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DoD 5400.7-R, September 1998

2 FOREWORD
TABLE OF CONTENTS

Paragraph Page

 

CHAPTER 1 - GENERAL PROVISIONS

 

Section 1 - REFERENCES

 

C1.1.1. References 10

 

Section 2 - PURPOSE AND APPLICABILITY 

 

C1.2.1. Purpose 10

C1.2.2. Applicability 10

 

Section 3 - DOD PUBLIC INFORMATION 

 

C1.3.1. Public Information 10

C1.3.2. Control Information 12

 

Section 4 - DEFINITIONS

 

C1.4.1. Definitions 12

C1.4.2. FOIA Request 12

C1.4.3. Agency Record 12

C1.4.4. DoD Component 13

C1.4.5. Initial Denial Authority 14

C1.4.6. Appellate Authority 14

C1.4.7. Administrative Appeal 14

C1.4.8. Public Interest 14

C1.4.9. Electronic Record 14

C1.4.10. Federal Agency 14

 

Section 5 - POLICY

 

C1.5.1. Compliance with the FOIA 15

C1.5.2. Openness with the Public 15

 

C1.5.3. Avoidance of Procedural Obstacles 15

C1.5.4. Prompt action on Requests 15

C1.5.5. Use of Exemptions 17

C1.5.6. Public Domain 18

C1.5.7. Creating a Record 18

C1.5.8. Description of Requested Record 19

C1.5.9. Referrals 20

C1.5.10. Authentication 23

C1.5.11. Combatant Commands 23

C1.5.12. Records Management 23

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DoD 5400. 7-R, September 1998

C1.5.13. Relationship Between the FOIA and the Privacy Act (PA) 23 

C1.5.14. Non-Responsive Information in Responsive Records 24 

C1.5.15. Honoring Form or Format Requests 25 

 CHAPTER 2- FOIA READING ROOMS 

 Section 1 – REQUIREMENTS 

C2.1.1. Reading Room 26 

C2.1.2. Record Availability 26 

 Section 2 – INDEXES 

C2.2. 1. ‘(a)(2)” Materials 28 

C2.2.2. Other Materials 29 

 CHAPTER 3- EXEMPTIONS 

 Section 1 - GENERAL PROVISIONS 

C3.1.l. General 30 

 Section 2- EXEMPTIONS 

C3.2.1. FOIA Exemptions 30 

 CHAPTER 4- [REMOVED] FOR OFFICIAL USE ONLY

Section 1 - GENERAL PROVISIONS

C4.1.1. General 42

C4.1.2. Prior FOUO Application 42

C4.1.3. Historical Papers 42

C4.1.4. Time to Mark Records 42

C4.1.5. Distribution Statement 42

Section 2 – MARKINGS

C4.2.1. Location of Markings 43

Section 3 - DISSEMINATION AND TRANSMISSION

C4.3.1. Release and Transmission Procedures 43

C4.3.2. Transporting FOUO Information 44

C4.3.3. Electronically and Facsimile Transmitted Messages 44

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DoD 5400. 7-R, September 1998

Section 4- SAFEGUARDING FOUO INFORMATION

C4.4.1. During Duty Hours 45

C4.4.2. During Non-Duty Hours 45

Section 5- TERMINATION, DISPOSAL AND UNAUTHORIZED

DISCLOSURE

C4.5.1. Termination 45

C4.5.2. Disposal 45

C4.5.3. Unauthorized Disclosure 46

 CHAPTER 5- RELEASE AND PROCESSING PROCEDURES 

 Section 1 - GENERAL PROVISIONS 

C5.1.l. Public Information 47 

C5.1.2. Requests from Private Parties 47 

C5.1.3. Requests from Government Officials 48 

C5.1.4. Privileged Release Outside of the FOL4 to U.S. Government Officials 48 

C5.1.5. Consultation with Affected DoD Component 48 

 Section 2- INITIAL DETERMINATIONS 

C5.2.1. Initial Denial Authority 49 

C5.2.2. Reasons for Not releasing a Record 50 

C5.2.3. Denial Tests 50 

C5.2.4. Reasonably Segregable Portions 51 

C5.2.5. Response to Requester 51 

C5.2.6. Extension of Time 53 

C5.2.7. Misdirected Requests 54 

C5.2.8. Records of Non-U.S. Government Source 54 

CS.2.9. File of Initial Denials 56 

CS.2.10. Special Mail Services 56 

C5.2.11. Receipt Accounts 56 

 Section 3 - APPEALS 

C5.3.1. General 57 

C5.3.2. Time of Receipt 57 

C5.3.3. Time Limits 57 

C5.3.4. Delay in Responding to an Appeal 58 

C5.3.5. Response to the Requester 58 

C5.3.6. Consulation 59 

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Section 4 - JUDICIAL ACTIONS

 

C5.4.1. General 60

C5.4.2. Jurisdiction 60

C5.4.3. Burden of Proof 60

C5.4.4. Actions by the Court 60

C5.4.5. Non-United States Government Source Information 61

C5.4.6. FOIA Litigation 61

 

CHAPTER 6 - FEE SCHEDULE

 

Section 1 - GENERAL PROVISIONS

 

C6.1.1. Authorities 62

C6.1.2 Application 62

C6.1.3 Fee Restrictions 64

C6.1.4 Fee Waivers 65

C6.1.5 Fee Assessment 68

C6.1.6 Aggregrating Requests 73

C6.1.7 Effect of the Debt Collection Act of 1982 (P.L. 97-365) 73

C6.1.8 Computation of Fees 74

C6.1.9 Refunds 74

 

Section 2 - COLLECTION OF FEES AND FEE RATES

 

C6.2.1. Collection of Fees 74

C6.2.2. Search Time 74

C6.2.3. Duplication 75

C6.2.4. Review Time 75

C6.2.5. Audiovisual Documentary Materials 75

C6.2.6. Other Records 76

C6.2.7. Costs for Special Services 76

 

Section 3 - COLLECTION OF FEES AND FEE RATES FOR TECHNICAL DATA

 

C6.3.1. Fees for Technical Data 76

 

CHAPTER 7 - REPORTS

 

C7.1.1. General 79

C7.1.2. Annual Report 79

C7.1.3. Electronic Publication 87

 

CHAPTER 8 - EDUCATION AND TRAINING

 

Section 1 - RESPONSIBILITY AND PURPOSE

 

C8.1.1. Responsibility 88

C8.1.2. Purpose 88

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C8.1.3. Scope and Principles 88

C8.1.4. Implementation 88

C8.1.5. Uniformity of Legal Interpretation 89

 

APPENDICES

 

Appendix 1 Combatant Commands - Processing Procedures for FOIA Appeals 90

Appendix 2 Addressing FOIA Requests 93

Appendix 3 DD Form 2086, "Record of Freedom of Information (FOI) Processing Cost" 99

Appendix 4 DD Form 2086-1, "Record of Freedom of Information (FOI) Processing 

Cost for Technical Data"

101

Appendix 5 DD Form 2564, "Annual Report Freedom of Information Act" 103

Appendix 6 DoD Freedom of Information Act Program Components 105

DoD 5400.7-R, September 1998

7 TABLE OF CONTENTS
REFERENCES

(a) Section 552 of title 5, United States Code, "Freedom of Information Act"

(b) DoD Directive 5400.7, "DoD Freedom of Information act Program," September 29, 

1997 

(c) "Personal Papers of Executive Branch Officials: A Management Guide," National 

Archives and Records Administration, Office of Records Administration, 

Washington, DC, 19921

(d) Section 552a of title 5, United States Code, "The Privacy Act of 1974"

(e) DoD Directive 5100.3, "Support of the Headquarters of Unified, Specified and 

Subordinate Commands," November 1, 1988 

(f) Section 551 of title 5, United States Code, "Administrative Procedures Act"

(g) DoD 5200.1-R, "DoD Information Security Program Regulation," January 1997, 

authorized by DoD Directive 5200.1, December 13, 1996

(h) Sections 181-188 of title 35, United States Code, "Patent Secrecy"

(i) Section 2162 of title 42, United States Code, "Restricted Data and Formerly 

Restricted Data"

(j) Section 798 of title 18, United States Code, "Communication Intelligence"

(k) Section 130 of title 10, United States Code, "Authority to Withhold from Public 

Disclosure Certain Technical Data"

(l) DoD Directive 5230.25, "Withholding of Unclassified Technical Data From Public 

Disclosure," November 6, 1984 

(m) Section 1102f of title 10, United States Code, "Confidentiality of Medical Quality 

Assurance Records: Qualified Immunity for Participants"

(n) Section 128 of title 10, United States Code, "Physical Protection of Special 

Nuclear Material: Limitation on Dissemination of Unclassified Information"

(o) Section 403-3(c)(6) of title 50, United States Code, "Protection of Intelligence 

Sources and Methods"

(p) Section 2305(g) of title 10, United States Code, "Protection of Contractor 

Submitted Proposals"

(q) Section 423 of title 41, United States Code, "Procurement Integrity"

(r) Sections 2320-2321 of title 10, United States Code, "Rights in Technical Data" and 

"Validation of Proprietary Data Restrictions"

(s) Subpart 227.71-227.72 of chapter 2 of title 48, Code of Federal Regulations, 

"Rights in Technical Data" and "Rights in Computer Software and Computer 

Software Documentation," June 28, 1995

(t) Section 106 of title 17, United States Code, "Copyright Act of 1976"

(u) DoD Directive 5154.24, "Armed Forces Institute of Pathology," October 28, 1996 

DoD 5400.7-R, September 1998

8 REFERENCES
(v) DoD 5400.11-R, "Department of Defense Privacy Program," August 1983, 

authorized by DoD Directive 5400.11, June 9, 1982

(w) Section 3500 of title 18, United States Code, "The Jencks Act"

(x) DoD Directive 5230.24, "Distribution Statements on Technical Documents," 

March 18, 1987 

(y) DoD Directive 5400.4, "Provision of Information to Congress," January 30, 1978 

