SMITHSONIAN DIRECTIVE 807,

February 4, 2009,

Date Last Declared Current: March 30, 2023

REQUESTS FOR SMITHSONIAN INSTITUTION INFORMATION

Policy 1

Definition of Information 2

Information which May Be Exempt

from Disclosure 3

Effective Date for Certain 

Contracts/Agreements 5

The Privacy Act/Ethics in Government Act 5

Electronic Access to Information 6

Amendments 6

Attachment A, Procedures for Processing

Requests for Smithsonian Information

Attachment B, Exemptions under the

Freedom of Information Act

Policy It is the policy of the Smithsonian Institution 

(“Smithsonian” or “SI”) to respond timely to written 

requests for Smithsonian information consistent with 

the principles of disclosure under the Freedom of 

Information Act (FOIA) and in a manner that fosters 

openness and accountability and supports the 

Smithsonian’s mission. 
Smithsonian Directive 807, 

2/4/09

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When considering requests for Smithsonian 

information, the Smithsonian will apply a presumption 

of disclosure. It will be the policy of the Smithsonian to 

disclose information unless this directive clearly 

provides otherwise, except where disclosure would be 

harmful to an interest protected by an exemption. 

Where release would not be harmful to the 

Smithsonian or to an interest protected by an 

exemption, the Smithsonian may choose to release 

information that falls within an existing exemption. 

Procedures for processing requests for information 

and for appeals are set forth in a separate

“Procedures” document attached to this directive as 

Attachment A.

Definition

of Information

This directive applies to all Smithsonian information 

embodied in a Smithsonian record, regardless of the 

format in which the information is maintained and 

whether the information is maintained directly by the 

Smithsonian or by a private entity under contract.

This directive is not intended to affect the way in 

which material about Smithsonian collections and 

programs is ordinarily made available through the 

Smithsonian Institution Libraries and Archives, the 

Office of Visitor Services and Volunteer Management, 

and the Research Information System. These offices 

will continue to provide a wealth of materials directly 

to the public.
Smithsonian Directive 807, 

2/4/09

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Information which 

May Be Exempt 

from Disclosure

In determining whether to disclose a Smithsonian 

record, the Smithsonian applies the exemptions from 

disclosure that are included in FOIA (attached to this 

directive as Attachment B) and interprets those 

exemptions in a manner consistent with their 

interpretation by the Executive Branch agencies to 

which FOIA applies. However, because of the unique 

nature of the Smithsonian outside the Executive 

Branch, its charitable and educational activities, and 

its need to raise funds from private-sector sources, 

the Smithsonian must evaluate records not regularly 

kept by Executive Branch agencies, some of which 

may not be exempt under existing interpretations of 

FOIA.

To assist requesters, this directive lists examples of 

such categories of information that are exempt from 

disclosure under this directive, and identifies the FOIA 

exemption that the Smithsonian has determined will 

apply to such information.

The Smithsonian will not withhold under this directive

any information contained in its publicly available 

Internal Revenue Service (IRS) Form 990 (Return of 

Organization Exempt From Income Tax) and 990-T 

(Exempt Organization Business Income Tax Return) 

or its audited financial statements.

The following is a partial list of FOIA exemptions and 

specific information the Smithsonian might withhold 

under these exemptions.

FOIA Exemption (b)(2). The Smithsonian will interpret 

Exemption 2 as including information the disclosure of 

which would risk circumvention of a Smithsonian 

directive, policy, or procedure, where the Smithsonian 

reasonably foresees that disclosure would be harmful 

to the Smithsonian, such as information related to the 

value of Smithsonian collections.
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Information which 

May Be Exempt 

from Disclosure

(continued)

FOIA Exemption (b)(4). The Smithsonian will interpret 

Exemption 4 as including:

(1) Information about those aspects of Smithsonian 

financial investments involving Smithsonian trust 

funds that are subject to the confidentiality 

provisions contained in agreements with 

investment firms; and

(2) Smithsonian trade secrets and Smithsonian 

commercial or financial information directly related 

to the Smithsonian’s revenue-generating activities, 

including fund-raising and development activities, 

and where release of the information would be 

likely to cause the Smithsonian substantial 

competitive harm or impair its ability to carry out its 

charitable and educational mission by raising 

private funds. Unless directly related to the 

Smithsonian’s revenue-generating activities, the 

Smithsonian will not apply this exemption to 

Smithsonian information contained in contracts or 

agreements which commit federal appropriations 

or federal assets.

FOIA Exemption (b)(5). The Smithsonian will interpret 

Exemption 5 to include information that is part of 

ongoing research and other current projects (e.g., 

exhibitions, educational materials, etc.), where the 

Smithsonian reasonably foresees that disclosure of 

the information prior to the information being made 

publicly available would be harmful to the Smithsonian 

or its employees.

