè)信息公開法長官
Each agency shall establish a FOIA Requester Service Center and FOIA Public Liaisons
每個(gè)機(jī)構(gòu)都應(yīng)設(shè)立一個(gè)申請(qǐng)服務(wù)中心和公共聯(lián)絡(luò)處
Develop review mechanisms, planning documents & reports for the Attorney General and OMB Director
制定審閱機(jī)制，為首席律師和OMB主任策劃文件和報(bào)告
Open Government Act of 2007 2007年開放政府法案(1)
Agencies must provide detailed information regarding response times
機(jī)構(gòu)應(yīng)提供發(fā)應(yīng)時(shí)間的詳細(xì)信息
Initial Requests 初步請(qǐng)求
Administrative appeals 行政申訴
Including data on ten oldest pending requests & appeals
包括年代最久遠(yuǎn)的十個(gè)待決請(qǐng)求和申訴的數(shù)據(jù)
Open Government Act of 2007 2007年開放政府法案(2)
Agencies must report detailed information regarding expedited review and fee waiver requests
機(jī)構(gòu)應(yīng)報(bào)告關(guān)于加速審理和免除費(fèi)用請(qǐng)求的詳細(xì)信息
The agency’s annual FOIA report must be broken down into agency components in addition to the aggregated report
在整體的報(bào)告外，機(jī)構(gòu)的年度《信息自由法》報(bào)告還應(yīng)該按照機(jī)構(gòu)分支進(jìn)行劃分
GAO: FREEDOM OF INFORMATION ACT
REPORT OF MARCH 2008 《信息自由法》案2008年3月報(bào)告
Freedom of Information Act: Agencies are Making Progress in Reducing Backlog, but Additional Guidance is Needed GAO-08-344
《信息自由法》案：機(jī)構(gòu)在減少積壓案件上獲得進(jìn)展，但仍需要額外的指導(dǎo)。
Congress asked GAO to examine FOIA requests and issue a report with recommendations on how the reports could be improved.
國會(huì)要求GAO檢查《信息自由法》請(qǐng)求，同時(shí)發(fā)布了一篇含有機(jī)構(gòu)報(bào)告應(yīng)如何改進(jìn)的報(bào)告
There were 21,282,405 FOIA requests for FY 2006
2006全年共收到了21,282,405份《信息自由法》申請(qǐng)
Of these 18,691,031 were Social Security Administration requests
其中的18,691,031份是社會(huì)安全執(zhí)行申請(qǐng)
Routine SSA requests 一份典型的社會(huì)安全執(zhí)行申請(qǐng)
Of the over 18 million SSA requests the vast majority, 99.8%, were handled by non FOIA staff.
在所有的超過1800萬份的社會(huì)安全執(zhí)行申請(qǐng)中的絕大多數(shù)，99.8%，是由非自由信息機(jī)構(gòu)的人員處理的。
Total FOIA Requests-2006 2006年自由信息申請(qǐng)總量
87.82% SSA 87.82% 社會(huì)安全執(zhí)行申請(qǐng)
When exclude SSA requests handled by non-FOIA staff, VA requests compose 73.81% of total
在排除了非自由信息機(jī)構(gòu)人員處理的社會(huì)安全執(zhí)行申請(qǐng)后，VA申請(qǐng)占到了73.81%
Pending Requests for FY 2006 2006年全年待決申請(qǐng)
Can see a wide disparity of pending as percentage of total requests received
可以發(fā)現(xiàn)不同機(jī)構(gòu)在待決申請(qǐng)比例上的巨大差異
Department of Homeland Security 國土安全部
Within DHS 89% from Citizenship and Immigration Services
國土安全部的待決申請(qǐng)89%來自公民和移民服務(wù)
Over 100,000 requests annually 每年有超過100,000份申請(qǐng)
These are individual requests asking for what is, in many instances, paper files
其中的一些請(qǐng)求在很多情況下問的都是諸如什么是書面文件之類的問題
Factors Contributing to FOIA Cases Remaining Open Beyond Statutory Limit
造成《信息自由法》案件超越司法限制的因素
Requests may involve large volumes of responsive records
申請(qǐng)可能涉及到大量敏感記錄
Requests may require extensive review & consultations
申請(qǐng)可能要求大范圍閱覽或咨詢
Agencies may need to notify submitters of information before disclosure
機(jī)構(gòu)可能需要在公布信息前通知提交者
Requests may be delayed until ongoing investigations are completed
申請(qǐng)可能在調(diào)查結(jié)束前被一直拖延
GAO Recommendations GAO推薦
Main recommendation: Provide additional guidance to agencies regarding reporting requirements
主要推薦：為各機(jī)構(gòu)提供關(guān)于報(bào)告要求的額外指導(dǎo)
OIP Guidance of May 2008 2008年5月OIP指南
Partially in response to the GAO Report 是GAO報(bào)告的部分回應(yīng)
Specified new data elements to be included in the annual report
詳細(xì)的新數(shù)據(jù)會(huì)被加入年度報(bào)告
Provides many sample chart templates to be used in the annual reports
提供了很多供年度報(bào)告使用的表格樣本
What Have we Learned? 我們學(xué)到了什么
Have standardized reports across all agencies 所有機(jī)構(gòu)都有標(biāo)準(zhǔn)報(bào)告
Have capability of subdividing agencies into its constituent parts
能夠?qū)C(jī)構(gòu)進(jìn)一步劃分為不同分支
Make reports available to the public 使報(bào)告向公眾開放
Have one person in charge of FOIA requests in each agencies
每個(gè)機(jī)構(gòu)都有一個(gè)人主管信息自由申請(qǐng)
Have a liaison program in place so the public can communicate people well versed in the specific FOIA laws and regulations
設(shè)立一個(gè)聯(lián)絡(luò)項(xiàng)目以使公眾能夠和熟悉自由信息法條文的人進(jìn)行交流
Have a mechanism for rapidly processing routine requests
有一個(gè)快速處理傳統(tǒng)申請(qǐng)的機(jī)制
This recognizes that the vast majority of information requested by individuals is for personal information
這證明了絕大多數(shù)個(gè)人申請(qǐng)都是關(guān)于個(gè)人信息的請(qǐng)求