(z) DoD Directive 7650.1, "General Accounting Office (GAO) and Comptroller 

General Access to Records," September 11, 1997 

(aa) Section 402 of title 50, United States Code, note, "National Security Act of 1959"

(ab) Sections 3301-3314 of title 44, United States Code, "Disposal of Records"

(ac) Executive Order 12600, "Predisclosure Notification Procedures for Confidential 

Commercial Information," June 23, 1987

(ad) Treasury Financial Manual, current edition2

(ae) Chapter 35 of title 44, United States Code, "Coordination of Federal Information 

Policy"

(af) Title 31 United States Code, "Money and Finance"

(ag) Section 2328 of title 10, United States Code, "Release of Technical Data under 

Freedom of Information Act: Recovery of Costs"

(ah) Federal Register, Volume 52, pages 10012-10020, March 27, 1987

(ai) DoD 7000.14-R, Volume 11A, "Department of Defense Financial Management 

Regulation (Reimbursable Operations, Policy and Procedures)," March 1997, 

authorized by DoD Instruction 7000.14, November 15, 1992

(aj) Section 3717 of title 31, United States Code, "Interest and Penalty on Claims"

(ak) Public Law 97-365, "Debt Collection Act of 1982," October 25, 1982

(al) DoD Manual 8320.1-M, "Data Administration Procedures," March 1994, 

authorized by DoD Directive 8320.1, September 26, 1991

(am) DoD Instruction 5400.10, "OSD Implementation of DoD Freedom of Information 

Act Program," January 24, 1991

(an) DoD 8910.1-M, "DoD Procedures for Management of Information 

Requirements," June 1998, authorized by DoD Directive 8910.1, June 1993 

(ao) Part 518 of title 32, Code of Federal Regulations, "The Army Freedom of 

Information Act Program," March 23, 1990

1 Available from the Records Administration Information Center, Agency Services Division (NIA), Washington, DC 20408.

2 Available from the U.S. Government Printing Office, Superintendent of Documents, Mail Stop: SSOP, Washington, DC 

20402-9328.

DoD 5400.7-R, September 1998

9 REFERENCES
C1. CHAPTER 1

GENERAL PROVISIONS

C1.1. REFERENCES

C1.1.1. References (see pages 8 and 9, above).

C1.2. PURPOSE AND APPLICABILITY

C1.2.1. Purpose. This Regulation provides policies and procedures for the DoD 

implementation of the Freedom of Information Act (5 U.S.C. 552, as amended) and 

DoD Directive 5400.7 (references (a) and (b)), and promotes uniformity in the DoD 

Freedom of Information Act (FOIA) Program.

C1.2.2. Applicability. This Regulation applies to the Office of the Secretary of 

Defense (OSD), the Military Departments, the Chairman of the Joint Chiefs of Staff, 

the Combatant Commands, the Inspector General of the Department of Defense (IG 

DoD), the Defense Agencies, and the DoD Field Activities (hereafter referred to 

collectively as “the DoD Components”). This Regulation takes precedence over all 

DoD Component publications that supplement and implement the DoD FOIA 

Program. A list of DoD Components is at Appendix AP6.

C1.3. DoD PUBLIC INFORMATION

C1.3.1. Public Information.

C1.3.1.1. The public has a right to information concerning the activities of its 

Government. DoD policy is to conduct its activities in an open manner and provide 

the public with a maximum amount of accurate and timely information concerning its 

activities, consistent always with the legitimate public and private interests of the 

American people. A record requested by a member of the public who follows rules 

established by proper authority in the Department of Defense shall not be withheld in 

whole or in part unless the record is exempt from mandatory partial or total disclosure 

under the FOIA. As a matter of policy, DoD Components shall make discretionary 

disclosures of exempt records or information whenever disclosure would not 

foreseeably harm an interest protected by a FOIA exemption, but this policy does not 

create any right enforceable in court. In order that the public may have timely 

DoD 5400.7-R, September 1998

10 CHAPTER 1
information concerning DoD activities, records requested through public information 

channels by news media representatives that would not be withheld if requested under 

the FOIA should be released upon request. Prompt responses to requests for 

information from news media representatives should be encouraged to eliminate the 

need for these requesters to invoke the provisions of the FOIA and thereby assist in 

providing timely information to the public. Similarly, requests from other members of 

the public for information that would not be withheld under the FOIA should continue 

to be honored through appropriate means without requiring the requester to invoke the 

FOIA.

C1.3.1.2. Within the OSD, the Assistant Secretary of Defense for Command, 

Control, Communications, and Intelligence, as Chief Information Officer, in 

conjunction with the Assistant Secretary of Defense for Public Affairs, is responsible 

for ensuring preparation of reference material or a guide for requesting records or 

information from the Department of Defense, subject to the nine exemptions of the 

FOIA. This publication shall also include an index of all major information systems, 

and a description of major information and record locator systems, as defined by the 

Office of the Assistant Secretary of Defense for Command, Control, Communications, 

and Intelligence. DoD FOIA Components shall coordinate with the appropriate 

office(s) to insure that this is also accomplished within their department or 

organization.

C1.3.1.3. DoD Components shall also prepare, in addition to normal FOIA 

regulations, a handbook for the use of the public in obtaining information from their 

organization. This handbook should be a short, simple explanation to the public of 

what the FOIA is designed to do, and how a member of the public can use it to access 

Government records. Each DoD Component should explain the types of records that 

can be obtained through FOIA requests, why some records cannot, by law, be made 

available, and how the DoD Component determines whether the record can be 

released. The handbook should also explain how to make a FOIA request, how long 

the requester can expect to wait for a reply, and explain the right of appeal. The 

handbook should supplement other information locator systems, such as the 

Government Information Locator Service (GILS), and explain how a requester can 

obtain more information about those systems. The handbook should be available on 

paper and through electronic means and contain the following additional information, 

complete with electronic links to the below elements; the location of reading room(s) 

within the Component and the types and categories of information available, the 

location of Component’s World Wide Web page, a reference to the Component’s FOIA 

regulation and how to obtain a copy, a reference to the Component’s FOIA annual 

report and how to obtain a copy and the location of the Component’s GILS page. 

DoD 5400.7-R, September 1998

11 CHAPTER 1
Also, the DoD Components’ Freedom of Information Act Annual Reports should refer 

to the handbook and how to obtain it.

C1.3.2. Control System. A request for records that invokes the FOIA shall enter 

a formal control system designed to ensure accountability and compliance with the 

FOIA. Any request for DoD records that either explicitly or implicitly cites the FOIA 

shall be processed under the provisions of this Regulation, unless otherwise required 

by subsection C1.5.13., below.

C1.4. DEFINITIONS

C1.4.1. Definitions. As used in this Regulation, the following terms and 

meanings shall be applicable:

C1.4.2. FOIA Request. A written request for DoD records that reasonably 

describes the record(s) sought, made by any person, including a member of the public 

(U.S. or foreign citizen/entity), an organization, or a business, but not including a 

Federal Agency or a fugitive from the law, that either explicitly or implicitly invokes 

the FOIA, DoD Directive 5400.7 (reference (b)), this Regulation, or DoD Component 

supplementing regulations or instructions. Requesters should also indicate a 

willingness to pay fees associated with the processing of their request or, in the 

alternative, why a waiver of fees may be appropriate. Written requests may be 

received by postal service or other commercial delivery means, by facsimile, or 

electronically. Requests received by facsimile or electronically must have a postal 

mailing address included since it may not be practical to provide a substantive 

response electronically. The request is considered properly received, or perfected, 

when the above conditions have been met and the request arrives at the FOIA office of 

the Component in possession of the records.

C1.4.3. Agency Record.

C1.4.3.1. The products of data compilation, such as all books, papers, maps, 

and photographs, machine readable materials, inclusive of those in electronic form or 

format, or other documentary materials, regardless of physical form or characteristics, 

made or received by an agency of the United States Government under Federal law in 

connection with the transaction of public business and in Department of Defense 

possession and control at the time the FOIA request is made. Care should be taken 

not to exclude records from being considered Agency records, unless they fall within 

one of the categories of the subparagraph C1.4.3.2., below.

DoD 5400.7-R, September 1998

12 CHAPTER 1
C1.4.3.2. The following are not included within the definition of the word 

"record":

C1.4.3.2.1. Objects or articles, such as structures, furniture, vehicles and 

equipment, whatever their historical value, or value as evidence.

C1.4.3.2.2. Anything that is not a tangible or documentary record, such 

as an individual's memory or oral communication.

C1.4.3.2.3. Personal records of an individual not subject to Agency 

creation or retention requirements, created and maintained primarily for the 

convenience of an Agency employee, and not distributed to other Agency employees 

for their official use. Personal papers fall into three categories: those created before 

entering Government service; private materials brought into, created, or received in the 

office that were not created or received in the course of transacting Government 

business; and work-related personal papers that are not used in the transaction of 

Government business (see reference (c)).

C1.4.3.3. A record must exist and be in the possession and control of the 

Department of Defense at the time of the request to be considered subject to this 

Regulation and the FOIA. There is no obligation to create, compile, or obtain a record 

to satisfy a FOIA request. See paragraph C1.5.7.2., below on creating a record in the 

electronic environment.

C1.4.3.4. Hard copy or electronic records, that are subject to FOIA requests 

under 5 U.S.C. 552 (a)(3) (reference (a)), and that are available to the public through 

an established distribution system, or through the Federal Register, the National 

Technical Information Service, or the Internet, normally need not be processed under 

the provisions of the FOIA. If a request is received for such information, DoD 

Components shall provide the requester with guidance, inclusive of any written notice 

to the public, on how to obtain the information. However, if the requester insists that 

the request be processed under the FOIA, then the request shall be processed under the 

FOIA. If there is any doubt as to whether the request must be processed, contact the 

Directorate for Freedom of Information and Security Review.

C1.4.4. DoD Component. An element of the Department of Defense, as defined 

in subsection C1.2.2., above, authorized to receive and act independently on FOIA 

requests. (See Appendix AP6.) A DoD Component has its own initial denial 

authority (IDA), appellate authority, and legal counsel.