In response to requests, the Smithsonian will inform 

the requester of the estimated completion date of the 

research or project so that the requester may ask for 

the information at that time. The information then will 

be released unless otherwise exempt from disclosure. 

This exemption also includes information provided to 

the Smithsonian by an outside research, scientific or 

zoological organization for the purpose of research, 

consultation or advice that is held confidential by the 

outside organization.
Smithsonian Directive 807, 

2/4/09

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Information which 

May Be Exempt 

from Disclosure

(continued)

FOIA Exemption (b)(6). The Smithsonian will interpret 

Exemption 6 to permit withholding of donor files and 

information, including donor-identifying information. 

The Smithsonian will also interpret Exemption 6 to 

permit withholding of files compiled to conduct 

employee conflict of interest reviews and financial 

disclosure forms.

FOIA Exemption (b)(9). The Smithsonian will interpret 

Exemption 9 as including information and data 

concerning collecting localities of species and 

artifacts, if necessary to protect them from being 

endangered or commercially traded, or to protect 

cultural and religious sites.

Effective Date

for Certain

Contracts/

Agreements

This directive does not apply to contracts/agreements 

directly related to the Smithsonian’s revenuegenerating activities entered into prior to November 

30, 2007, in which parties contracting with the 

Smithsonian entered into a contractual relationship 

with an expectation that the terms of the agreement 

would not be disclosed to the public.

The Privacy Act/

Ethics in 

Government Act

Although the Smithsonian Institution is not subject to 

the Privacy Act or the Ethics in Government Act, the 

Institution responds to requests for information in a 

manner consistent with these Acts and applicable 

Smithsonian Directives. Smithsonian records or 

information that would be protected from disclosure 

under the Privacy Act or the Ethics in Government Act 

will not be provided through requests for information 

under this directive. 
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2/4/09

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Electronic Access 

to Information

The Smithsonian will establish a link from the 

homepage of its public website (www.si.edu) to a 

Request for Smithsonian Information site. This site will 

serve as an Electronic Reading Room and will provide 

information related to this directive, such as how to 

request Smithsonian information, how to contact 

relevant staff, and how to determine the status of a 

request. The Institution will post to this site documents 

that have been or are likely to be requested by

multiple parties.

Amendments This directive may only be amended with the approval 

of the Board of Regents, except with respect to 

Attachment B which may be amended without such 

approval to reflect changes in the law.

SUPERSEDES: SD 807, November 30, 2007

INQUIRIES: Office of General Counsel (OGC)

RETENTION: Indefinite. Subject to review for currency 36 months from date of issue
SMITHSONIAN DIRECTIVE 807, Attachment A,

February 4, 2009,

Date Last Declared Current: March 30, 2023

PROCEDURES FOR PROCESSING REQUESTS FOR SMITHSONIAN 

INFORMATION AND FOR APPEALS

Responsibilities 1

Submitting Requests 3

Responding to Requests 3

Appeals 6

External Review 6

Office of the Inspector General (OIG) 6

Responsibilities 1. Office of the General Counsel (OGC) — OGC 

shall provide the equivalent of a Freedom of 

Information Act (FOIA) Requester Center. The 

General Counsel shall serve as the equivalent of a 

Chief FOIA Officer and shall have the authority to 

effectuate this directive. The General Counsel 

shall appoint at least one member of his or her 

staff to serve as the equivalent of a FOIA Officer, 

who shall be referred to as the Information 

Requests Officer.

The Officer, under the supervision of the General 

Counsel, will review, redact, and provide records 

to the public in a manner consistent with this 

directive, guided by the spirit of FOIA, and by 

federal regulations, Executive Orders, judicial 

decisions, and other federal laws relevant to FOIA. 

The Officer also will prepare reports and provide 

information to the public about how to request 

Smithsonian documents. The Officer’s name and 

contact information will be posted on the 

Smithsonian website. 

The General Counsel will consult with the Office of 

the Secretary as needed, and recommend to the 

Secretary such adjustments to agency practices, 

policies, personnel, and funding as may be 

necessary to improve the implementation of this 

directive.
Smithsonian Directive 807, Attachment A,

2/4/09

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Responsibilities

(continued)

2. Office of Public Affairs (OPA) — OPA, in

consultation with OGC, is responsible for serving 

as the Institution’s liaison when a requester is a 

member of the media or press, or asks for records 

that involve the media, press, or public relations. 

OPA, in consultation with OGC and the Office of 

the Chief Information Officer, is responsible for 

posting information on the home page of the 

Smithsonian website (www.si.edu) that explains 

the policies and procedures for obtaining SI 

records.

3. Office of the Chief Information Officer (OCIO)

— OCIO is responsible for providing technical 

support to locate and retrieve electronic records. 