DoD 5400.7-R, September 1998

13 CHAPTER 1
C1.4.5. Initial Denial Authority (IDA). An official who has been granted 

authority by the head of a DoD Component to withhold records requested under the 

FOIA for one or more of the nine categories of records exempt from mandatory 

disclosure. IDA’s may also deny a fee category claim by a requester; deny a request 

for expedited processing due to demonstrated compelling need under paragraph 

C1.5.4.3., below, of this Regulation; deny a request for a waiver or reduction of fees; 

review a fee estimate; and confirm that no records were located in response to a 

request.

C1.4.6. Appellate Authority. The Head of the DoD Component or the 

Component head's designee having jurisdiction for this purpose over the record, or any 

of the other adverse determinations outlined in subsections C1.4.5., above, and 

C1.4.7., below.

C1.4.7. Administrative Appeal. A request by a member of the general public, 

made under the FOIA, asking the appellate authority of a DoD Component to reverse a 

decision: to withhold all or part of a requested record; to deny a fee category claim by 

a requester; to deny a request for waiver or reduction of fees;to deny a request to 

review an initial fee estimate; to deny a request for expedited processing due to 

demonstrated compelling need under paragraph C1.5.4.3., below, of this Regulation; to 

confirm that no records were located during the initial search. Requesters also may 

appeal the failure to receive a response determination within the statutory time limits, 

and any determination that the requester believes is adverse in nature.

C1.4.8. Public Interest. The interest in obtaining official information that sheds 

light on an Agency's performance of its statutory duties because the information falls 

within the statutory purpose of the FOIA to inform citizens about what their 

Government is doing. That statutory purpose, however, is not fostered by disclosure 

of information about private citizens accumulated in various Governmental files that 

reveals nothing about an Agency's or official's own conduct.

C1.4.9. Electronic Record. Records (including e-mail) that are created, stored, 

and retrievable by electronic means.

C1.4.10. Federal Agency. As defined by 5 U.S.C. 552 (f)(1) (reference (a)), a 

Federal Agency is any executive department, military department, Government 

corporation, Government-controlled corporation, or other establishment in the 

Executive Branch of the Government (including the Executive Office of the President), 

or any independent regulatory Agency.

DoD 5400.7-R, September 1998

14 CHAPTER 1
C1.5. POLICY

C1.5.1. Compliance with the FOIA. DoD personnel are expected to comply 

with the FOIA, this Regulation, and DoD FOIA policy in both letter and spirit. This 

strict adherence is necessary to provide uniformity in the implementation of the DoD 

FOIA Program and to create conditions that will promote public trust.

C1.5.2. Openness with the Public. The Department of Defense shall conduct its 

activities in an open manner consistent with the need for security and adherence to 

other requirements of law and regulation. Records not exempt from disclosure under 

the Act shall, upon request, be made readily accessible to the public in accordance 

with rules promulgated by competent authority, whether or not the Act is invoked.

C1.5.3. Avoidance of Procedural Obstacles. DoD Components shall ensure that 

procedural matters do not unnecessarily impede a requester from obtaining DoD 

records promptly. Components shall provide assistance to requesters to help them 

understand and comply with procedures established by this Regulation and any 

supplemental regulations published by the DoD Components.

C1.5.4. Prompt Action on Requests.

C1.5.4.1. Generally, when a member of the public complies with the 

procedures established in this Regulation and DoD Component regulations or 

instructions for obtaining DoD records, and after the request is received by the official 

designated to respond, DoD Components shall endeavor to provide a final response 

determination within the statutory 20 working days. If a significant number of 

requests, or the complexity of the requests prevent a final response determination 

within the statutory time period, DoD Components shall advise the requester of this 

fact, and explain how the request will be responded to within its multitrack processing 

system (see subparagraph C1.5.4.2., below). A final response determination is 

notification to the requester that the records are released, or will be released on a 

certain date, or the records are denied under the appropriate FOIA exemption, or the 

records cannot be provided for one or more of the other reasons in subsection C5.2.2.,

below. Interim responses acknowledging receipt of the request, negotiations with the 

requester concerning the scope of the request, the response timeframe, and fee 

agreements are encouraged; however, such actions do not constitute a final response 

determination pursuant to the FOIA. If a request fails to meet minimum requirements 

as set forth in subsection C1.4.2., above, Components shall inform the requester how 

DoD 5400.7-R, September 1998

15 CHAPTER 1
to perfect or correct the request. The statutory 20 working day time limit applies 

upon receipt of a perfected or correct FOIA request which complies with the 

requirements outlined in subsection C1.4.2., above.

C1.5.4.2. Multitrack Processing. When a Component has a significant 

number of pending requests that prevents a response determination being made within 

20 working days, the requests shall be processed in a multitrack processing system, 

based on the date of receipt, the amount of work and time involved in processing the 

requests, and whether the request qualifies for expedited processing as described in 

paragraph C1.5.4.3., below. DoD Components may establish as many processing 

queues as they wish; however, as a minimum, three processing tracks shall be 

established, all based on a first-in, first-out concept, and rank ordered by the date of 

receipt of the request. One track shall be a processing queue for simple requests, one 

track for complex requests, and one track shall be a processing queue for expedited 

processing as described in paragraph C1.5.4.3., below. Determinations as to whether 

a request is simple or complex shall be made by each DoD Component. DoD 

Components shall provide a requester whose request does not qualify for the fastest 

queue (except for expedited processing as described in paragraph C1.5.4.3., below), an 

opportunity to limit in writing by hard copy, facsimile, or electronically, the scope of 

the request in order to qualify for the fastest queue. This multitrack processing system 

does not obviate Components’ responsibility to exercise due diligence in processing 

requests in the most expeditious manner possible.

C1.5.4.3. Expedited Processing. A separate queue shall be established for 

requests meeting the test for expedited processing. Expedited processing shall be 

granted to a requester after the requester requests such and demonstrates a compelling 

need for the information. Notice of the determination as to whether to grant expedited 

processing in response to a requester’s compelling need shall be provided to the 

requester within 10 calendar days after receipt of the request in the DoD Component’s 

office that will determine whether to grant expedited processing. Once the DoD 

Component has determined to grant expedited processing, the request shall be 

processed as soon as practicable. Actions by DoD Components to initially deny or 

affirm the initial denial on appeal of a request for expedited processing, and failure to 

respond in a timely manner shall be subject to judicial review.

C1.5.4.3.1. Compelling need means that the failure to obtain the 

records on an expedited basis could reasonably be expected to pose an imminent threat 

to the life or physical safety of an individual.

C1.5.4.3.2. Compelling need also means that the information is 

DoD 5400.7-R, September 1998

16 CHAPTER 1
urgently needed by an individual primarily engaged in disseminating information in 

order to inform the public concerning actual or alleged Federal Government activity. 

An individual primarily engaged in disseminating information means a person whose 

primary activity involves publishing or otherwise disseminating information to the 

public. Representatives of the news media (see paragraph C6.1.5.7., below) would 

normally qualify as individuals primarily engaged in disseminating information. 

Other persons must demonstrate that their primary activity involves publishing or 

otherwise disseminating information to the public.

C1.5.4.3.2.1 Urgently needed means that the information has a 

particular value that will be lost if not disseminated quickly. Ordinarily this means a 

breaking news story of general public interest. However, information of historical 

interest only, or information sought for litigation or commercial activities would not 

qualify, nor would a news media publication or broadcast deadline unrelated to the 

news breaking nature of the information.

C1.5.4.3.3. A demonstration of compelling need by a requester shall be 

made by a statement certified by the requester to be true and correct to the best of their 

knowledge. This statement must accompany the request in order to be considered and 

responded to within the 10 calendar days required for decisions on expedited access.

C1.5.4.3.4. Other Reasons for Expedited Processing. Other reasons

that merit expedited processing by DoD Components are an imminent loss of 

substantial due process rights and humanitarian need. A demonstration of imminent 

loss of substantial due process rights shall be made by a statement certified by the 

requester to be true and correct to the best of his or her knowledge. Humanitarian 

need means that disclosing the information will promote the welfare and interests of 

mankind. A demonstration of humanitarian need shall be also made by a statement 

certified by the requester to be true and correct to the best of his or her knowledge. 

Both statements mentioned above must accompany the request in order to be 

considered and responded to within the 10 calendar days required for decisions on 

expedited access. Once the decision has been made to expedite the request for either 

of these reasons, the request may be processed in the expedited processing queue 

behind those requests qualifying for compelling need.

C1.5.4.3.5. These same procedures also apply to requests for expedited 

processing of administrative appeals.

C1.5.5. Use of Exemptions. It is DoD policy to make records publicly available, 

unless the record qualifies for exemption under one or more of the nine exemptions. 

DoD 5400.7-R, September 1998

17 CHAPTER 1
It is DoD policy that DoD Components shall make discretionary releases whenever 

possible; however, a discretionary release is normally not appropriate for records 

clearly exempt under exemptions 1, 3, 4, 6, 7 (C) and 7(F) (see Chapter C3., below). 

Exemptions 2, 5, and 7(A)(B)(D) and (E) (see Chapter C3., below) are discretionary in 

nature, and DoD Components are encouraged to exercise discretionary releases 

whenever possible. Exemptions 4, 6 and 7(C) cannot be claimed when the requester 

is the submitter of the information.

C1.5.6. Public Domain. Nonexempt records released under the authority of this 

Regulation are considered to be in the public domain. Such records may also be made 

available in Components' reading rooms in paper form, as well as electronically, to 

facilitate public access. Discretionary releases to FOIA requesters constitute a waiver 

of the FOIA exemption that may otherwise apply. Disclosure to a properly constituted 

advisory committee, to Congress, or to other Federal Agencies does not waive the 

exemption. (See subsection C5.1.4., below.) Exempt records disclosed without 

authorization by the appropriate DoD official do not lose their exempt status. Also, 

while authority may exist to disclose records to individuals in their official capacity, 

the provisions of this Regulation apply if the same individual seeks the records in a 

private or personal capacity.

C1.5.7. Creating a Record.

C1.5.7.1. A record must exist and be in the possession and control of the 

Department of Defense at the time of the search to be considered subject to this 

Regulation and the FOIA. There is no obligation to create, compile, or obtain a record 

to satisfy a FOIA request. A DoD Component, however, may compile a new record 

when so doing would result in a more useful response to the requester, or be less 

burdensome to the Agency than providing existing records, and the requester does not 

object. Cost of creating or compiling such a record may not be charged to the 

requester unless the fee for creating the record is equal to or less than the fee which 

would be charged for providing the existing record. Fee assessments shall be in 

accordance with Chapter C6.

C1.5.7.2. About electronic data, the issue of whether records are actually 

created or merely extracted from an existing database is not always readily apparent. 

Consequently, when responding to FOIA requests for electronic data where creation of 

a record, programming, or particular format are questionable, Components should 

apply a standard of reasonableness. In other words, if the capability exists to respond 

to the request, and the effort would be a business as usual approach, then the request 

should be processed. However, the request need not be processed where the 

DoD 5400.7-R, September 1998

18 CHAPTER 1
capability to respond does not exist without a significant expenditure of resources, thus 

not being a normal business as usual approach. As used in this sense, a significant 

expenditure of resources in both time and manpower, that would cause a significant 

interference with the operation of the Components’ automated information system 

would not be a business as usual approach.

C1.5.8. Description of Requested Record.

C1.5.8.1. Identification of the record desired is the responsibility of the 

requester. The requester must provide a description of the desired record, that enables 

the Government to locate the record with a reasonable amount of effort. In order to 

assist DoD Components in conducting more timely searches, requesters should 

endeavor to provide as much identifying information as possible. When a DoD 

Component receives a request that does not reasonably describe the requested record, 

it shall notify the requester of the defect in writing. The requester should be asked to 

provide the type of information outlined below in paragraph C1.5.8.2., below, of this 

Regulation. DoD Components are not obligated to act on the request until the 

requester responds to the specificity letter. When practicable, DoD Components shall 

offer assistance to the requester in identifying the records sought and in reformulating 

the request to reduce the burden on the Agency in complying with the Act.

C1.5.8.2. The following guidelines are provided to deal with generalized 

requests and are based on the principle of reasonable effort: (Descriptive information 

about a record may be divided into two broad categories.)

C1.5.8.2.1. Category I is file-related and includes information such as 

type of record (for example, memorandum), title, index citation, subject area, date the 

record was created, and originator.

C1.5.8.2.2. Category II is event-related and includes the circumstances 

that resulted in the record being created or the date and circumstances surrounding the 

event the record covers.

C1.5.8.3. Generally, a record is not reasonably described unless the 

description contains sufficient Category I information to permit the conduct of an 

organized, non-random search based on the DoD Component's filing arrangements and 

existing retrieval systems, or unless the record contains sufficient Category II 

information to permit inference of the Category I elements needed to conduct such a 

search.

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19 CHAPTER 1
C1.5.8.4. The following guidelines deal with requests for personal records: 

Ordinarily, when personal identifiers are provided only in connection with a request 

for records concerning the requester, only records in a Privacy Act system of records 

that can be retrieved by personal identifiers need be searched. However, if a DoD 

Component has reason to believe that records on the requester may exist in a record 

system other than a Privacy Act system, the DoD Component shall search that system 

under the provisions of the FOIA. In either case, DoD Components may request a 

reasonable description of the records desired before searching for such records under 

the provisions of the FOIA and the Privacy Act (reference (d)). If the record is 

required to be released under the FOIA, reference (d) does not bar its disclosure. See 

subsection C1.5.13., below, for the relationship between the FOIA and the Privacy Act.

C1.5.8.5. The previous guidelines notwithstanding, the decision of the DoD 

Component concerning reasonableness of description must be based on knowledge of 

its files. If the description enables DoD Component personnel to locate the record 

with reasonable effort, the description is adequate. The fact that a FOIA request is 

broad or burdensome in its magnitude does not, in and of itself, entitle a DoD 

Component to deny the request on the ground that it does not reasonably describe the 

records sought. The key factor is the ability of the DoD Component’s staff to 

reasonably ascertain and locate which records are being requested.

C1.5.9. Referrals.

C1.5.9.1. The DoD FOIA referral policy is based upon the concept of the 

originator of a record making a release determination on its information. If a DoD 

Component receives a request for records originated by another DoD Component, it 

should contact the DoD Component to determine if it also received the request, and if 

not, obtain concurrence from the other DoD Component to refer the request. In either 

situation, the requester shall be advised of the action taken, unless exempt information 

would be revealed. While referrals to originators of information result in obtaining 

the best possible decision on release of the information, the policy does not relieve 

DoD Components from the responsibility of making a release decision on a record 

should the requester object to referral of the request and the record. Should this 

situation occur, DoD Components should coordinate with the originator of the 

information prior to making a release determination. A request received by a DoD 

Component having no records responsive to a request shall be referred routinely to 

another DoD Component, if the other DoD Component has reason to believe it has the 

requested record. Prior to notifying a requester of a referral to another DoD 

Component, the DoD Component receiving the initial request shall consult with the 

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20 CHAPTER 1
other DoD Component to determine if that DoD Component’s association with the 

material is exempt. If the association is exempt, the DoD Component receiving the 

initial request will protect the association and any exempt information without 

revealing the identity of the protected DoD Component. The protected DoD 

Component shall be responsible for submitting the justifications required in any 

litigation. Any DoD Component receiving a request that has been misaddressed shall 

refer the request to the proper address and advise the requester. DoD Components 

making referrals of requests or records shall include with the referral, a point of 

contact by name, a telephone number, and an e-mail address.

C1.5.9.2. A DoD Component shall refer for response directly to the 

requester, a FOIA request for a record that it holds to another DoD Component or 

Agency outside the DoD, if the record originated in the other DoD Component or 

outside Agency. Whenever a record or a portion of a record is referred to another 

DoD Component or to a Government Agency outside of the DoD for a release 

determination and direct response, the requester shall be informed of the referral, 

unless it has been determined that notification would reveal exempt information. 

Referred records shall only be identified to the extent consistent with security 

requirements.

C1.5.9.3. A DoD Component may refer a request for a record that it 

originated to another DoD Component or Agency when the other DoD Component or 

Agency has a valid interest in the record, or the record was created for the use of the 

other DoD Component or Agency. In such situations, provide the record and a release 

recommendation on the record with the referral action. Ensure you include a point of 

contact with the telephone number. An example of such a situation is a request for 

audit reports prepared by the Defense Contract Audit Agency. These advisory reports 

are prepared for the use of contracting officers and their release to the audited 

contractor shall be at the discretion of the contracting officer. A FOIA request shall 

be referred to the appropriate DoD Component and the requester shall be notified of 

the referral, unless exempt information would be revealed. Another example is a 

record originated by a DoD Component or Agency that involves foreign relations, and 

could affect a DoD Component or organization in a host foreign country. Such a 

request and any responsive records may be referred to the affected DoD Component or 

organization for consultation prior to a final release determination within the 

Department of Defense. See also subsection C5.1.5., below, of this Regulation.

C1.5.9.4. Within the Department of Defense, a DoD Component shall 

ordinarily refer a FOIA request and a copy of the record it holds, but that was 

originated by another DoD Component or that contains substantial information 

DoD 5400.7-R, September 1998

21 CHAPTER 1
obtained from another DoD Component, to that Component for direct response, after 

direct coordination and obtaining concurrence from the Component. The requester 

then shall be notified of such referral. DoD Components shall not, in any case, 

release or deny such records without prior consultation with the other DoD 

Component, except as provided in subsection C5.1.5., below.

C1.5.9.5. DoD Components that receive referred requests shall answer them 

in accordance with the time limits established by the FOIA, this Regulation, and their 

multitrack processing queues, based upon the date of initial receipt of the request at the 

referring Component or Agency.

C1.5.9.6. Agencies outside the Department of Defense that are subject to the 

FOIA.

C1.5.9.6.1. A DoD Component may refer a FOIA request for any record 

that originated in an Agency outside the Department of Defense or that is based on 

information obtained from an outside Agency to the Agency for direct response to the 

requester after coordination with the outside Agency, if that Agency is subject to 

FOIA. Otherwise, the DoD Component must respond to the request.

C1.5.9.6.2. A DoD Component shall refer to the Agency that provided 

the record any FOIA request for investigative, intelligence, or any other type of records 

that are on loan to the Department of Defense for a specific purpose, if the records are 

restricted from further release and so marked. However, if for investigative or 

intelligence purposes, the outside Agency desires anonymity, a DoD Component may 

only respond directly to the requester after coordination with the outside Agency.

C1.5.9.7. DoD Components that receive requests for records of the National 

Security Council (NSC), the White House, or the White House Military Office 

(WHMO) shall process the requests. DoD records in which the NSC or White House 

has a concurrent reviewing interest, and NSC, White House, or WHMO records 

discovered in DoD Components’ files shall be forwarded to the Directorate for 

Freedom of Information and Security Review (DFOISR). The DFOISR shall 

coordinate with the NSC, White House, or WHMO and return the records to the 

originating Agency after coordination.

C1.5.9.8. To the extent referrals are consistent with the policies expressed 

by this subsection, referrals between offices of the same DoD Component are 

authorized.

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22 CHAPTER 1
C1.5.9.9. On occasion, the Department of Defense receives FOIA requests 

for General Accounting Office (GAO) records containing DoD information. Even 

though the GAO is outside the Executive Branch, and not subject to the FOIA, all 

FOIA requests for GAO documents containing DoD information received either from 

the public, or on referral from the GAO, shall be processed under the provisions of the 

FOIA.

C1.5.10. Authentication. Records provided under this Regulation shall be 

authenticated with an appropriate seal, whenever necessary, to fulfill an official 

Government or other legal function. This service, however, is in addition to that 

required under the FOIA and is not included in the FOIA fee schedule. DoD 

Components may charge for the service at a rate of $5.20 for each authentication.