OCIO, in consultation with OGC and OPA, is 

responsible for developing the Requests for 

Smithsonian Information link on the Smithsonian 

website (www.si.edu) and for posting information 

as requested by OGC and OPA.

4. Office of Human Resources (OHR) — OHR will 

respond to requests from current and former 

employees for copies of their personnel records in 

a manner consistent with this directive and 

relevant federal law. OHR will refer other requests 

for OHR records to OGC.

5. Directors — Smithsonian office and unit directors 

are responsible for:

a. referring to OGC requests for records or 

requests that cite this directive or FOIA;

b. designating a contact person within the office to 

coordinate the search for documents and 

provide documents to OGC;

c. ensuring that staff make reasonable efforts to 

search for relevant records;

d. providing responsive records to OGC within a 

reasonable time; 
Smithsonian Directive 807, Attachment A,

2/4/09

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Responsibilities

(continued)

e. identifying information in any responsive record 

for which there appears to be a legitimate basis 

for withholding under this directive and which is 

not otherwise publicly available; and

f. tracking the amount of time spent and cost of 

searching for relevant records.

Submitting 

Requests

A request for Smithsonian records must be in writing 

and of sufficient detail to enable Smithsonian staff to 

identify and locate specific records using a reasonable 

amount of time and effort.

Responding 

to Requests

1. Determination of Requests — OGC will send a 

written determination to the requester within 20 

business days of receiving the request, informing 

the requester whether or not the Institution can 

comply with the request and the reasons for its 

decision. If OGC has determined that no records 

exist, or additional information is needed to begin a 

search, or if the General Counsel has determined 

that records exist but no portion can be released 

under this directive, the letter will say so and 

explain how to seek an appeal. The letter will also 

provide the requester with a tracking number 

assigned to the request, which he or she can use 

to determine the status of his/her request. The 

Smithsonian must comply with the timing of this 

requirement in order to charge fees to the 

requester.

2. Time for Providing Records — The Smithsonian 

makes every effort to provide documents as 

quickly as possible, taking into account the scope 

and depth of each request. When reasonable, the 

Institution will provide records in the format 

requested. Requests are placed in one of three 

tracks. Track one is for those requests that seek 

and receive expedited processing pursuant to 

subsection (a)(6)(E) of FOIA. The second track is 

for those requests that do not involve sensitive 

records, voluminous records, or lengthy

consultations with other entities.
Smithsonian Directive 807, Attachment A,

2/4/09

4

Responding 

to Requests

(continued)

Track three is for those requests that involve 

voluminous records and for which lengthy or 

numerous consultations are required, or involve 

sensitive records. This approach allows smaller 

requests to be answered as quickly as possible. 

Requesters may narrow the scope of complex 

requests in order to obtain documents faster. OGC 

will evaluate requests for expedited processing in 

accordance with FOIA.

3. Search for Records — Searches will be diligent 

and reasonably tailored to locate the documents 

requested. OGC shall determine if responsive 

records are likely to exist and, if so, will contact the 

office(s) best able to conduct a search. The 

contact person at that office shall estimate a time 

frame for providing the responsive records to 

OGC, and estimate the number of pages that may 

be generated. The contact person shall conduct 

the search or assign staff to do so. If, in 

consultation with OGC, the contact person cannot 

reasonably ascertain what records are being 

requested, then OGC will notify the requester that 

the request cannot be processed as written.

4. Review and Redaction of Records — Records 

will be reviewed and redacted in accordance with 

this directive. Documents created by another 

governmental entity will either be processed in 

consultation with that entity or be referred to that 

entity for processing. Documents authored by a 

third party or containing information that may be 

protected from disclosure as a trade secret and/or 

confidential commercial or financial information 

may be forwarded to the party for consultation and 

an opportunity to object to disclosure.

5. Information Originating Outside the 

Smithsonian — It is the policy of the Smithsonian 

not to provide records or information from its files 

that originates in a federal agency or nonfederal 

organization to persons who may not be entitled to 

obtain the records or information from the 
Smithsonian Directive 807, Attachment A,

2/4/09

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Responding 

to Requests

(continued)

originator. In such instances, requesters will be 

referred to the person or organization that 

originated the records.

6. Response Letters and Delivery of Records —

Responsive records will be provided unless a 

determination is made to withhold them under this 

directive. OGC will include a response letter that 

explains what documents are provided, what 

documents are withheld (if any), the reasons for 

redactions or withholdings, and instructions on 

how to appeal the decision. When a contact 

person notifies OGC that a search will yield a large 

number of records, OGC may, in consultation with 

the contact person, ask the requester to inspect 

the records on site, in lieu of delivering copies to 

the requester.

7. Fees — Requesters will be charged fees 

consistent with this directive and federal 

regulations relevant to the disclosure of agency 

records. The Institution will post its fee policy on 

the Requests for Smithsonian Information link on 

the Smithsonian website, and will update this 

policy as appropriate.