C1.5.11. Combatant Commands.

C1.5.11.1. The Combatant Commands are placed under the jurisdiction of 

the OSD, instead of the administering Military Department or the Chairman of the 

Joint Chiefs of Staff, only for the purpose of administering the DoD FOIA Program. 

This policy represents an exception to the policies directed in DoD Directive 5100.3 

(reference (e)); it authorizes and requires the Combatant Commands to process FOIA 

requests in accordance with DoD Directive 5400.7 (reference (b)) and this 

Regulation. The Combatant Commands shall forward directly to the Director, 

Freedom of Information and Security Review all correspondence associated with the 

appeal of an initial denial for records under the provisions of the FOIA. Procedures to 

effect this administrative requirement are outlined in Appendix AP1.

C1.5.11.2. Combatant Commands shall maintain an electronic reading room 

for FOIA-processed 5 U.S.C. 552(a)(2)(D) (reference (a)) records in accordance with 

Chapter C2., this Regulation. Records qualifying for this means of public access also 

shall be maintained in hard copy for public access at Combatant Commands’ 

respective locations.

C1.5.12. Records Management. FOIA records shall be maintained and disposed 

of in accordance with the National Archives and Records Administration General 

Records Schedule, and DoD Component records schedules.

C1.5.13. Relationship Between the FOIA and the Privacy Act (PA). Not all 

requesters are knowledgeable of the appropriate statutory authority to cite when 

requesting records, nor are all of them aware of appeal procedures. In some 

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23 CHAPTER 1
instances, they may cite neither Act, but will imply one or both Acts. For these 

reasons, the below guidelines are provided to ensure that requesters receive the greatest 

amount of access rights under both Acts. See also paragraph C5.3., below, regarding 

appeal rights.

C1.5.13.1. If the record is required to be released under the FOIA, the 

Privacy Act does not bar its disclosure. Unlike the FOIA, the Privacy Act applies only 

to U.S. citizens and aliens admitted for permanent residence.

C1.5.13.2. Requesters who seek records about themselves contained in a 

Privacy Act system of records and who cite or imply only the Privacy Act, will have 

their requests processed under the provisions of both the Privacy Act and the FOIA. If 

the Privacy Act system of records is exempt from the provisions of 5 U.S.C. 

552a(d)(1) (reference (d)) and if the records, or any portion thereof, are exempt under 

the FOIA, the requester shall be so advised with the appropriate Privacy Act and FOIA

exemption. Appeals shall be processed under both Acts.

C1.5.13.3. Requesters who seek records about themselves that are not 

contained in a Privacy Act system of records and who cite or imply the Privacy Act 

will have their requests processed under the provisions of the FOIA, since the Privacy 

Act does not apply to these records. Appeals shall be processed under the FOIA.

C1.5.13.4. Requesters who seek records about themselves that are contained 

in a Privacy Act system of records and who cite or imply the FOIA or both Acts will 

have their requests processed under the provisions of both the Privacy Act and the 

FOIA. If the Privacy Act system of records is exempt from the provisions of 5 U.S.C. 

552a(d)(1) (reference (d)) and if the records, or any portion thereof, are exempt under 

the FOIA, the requester shall be so advised with the appropriate Privacy Act and FOIA 

exemption. Appeals shall be processed under both Acts.

C1.5.13.5. Requesters who seek access to Agency records that are not part of 

a Privacy Act system of records, and who cite or imply the Privacy Act and FOIA, will 

have their requests processed under the FOIA since the Privacy Act does not apply to 

these records. Appeals shall be processed under the FOIA.

C1.5.13.6. Requesters who seek access to Agency records and who cite or 

imply the FOIA will have their requests and appeals processed under the FOIA.

C1.5.13.7. Requesters shall be advised in the final response letter which 

Act(s) was (were) used, inclusive of appeal rights as outlined above.

DoD 5400.7-R, September 1998

24 CHAPTER 1
C1.5.14. Non-Responsive Information in Responsive Records. DoD 

Components shall interpret FOIA requests liberally when determining which records 

are responsive to the requests, and may release non-responsive information. However, 

should DoD Components desire to withhold non-responsive information, the following 

steps shall be accomplished:

C1.5.14.1. Consult with the requester, and ask if the requester views the 

information as responsive, and if not, seek the requester's concurrence to deletion of 

non-responsive information without a FOIA exemption. Reflect this concurrence in 

the response letter.

C1.5.14.2. If the responsive record is unclassified, and the requester does not 

agree to deletion of non-responsive information without a FOIA exemption, release all 

non-responsive and responsive information which is not exempt. For non-responsive 

information that is exempt, notify the requester that even if the information were 

determined responsive, it would likely be exempt under (state appropriate exemption 

(s)). Advise the requester of the right to request this information under a separate 

FOIA request. The separate request shall be placed in the same location within the 

processing queue as the original request.

C1.5.14.3. If the responsive record is classified, and the requester does not 

agree to deletion of non-responsive information without a FOIA exemption, release all 

unclassified responsive and non-responsive information which is not exempt. If the 

non-responsive information is exempt, follow the procedures in subparagraph 

C1.5.14.2., above. The classified, non-responsive information need not be reviewed 

for declassification at this point. Advise the requester that even if the classified 

information were determined responsive, it would likely be exempt under 5 U.S.C. 552 

(b)(1) (reference (a)), and other exemptions if appropriate. Advise the requester of the 

right to request this information under a separate FOIA request. The separate request 

shall be placed in the same location within the processing queue as the original request.

C1.5.15. Honoring Form or Format Requests. DoD Components shall provide 

the record in any form or format requested by the requester if the record is readily 

reproducible in that form or format. DoD Components shall make reasonable efforts 

to maintain their records in forms or formats that are reproducible. In responding to 

requests for records, DoD Components shall make reasonable efforts to search for 

records in electronic form or format, except when such efforts would significantly 

interfere with the operation of the DoD Components’ automated information system. 

Such determinations shall be made on a case by case basis. See also paragraph 

DoD 5400.7-R, September 1998

25 CHAPTER 1
C1.5.7.2., above.

DoD 5400.7-R, September 1998

26 CHAPTER 1
C2. CHAPTER 2

FOIA READING ROOMS

C2.1. REQUIREMENTS

C2.1.1. Reading Room.

C2.1.1.1. Each DoD Component shall provide an appropriate facility or 

facilities where the public may inspect and copy or have copied the records described 

in subsections C2.1.2. and C2.2.1., below. In addition to the records described in 

subsections C2.1.2. and C2.2.1., below, DoD Components may elect to place other 

records in their reading room, and also make them electronically available to the 

public. DoD Components may share reading room facilities if the public is not unduly 

inconvenienced, and also may establish decentralized reading rooms. When 

appropriate, the cost of copying may be imposed on the person requesting the material 

in accordance with the provisions of Chapter C6. of this Regulation.

C2.1.2. Record Availability. The FOIA requires that records described in 5 

U.S.C. 552(a)(2)(A), (B), (C), and (D) (reference (a)) created on or after November 

1, 1996, shall be made available electronically by November 1, 1997, as well as in 

hard copy in the FOIA reading room for inspection and copying, unless such records 

are published and copies are offered for sale. Personal privacy information, that if 

disclosed to a third party requester, would result in an invasion of the first party’s 

personal privacy, and contractor submitted information, that if disclosed to a 

competing contractor, would result in competitive harm to the submitting contractor 

shall be deleted from all 5 U.S.C. 552(a)(2) (reference (a)) records made available to 

the general public. In every case, justification for the deletion must be fully explained 

in writing, and the extent of such deletion shall be indicated on the record which is 

made publicly available, unless such indication would harm an interest protected by an 

exemption under which the deletion was made. If technically feasible, the extent of 

the deletion in electronic records or any other form of record shall be indicated at the 

place in the record where the deletion was made. However, a DoD Component may 

publish in the Federal Register a description of the basis upon which it will delete 

identifying details of particular types of records to avoid clearly unwarranted invasions 

of privacy, or competitive harm to business submitters. In appropriate cases, the DoD 

Component may refer to this description rather than write a separate justification for 

each deletion. 5 U.S.C. 552(a)(2)(A), (B), (C), and (D) records are:

DoD 5400.7-R, September 1998

27 CHAPTER 2
C2.1.2.1. (a)(2)(A) records. Final opinions, including concurring and 

dissenting opinions, and orders made in the adjudication of cases, as defined in 5 

U.S.C. 551 (reference (f)), that may be cited, used, or relied upon as precedents in 

future adjudications.

C2.1.2.2. (a)(2)(B) records. Statements of policy and interpretations that 

have been adopted by the Agency and are not published in the Federal Register.

C2.1.2.3. (a)(2)(C) records. Administrative staff manuals and instructions, 

or portions thereof, that establish DoD policy or interpretations of policy that affect a 

member of the public. This provision does not apply to instructions for employees on 

tactics and techniques to be used in performing their duties, or to instructions relating 

only to the internal management of the DoD Component. Examples of Manuals and 

Instructions not normally made available are:

C2.1.2.3.1. Those issued for audit, investigation, and inspection 

purposes, or those that prescribe operational tactics, standards of performance, or 

criteria for defense, prosecution, or settlement of cases.

C2.1.2.3.2. Operations and maintenance manuals and technical 

information concerning munitions, equipment, systems, and intelligence activities.

C2.1.2.4. (a)(2)(D) records. Those 5 U.S.C. 552 (a)(3) (reference (a))

records, which because of the nature of the subject matter, have become or are likely to 

become the subject of subsequent requests for substantially the same records. These 

records are referred to as FOIA-processed (a)(2) records.

C2.1.2.4.1. DoD Components shall decide on a case by case basis 

whether records fall into this category, based on the following factors:

C2.1.2.4.1.1. Previous experience of the DoD Component with 

similar records.

C2.1.2.4.1.2. Particular circumstances of the records involved, 

including their nature and the type of information contained in them.

C2.1.2.4.1.3. The identity and number of requesters and whether 

there is widespread press, historic, or commercial interest in the records.

C2.1.2.4.2. This provision is intended for situations where public access 

DoD 5400.7-R, September 1998

28 CHAPTER 2
in a timely manner is important, and it is not intended to apply where there may be a 

limited number of requests over a short period of time from a few requesters. DoD 

Components may remove the records from this access medium when the appropriate 

officials determine that access is no longer necessary.

C2.1.2.4.3. Should a requester submit a FOIA request for 

FOIA-processed (a)(2) records, and insist that the request be processed, DoD 

Components shall process the FOIA request. However, DoD Components have no 

obligation to process a FOIA request for 5 U.S.C. 552(a)(2)(A), (B), and (C) (reference 

(a)) records because these records are required to be made public and not 

FOIA-processed under paragraph (a)(3) of the FOIA.

C2.2. INDEXES

C2.2.1. "(a)(2)" Materials.

C2.2.1.1. Each DoD Component shall maintain in each facility prescribed in 

paragraph C2.1.1. above, an index of materials described in paragraph C2.1.2., above, 

that are issued, adopted, or promulgated, after July 4, 1967. No "(a)(2)" materials 

issued, promulgated, or adopted after July 4, 1967, that are not indexed and either 

made available or published may be relied upon, used or cited as precedent against any 

individual unless such individual has actual and timely notice of the contents of such 

materials. Such materials issued, promulgated, or adopted before July 4, 1967, need 

not be indexed, but must be made available upon request if not exempted under this 

Regulation.

C2.2.1.2. Each DoD Component shall promptly publish quarterly or more 

frequently, and distribute, by sale or otherwise, copies of each index of "(a)(2)" 

materials or supplements thereto unless it publishes in the Federal Register an order 

containing a determination that publication is unnecessary and impracticable. A copy 

of each index or supplement not published shall be provided to a requester at a cost not 

to exceed the direct cost of duplication as set forth in Chapter C6. of this Regulation.

C2.2.1.3. Each index of "(a)(2)" materials or supplement thereto shall be 

arranged topical or by descriptive words rather than by case name or numbering system 

so that members of the public can readily locate material. Case name and numbering 

arrangements, however, may also be included for DoD Component convenience.

C2.2.1.4. A general index of FOIA-processed (a)(2) records referred to in 

paragraph C2.1.2.4., above, shall be made available to the public, both in hard copy 

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29 CHAPTER 2
and electronically by December 31, 1999.

C2.2.3. Other Materials.

C2.2.3.1. Any available index of DoD Component material published in the 

Federal Register, such as material required to be published by Section 552(a)(1) of the 

FOIA, shall be made available in DoD Component FOIA reading rooms, and 

electronically to the public.

C2.2.3.2. Although not required to be made available in response to FOIA 

requests or made available in FOIA Reading Rooms, "(a)(1)" materials shall, when 

feasible, be made available to the public in FOIA reading rooms for inspection and 

copying, and by electronic means. Examples of "(a)(1)" materials are: descriptions 

of an Agency's central and field organization, and to the extent they affect the public, 

rules of procedures, descriptions of forms available, instruction as to the scope and 

contents of papers, reports, or examinations, and any amendment, revision, or report of 

the aforementioned.

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30 CHAPTER 2
C3. CHAPTER 3

EXEMPTIONS

C3.1. GENERAL PROVISIONS

C3.1.1. General. Records that meet the exemption criteria of the FOIA may be 

withheld from public disclosure and need not be published in the Federal Register, 

made available in a library reading room, or provided in response to a FOIA request.

C3.2. EXEMPTIONS

C3.2.1. FOIA Exemptions. The following types of records may be withheld in 

whole or in part from public disclosure under the FOIA, unless otherwise prescribed 

by law: A discretionary release of a record (see also subsection C1.5.5., above) to one 

requester shall prevent the withholding of the same record under a FOIA exemption if 

the record is subsequently requested by someone else. However, a FOIA exemption 

may be invoked to withhold information that is similar or related that has been the 

subject of a discretionary release. In applying exemptions, the identity of the 

requester and the purpose for which the record is sought are irrelevant with the 

exception that an exemption may not be invoked where the particular interest to be 

protected is the requester's interest. However, if the subject of the record is the 

requester for the record and the record is contained in a Privacy Act system of 

records, it may only be denied to the requester if withholding is both authorized by 

DoD 5400.11-R (reference (v)) and by a FOIA exemption.

C3.2.1.1. Number 1. (5 U.S.C. 552 (b)(1)) (reference (a)). Those properly 

and currently classified in the interest of national defense or foreign policy, as 

specifically authorized under the criteria established by Executive Order and 

implemented by regulations, such as DoD 5200.1-R (reference (g)). Although 

material is not classified at the time of the FOIA request, a classification review may 

be undertaken to determine whether the information should be classified. The 

procedures in reference (g) apply. If the information qualifies as Exemption 1 

information, there is no discretion regarding its release. In addition, this exemption 

shall be invoked when the following situations are apparent:

C3.2.1.1.1. The fact of the existence or nonexistence of a record would 

itself reveal classified information. In this situation, Components shall neither 

confirm nor deny the existence or nonexistence of the record being requested. A 

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31 CHAPTER 3
"refusal to confirm or deny" response must be used consistently, not only when a 

record exists, but also when a record does not exist. Otherwise, the pattern of using a 

"no record" response when a record does not exist, and a "refusal to confirm or deny" 

when a record does exist will itself disclose national security information.

C3.2.1.1.2. Compilations of items of information that are individually 

unclassified may be classified if the compiled information reveals additional 

association or relationship that meets the standard for classification under an existing 

executive order for classification and DoD 5200.1-R (reference (g)), and is not 

otherwise revealed in the individual items of information.

C3.2.1.2. Number 2. (5 U.S.C. 552 (b)(2)) (reference (a)). Those related 

solely to the internal personnel rules and practices of the Department of Defense or 

any of its Components. This exemption is entirely discretionary. This exemption 

has two profiles, high (b)(2) and low (b)(2). Paragraph C3.2.1.2.2., below, contains a 

brief discussion on the low (b)(2) profile; however, that discussion is for information 

purposes only. When only a minimum Government interest would be affected 

(administrative burden), there is a great potential for discretionary disclosure of the 

information. Consequently, DoD Components shall not invoke the low (b)(2) profile.

C3.2.1.2.1. Records qualifying under high (b)(2) are those containing or 

constituting statutes, rules, regulations, orders, manuals, directives, instructions, and 

security classification guides, the release of which would allow circumvention of these 

records thereby substantially hindering the effective performance of a significant 

function of the Department of Defense. Examples include:

C3.2.1.2.1.1. Those operating rules, guidelines, and manuals for 

DoD investigators, inspectors, auditors, or examiners that must remain privileged in 

order for the DoD Component to fulfill a legal requirement.

C3.2.1.2.1.2. Personnel and other administrative matters, such as 

examination questions and answers used in training courses or in the determination of 

the qualifications of candidates for employment, entrance on duty, advancement, or 

promotion.

C3.2.1.2.1.3. Computer software, the release of which would allow 

circumvention of a statute or DoD rules, Regulations, orders, Manuals, Directives, or 

Instructions. In this situation, the use of the software must be closely examined to 

ensure a circumvention possibility exists.

DoD 5400.7-R, September 1998

32 CHAPTER 3
C3.2.1.2.2. Records qualifying under the low (b)(2) profile are those 

that are trivial and housekeeping in nature for which there is no legitimate public 

interest or benefit to be gained by release, and it would constitute an administrative 

burden to process the request in order to disclose the records. Examples include rules 

of personnel's use of parking facilities or regulation of lunch hours, statements of 

policy as to sick leave, and administrative data such as file numbers, mail routing 

stamps, initials, data processing notations, brief references to previous 

communications, and other like administrative markings. DoD Components shall not 

invoke the low (b)(2) profile.

C3.2.1.3. Number 3. (5 U.S.C. 552 (b)(3)) (reference (a)). Those 

concerning matters that a statute specifically exempts from disclosure by terms that 

permit no discretion on the issue, or in accordance with criteria established by that 

statute for withholding or referring to particular types of matters to be withheld. The 

Directorate for Freedom of Information and Security Review maintains a list of (b)(3) 

statutes used within the Department of Defense, and provides updated lists of these 

statutes to DoD Components on a periodic basis. A few examples of such statutes are:

C3.2.1.3.1. Patent Secrecy, 35 U.S.C. 181-188 (reference (h)). Any 

records containing information relating to inventions that are the subject of patent 

applications on which Patent Secrecy Orders have been issued.

C3.2.1.3.2. Restricted Data and Formerly Restricted Data, 42 U.S.C. 

2162 (reference (i)).

C3.2.1.3.3. Communication Intelligence, 18 U.S.C. 798 (reference (j)).

C3.2.1.3.4. Authority to Withhold From Public Disclosure Certain 

Technical Data, 10 U.S.C. 130 and DoD Directive 5230.25 (references (k) and (l)).

C3.2.1.3.5. Confidentiality of Medical Quality Assurance Records: 

Qualified Immunity for Participants, 10 U.S.C. 1102 f (reference (m)).

C3.2.1.3.6. Physical Protection of Special Nuclear Material: Limitation 

on Dissemination of Unclassified Information, 10 U.S.C. 128 (reference (n)).

C3.2.1.3.7. Protection of Intelligence Sources and Methods, 50 U.S.C. 

403-3(c)(6) (reference (o)).

C3.2.1.3.8. Protection of Contractor Submitted Proposals, 10 U.S.C. 

DoD 5400.7-R, September 1998

33 CHAPTER 3
2305(g) (reference (p)).

C3.2.1.3.9. Procurement Integrity, 41 U.S.C. 423 (reference (q)).