8. Reporting — OGC will prepare monthly and 

annual reports to provide the public with 

meaningful information about their requests for 

Smithsonian documents, such as the number of 

requests, the length of time a request is open, and 

the type of documents requested. Monthly reports 

will include a tracking number assigned to each 

request, so that requesters can easily determine 

the status of his/her request. These reports will be 

posted on the Requests for Smithsonian 

Information website.

9. File Management — OGC will preserve files 

created in response to a request for records until 

their destruction is authorized by the Records 

Management division of Smithsonian Institution 

Libraries and Archives.
Smithsonian Directive 807, Attachment A,

2/4/09

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Appeals A requester has the right to appeal a partial or full 

denial of his/her request. An appeal must be in writing 

and addressed to the Office of General Counsel, 

Smithsonian Institution, and made within 60 days from 

the date of a full or partial denial. The request must 

explain the reason for appeal. The Deputy Secretary 

and Chief Operating Officer shall have the authority to 

decide appeals. The requester will receive an answer 

in writing that specifies the reason(s) for granting or 

denying the appeal.

External Review A requester may at any time request the Office of 

Government Information Services, National Archives 

and Records Administration, to offer dispute resolution 

and issue advisory opinions to resolve disputes about 

the withholding of information or documents under this 

directive, in accordance with the Open Government 

Act of 2007. The Smithsonian will provide a written 

response to any such advisory opinion and post the 

advisory opinion and the Smithsonian’s response on 

the Smithsonian website (www.si.edu).

Office of the 

Inspector General 

(OIG)

Because OIG is an independent unit within the 

Smithsonian, it will make its own determinations as to 

the release of its records. OIG will respond to 

requests in accordance with the Inspector General Act 

of 1978, as amended, and in accordance with the 

principles of FOIA, the Privacy Act, and the Ethics in 

Government Act. OIG will also generally follow the 

procedures set forth in this directive. The Counsel to 

the Inspector General will serve as the Information 

Requests Officer within OIG, and the Inspector 

General shall have the authority to decide appeals of 

decisions made by the Officer.
SMITHSONIAN DIRECTIVE 807, Attachment B,

February 4, 2009,

Date Last Declared Current: March 30, 2023

EXEMPTIONS UNDER THE FREEDOM OF INFORMATION ACT

5 United States Code (U.S.C.) § 552(b) of the Freedom of Information Act 

states that the Act:

“does not apply to matters that are —

(1) (A) specifically authorized under criteria established by an Executive order 

to be kept secret in the interest of national defense or foreign policy and (B) 

are in fact properly classified pursuant to such Executive order;

(2) related solely to the internal personnel rules and practices of an agency;

(3) specifically exempted from disclosure by statute (other than section 552b of 

this title), if that statute —

(A)(i) requires that the matters be withheld from the public in such a manner 

as to leave no discretion on the issue; or 

(ii) establishes particular criteria for withholding or refers to particular types 

of matters to be withheld; and

(B) if enacted after the date of enactment of the OPEN FOIA Act of 2009, 

specifically cites to this paragraph. 

(4) trade secrets and commercial or financial information obtained from a 

person and privileged or confidential;

(5) inter-agency or intra-agency memorandums or letters that would not be 

available by law to a party other than an agency in litigation with the 

agency, provided that the deliberative process privilege shall not apply to 

records created 25 years or more before the date on which the records 

were requested;

(6) personnel and medical files and similar files the disclosure of which would 

constitute a clearly unwarranted invasion of personal privacy;
Smithsonian Directive 807, Attachment B,

2/4/09

2

(7) records or information compiled for law enforcement purposes, but only to 

the extent that the production of such law enforcement records or 

information (A) could reasonably be expected to interfere with enforcement 

proceedings, (B) would deprive a person of a right to a fair trial or an 

impartial adjudication, (C) could reasonably be expected to constitute an 

unwarranted invasion of personal privacy, (D) could reasonably be 

expected to disclose the identity of a confidential source, including a State, 

local, or foreign agency or authority or any private institution which 

furnished information on a confidential basis, and, in the case of a record or 

information compiled by a criminal law enforcement authority in the course 

of a criminal investigation or by an agency conducting a lawful national 

security intelligence investigation, information furnished by a confidential 

source, (E) would disclose techniques and procedures for law enforcement 

investigations or prosecutions, or would disclose guidelines for law 

enforcement investigations or prosecutions if such disclosure could 

reasonably be expected to risk circumvention of the law, or (F) could 

reasonably be expected to endanger the life or physical safety of any 

individual;

(8) contained in or related to examination, operating, or condition reports 

prepared by, on behalf of, or for the use of an agency responsible for the 

regulation or supervision of financial institutions; or

(9) geological or geophysical information and data, including maps, concerning 

wells.”