C3.2.1.4. Number 4. (5 U.S.C. 552 (b)(4)) (reference (a)). Those 

containing trade secrets or commercial or financial information that a DoD Component 

receives from a person or organization outside the Government with the understanding 

that the information or record will be retained on a privileged or confidential basis in 

accordance with the customary handling of such records. Records within the 

exemption must contain trade secrets, or commercial or financial records, the 

disclosure of which is likely to cause substantial harm to the competitive position of 

the source providing the information; impair the Government's ability to obtain 

necessary information in the future; or impair some other legitimate Government 

interest. Commercial or financial information submitted on a voluntary basis, absent 

any exercised authority prescribing criteria for submission is protected without any 

requirement to show competitive harm (see paragraph C3.2.1.4.8., below). If the 

information qualifies as Exemption 4 information, there is no discretion in its 

release. Examples include:

C3.2.1.4.1. Commercial or financial information received in confidence 

in connection with loans, bids, contracts, or proposals set forth in or incorporated by 

reference in a contract entered into between the DoD Component and the offeror that 

submitted the proposal, as well as other information received in confidence or 

privileged, such as trade secrets, inventions, discoveries, or other proprietary data. 

See also C5.2.8.2., below, this Regulation. Additionally, when the provisions of 10 

U.S.C. 2305(g) (reference (p)), and 41 U.S.C. 423 (reference (q)) are met, certain 

proprietary and source selection information may be withheld under Exemption 3.

C3.2.1.4.2. Statistical data and commercial or financial information 

concerning contract performance, income, profits, losses, and expenditures, if offered 

and received in confidence from a contractor or potential contractor.

C3.2.1.4.3. Personal statements given in the course of inspections, 

investigations, or audits, when such statements are received in confidence from the 

individual and retained in confidence because they reveal trade secrets or commercial 

or financial information normally considered confidential or privileged.

C3.2.1.4.4. Financial data provided in confidence by private employers 

in connection with locality wage surveys that are used to fix and adjust pay schedules 

applicable to the prevailing wage rate of employees within the Department of Defense.

DoD 5400.7-R, September 1998

34 CHAPTER 3
C3.2.1.4.5. Scientific and manufacturing processes or developments 

concerning technical or scientific data or other information submitted with an 

application for a research grant, or with a report while research is in progress.

C3.2.1.4.6. Technical or scientific data developed by a contractor or 

subcontractor exclusively at private expense, and technical or scientific data developed 

in part with Federal funds and in part at private expense, wherein the contractor or 

subcontractor has retained legitimate proprietary interests in such data in accordance 

with 10 U.S.C. 2320-2321 (reference (r)) and DoD Federal Acquisition Regulation 

Supplement (DFARS), Chapter 2 of 48 C.F.R., Subpart 227.71-227.72 (reference (s)). 

Technical data developed exclusively with Federal funds may be withheld under 

Exemption Number 3 if it meets the criteria of 10 U.S.C. 130 (reference (k)) and DoD 

Directive 5230.25 (reference (l)) (see subsection C3.2.1., Number 3 C3.2.1.3.5.,

above).

C3.2.1.4.7. Computer software which is copyrighted under the 

Copyright Act of 1976 (17 U.S.C. 106) (reference (t)), the disclosure of which would 

have an adverse impact on the potential market value of a copyrighted work.

C3.2.1.4.8. Proprietary information submitted strictly on a voluntary 

basis, absent any exercised authority prescribing criteria for submission. Examples of 

exercised authorities prescribing criteria for submission are statutes, Executive Orders, 

regulations, invitations for bids, requests for proposals, and contracts. Submission of 

information under these authorities is not voluntary. (See also subsection C5.2.8.3.,

below.)

C3.2.1.5. Number 5. (5 U.S.C. 552 (b)(5)) (reference (a)). Those 

containing information considered privileged in litigation, primarily under the 

deliberative process privilege. Except as provided in paragraphs Number 5 

C3.2.1.5.2. through C3.2.1.5.5., below, internal advice, recommendations, and 

subjective evaluations, as contrasted with factual matters, that are reflected in 

deliberative records pertaining to the decision-making process of an Agency, whether 

within or among Agencies (as defined in 5 U.S.C. 552(e) (reference (a)), or within or 

among DoD Components. In order to meet the test of this exemption, the record must 

be both deliberative in nature, as well as part of a decision-making process. Merely 

being an internal record is insufficient basis for withholding under this exemption. 

Also potentially exempted are records pertaining to the attorney-client privilege and 

the attorney work-product privilege. This exemption is entirely discretionary.

DoD 5400.7-R, September 1998

35 CHAPTER 3
C3.2.1.5.1. Examples of the deliberative process include:

C3.2.1.5.1.1. The non-factual portions of staff papers, to include 

after-action reports, lessons learned, and situation reports containing staff evaluations, 

advice, opinions, or suggestions.

C3.2.1.5.1.2. Advice, suggestions, or evaluations prepared on 

behalf of the Department of Defense by individual consultants or by boards, 

committees, councils, groups, panels, conferences, commissions, task forces, or other 

similar groups that are formed for the purpose of obtaining advice and 

recommendations.

C3.2.1.5.1.3. Those non-factual portions of evaluations by DoD 

Component personnel of contractors and their products.

C3.2.1.5.1.4. Information of a speculative, tentative, or evaluative 

nature or such matters as proposed plans to procure, lease or otherwise acquire and 

dispose of materials, real estate, facilities or functions, when such information would 

provide undue or unfair competitive advantage to private personal interests or would 

impede legitimate Government functions.

C3.2.1.5.1.5. Trade secret or other confidential research 

development, or commercial information owned by the Government, where premature 

release is likely to affect the Government's negotiating position or other commercial 

interest.

C3.2.1.5.1.6. Those portions of official reports of inspection, 

reports of the Inspector Generals, audits, investigations, or surveys pertaining to safety, 

security, or the internal management, administration, or operation of one or more DoD 

Components, when these records have traditionally been treated by the courts as 

privileged against disclosure in litigation.

C3.2.1.5.1.7. Planning, programming, and budgetary information 

that is involved in the defense planning and resource allocation process.

C3.2.1.5.2. If any such intra- or inter-agency record or reasonably 

segregable portion of such record hypothetically would be made available routinely 

through the discovery process in the course of litigation with the Agency, then it 

should not be withheld under the FOIA. If, however, the information hypothetically 

would not be released at all, or would only be released in a particular case during civil 

DoD 5400.7-R, September 1998

36 CHAPTER 3
discovery where a party’s particularized showing of need might override a priviledge, 

then the record may be withheld. Discovery is the formal process by which litigants 

obtain information from each other for use in the litigation. Consult with legal 

counsel to determine whether Exemption 5 material would be routinely made available 

through the discovery process.

C3.2.1.5.3. Intra- or inter-agency memoranda or letters that are factual, 

or those reasonably segregable portions that are factual, are routinely made available 

through discovery, and shall be made available to a requester, unless the factual 

material is otherwise exempt from release, inextricably intertwined with the exempt 

information, so fragmented as to be uninformative, or so redundant of information 

already available to the requester as to provide no new substantive information.

C3.2.1.5.4. A direction or order from a superior to a subordinate, though 

contained in an internal communication, generally cannot be withheld from a requester 

if it constitutes policy guidance or a decision, as distinguished from a discussion of 

preliminary matters or a request for information or advice that would compromise the 

decision-making process.

C3.2.1.5.5. An internal communication concerning a decision that 

subsequently has been made a matter of public record must be made available to a 

requester when the rationale for the decision is expressly adopted or incorporated by 

reference in the record containing the decision.

C3.2.1.6. Number 6. (5 U.S.C. 552 (b)(6)) (reference (a)). Information in 

personnel and medical files, as well as similar personal information in other files, that, 

if disclosed to a requester, other than the person about whom the information is about, 

would result in a clearly unwarranted invasion of personal privacy. Release of 

information about an individual contained in a Privacy Act System of records that 

would constitute a clearly unwarranted invasion of privacy is prohibited, and could 

subject the releaser to civil and criminal penalties. If the information qualifies as 

Exemption 6 information, there is no discretion in its release.

C3.2.1.6.1. Examples of other files containing personal information 

similar to that contained in personnel and medical files include:

C3.2.1.6.1.1. Those compiled to evaluate or adjudicate the 

suitability of candidates for civilian employment or membership in the Armed Forces, 

and the eligibility of individuals (civilian, military, or contractor employees) for 

security clearances, or for access to particularly sensitive classified information.

DoD 5400.7-R, September 1998

37 CHAPTER 3
C3.2.1.6.1.2. Files containing reports, records, and other material 

pertaining to personnel matters in which administrative action, including disciplinary 

action, may be taken.

C3.2.1.6.2. Home addresses, including private e-mail addresses, are 

normally not releasable without the consent of the individuals concerned. This 

includes lists of home addressees and military quarters’ addressees without the 

occupant’s name. Additionally, the names and duty addresses (postal and/or e-mail) 

of DoD military and civilian personnel who are assigned to units that are sensitive, 

routinely deployable, or stationed in foreign territories can constitute a clearly 

unwarranted invasion of personal privacy.

C3.2.1.6.2.1. Privacy Interest. A privacy interest may exist in 

personal information even though the information has been disclosed at some place 

and time. If personal information is not freely available from sources other than the 

Federal Government, a privacy interest exists in its nondisclosure. The fact that the 

Federal Government expended funds to prepare, index and maintain records on 

personal information, and the fact that a requester invokes FOIA to obtain these 

records indicates the information is not freely available.

C3.2.1.6.2.2. Names and duty addresses (postal and/or e-mail) 

published in telephone directories, organizational charts, rosters and similar materials 

for personnel assigned to units that are sensitive, routinely deployable, or stationed in 

foreign territories are withholdable under this exemption.

C3.2.1.6.3. This exemption shall not be used in an attempt to protect the 

privacy of a deceased person, but it may be used to protect the privacy of the deceased 

person's family if disclosure would rekindle grief, anguish, pain, embarrassment, or 

even disruption of peace of mind of surviving family members. In such situations, 

balance the surviving family members’ privacy against the public’s right to know to 

determine if disclosure is in the public interest. Additionally, the deceased’s social 

security number should be withheld since it is used by the next of kin to receive 

benefits. Disclosures may be made to the immediate next of kin as defined in DoD 

Directive 5154.24 (reference (u)).

C3.2.1.6.4. A clearly unwarranted invasion of the privacy of third 

parties identified in a personnel, medical or similar record constitutes a basis for 

deleting those reasonably segregable portions of that record. When withholding third 

party personal information from the subject of the record and the record is contained in 

DoD 5400.7-R, September 1998

38 CHAPTER 3
a Privacy Act system of records, consult with legal counsel.

C3.2.1.6.5. This exemption also applies when the fact of the existence 

or nonexistence of a responsive record would itself reveal personally private 

information, and the public interest in disclosure is not sufficient to outweigh the 

privacy interest. In this situation, DoD Components shall neither confirm nor deny 

the existence or nonexistence of the record being requested. This is a Glomar 

response, and Exemption 6 must be cited in the response. Additionally, in order to 

insure personal privacy is not violated during referrals, DoD Components shall 

coordinate with other DoD Components or Federal Agencies before referring a record 

that is exempt under the Glomar concept.

C3.2.1.6.5.1. A "refusal to confirm or deny" response must be used 

consistently, not only when a record exists, but also when a record does not exist. 

Otherwise, the pattern of using a "no records" response when a record does not exist 

and a "refusal to confirm or deny" when a record does exist will itself disclose 

personally private information.

C3.2.1.6.5.2. Refusal to confirm or deny should not be used when 

(a) the person whose personal privacy is in jeopardy has provided the requester a 

waiver of his or her privacy rights; (b) the person initiated or directly participated in an 

investigation that lead to the creation of an Agency record seeks access to that record; 

or (c) the person whose personal privacy is in jeopardy is deceased, the Agency is 

aware of that fact, and disclosure would not invade the privacy of the deceased’s 

family. See paragraph Number C3.2.1.6.3., above.

C3.2.1.7. Number 7. (5 U.S.C. 552 (b)(7)) (reference (a)). Records or 

information compiled for law enforcement purposes; i.e., civil, criminal, or military 

law, including the implementation of Executive Orders or regulations issued pursuant 

to law. This exemption may be invoked to prevent disclosure of documents not 

originally created for, but later gathered for law enforcement purposes. With the 

exception of parts (C) and (F) (see subparagraph Number 7 C3.2.1.7.1.3., below) of 

this exemption, this exemption is discretionary. If information qualifies as exemption 

(7)(C) or (7)(F) (see subparagraph Number 7 C3.2.1.7.1.3., below) information, there 

is no discretion in its release.

C3.2.1.7.1. This exemption applies, however, only to the extent that 

production of such law enforcement records or information could result in the 

following:

DoD 5400.7-R, September 1998

39 CHAPTER 3
C3.2.1.7.1.1. Could reasonably be expected to interfere with 

enforcement proceedings (5 U.S.C. 552(b)(7)(A)) (reference (a)).

C3.2.1.7.1.2. Would deprive a person of the right to a fair trial or to 

an impartial adjudication (5 U.S.C. 552(b)(7)(B)) (reference (a)).

C3.2.1.7.1.3. Could reasonably be expected to constitute an 

unwarranted invasion of personal privacy of a living person, including surviving family 

members of an individual identified in such a record (5 U.S.C. 552(b)(7)(C)) 

(reference (a)).

C3.2.1.7.1.3.1. This exemption also applies when the fact of 

the existence or nonexistence of a responsive record would itself reveal personally 

private information, and the public interest in disclosure is not sufficient to outweigh 

the privacy interest. In this situation, Components shall neither confirm nor deny the 

existence or nonexistence of the record being requested. This is a Glomar response, 

and Exemption (7)(C) must be cited in the response. Additionally, in order to insure 

personal privacy is not violated during referrals, DoD Components shall coordinate 

with other DoD Components or Federal Agencies before referring a record that is 

exempt under the Glomar concept.

C3.2.1.7.1.3.2. A "refusal to confirm or deny" response must 

be used consistently, not only when a record exists, but also when a record does not 

exist. Otherwise, the pattern of using a "no records" response when a record does not 

exist and a "refusal to confirm or deny" when a record does exist will itself disclose 

personally private information.

C3.2.1.7.1.3.3. Refusal to confirm or deny should not be used 

when 1 the person whose personal privacy is in jeopardy has provided the requester 

with a waiver of his or her privacy rights; or 2 the person whose personal privacy is in 

jeopardy is deceased, and the Agency is aware of that fact.

C3.2.1.7.1.3.4. Could reasonably be expected to disclose the 

identity of a confidential source, including a source within the Department of Defense; 

a State, local, or foreign agency or authority; or any private institution that furnishes 

the information on a confidential basis; and could disclose information furnished from 

a confidential source and obtained by a criminal law enforcement authority in a 

criminal investigation or by an Agency conducting a lawful national security 

intelligence investigation (5 U.S.C. 552(b)(7)(D)) (reference (a)).

DoD 5400.7-R, September 1998

40 CHAPTER 3
C3.2.1.7.1.3.5. 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 (5 U.S.C. 552(b)(7)(E)) (reference (a)).

C3.2.1.7.1.3.6. Could reasonably be expected to endanger the 

life or physical safety of any individual (5 U.S.C. 552(b)(7)(F)) (reference (a).

C3.2.1.7.2. Some examples of Exemption 7 are:

C3.2.1.7.2.1. Statements of witnesses and other material developed 

during the course of the investigation and all materials prepared in connection with 

related Government litigation or adjudicative proceedings.

C3.2.1.7.2.2. The identity of firms or individuals being investigated 

for alleged irregularities involving contracting with the Department of Defense when 

no indictment has been obtained nor any civil action filed against them by the United 

States.

C3.2.1.7.2.3. Information obtained in confidence, expressed or 

implied, in the course of a criminal investigation by a criminal law enforcement 

Agency or office within a DoD Component, or a lawful national security intelligence 

investigation conducted by an authorized Agency or office within a DoD Component. 

National security intelligence investigations include background security investigations 

and those investigations conducted for the purpose of obtaining affirmative or 

counterintelligence information.

C3.2.1.7.3. The right of individual litigants to investigative records 

currently available by law (such as, the Jencks Act, 18 U.S.C. 3500, (reference (w))) is 

not diminished.

C3.2.1.7.4. Exclusions. Excluded from the above exemption are the 

below two situations applicable to the Department of Defense. (Components 

considering invoking an exclusion should first consult with the Department of Justice, 

Office of Information and Privacy.)

C3.2.1.7.4.1. Whenever a request is made that involves access to 

records or information compiled for law enforcement purposes, and the investigation 

or proceeding involves a possible violation of criminal law where there is reason to 

believe that the subject of the investigation or proceeding is unaware of its pendency, 

DoD 5400.7-R, September 1998

41 CHAPTER 3
and the disclosure of the existence of the records could reasonably be expected to 

interfere with enforcement proceedings, Components may, during only such times as 

that circumstance continues, treat the records or information as not subject to the 

FOIA. In such situation, the response to the requester will state that no records were 

found.

C3.2.1.7.4.2. Whenever informant records maintained by a criminal 

law enforcement organization within a DoD Component under the informant's name or 

personal identifier are requested by a third party using the informant's name or 

personal identifier, the Component may treat the records as not subject to the FOIA, 

unless the informant's status as an informant has been officially confirmed. If it is 

determined that the records are not subject to 5 U.S.C. 552(b)(7) (reference (a)), the 

response to the requester will state that no records were found.

C3.2.1.8. Number 8. (5 U.S.C. 552 (b)(8)) (reference (a)). Those 

contained in or related to examination, operation or condition reports prepared by, on 

behalf of, or for the use of any Agency responsible for the regulation or supervision of 

financial institutions.

C3.2.1.9. Number 9. (5 U.S.C. 552 (b)(9)) (reference (a)). Those 

containing geological and geophysical information and data (including maps) 

concerning wells.

DoD 5400.7-R, September 1998

42 CHAPTER 3
DoD 5400. 7-R, September 1998

C4.4. SAFEGUARDING FOUO INFORMATION - [REMOVED] 

For FOUO information, see Appendix 3 to DoD 5200.1 -R 

(http://www.dtic.mil/whs/directives/corres/pdf/520001r.pdf) and Under Secretary of Defense for 

Intelligence memorandum, “Interim Information Security Guidance,” April 16, 2004 

(http://www.dtic.mil/whs/directives/corres/pdf/int041605security.pdf). 

Change 1, 4/11/2006 43 CHAPTER 4 
C5. CHAPTER 5

RELEASE AND PROCESSING PROCEDURES

C5.1. GENERAL PROVISIONS

C5.1.1. Public Information.

C5.1.1.1. Since the policy of the Department of Defense is to make the 

maximum amount of information available to the public consistent with its other 

responsibilities, written requests for a DoD record made under the provisions of 5 

U.S.C. 552 (a)(3) (reference (a)) of the FOIA may be denied only when:

C5.1.1.1.1. Disclosure would result in a foreseeable harm to an interest 

protected by a FOIA exemption, and the record is subject to one or more of the 

exemptions of the FOIA.

C5.1.1.1.2. The record has not been described well enough to enable the 

DoD Component to locate it with a reasonable amount of effort by an employee 

familiar with the files.

C5.1.1.1.3. The requester has failed to comply with the procedural 

requirements, including the written agreement to pay or payment of any required fee 

imposed by the instructions of the DoD Component concerned. When personally 

identifiable information in a record is requested by the subject of the record or the 

subject’s attorney, notarization of the request, or a statement certifying under the 

penalty of perjury that their identity is true and correct may be required. Additionally, 

written consent of the subject of the record is required for disclosure from a Privacy 

Act System of records, even to the subject’s attorney.

C5.1.1.2. Individuals seeking DoD information should address their FOIA 

requests to one of the addresses listed in Appendix AP2.

C5.1.2. Requests from Private Parties. The provisions of the FOIA are reserved 

for persons with private interests as opposed to U.S. Federal Agencies seeking official 

information. Requests from private persons will be made in writing, and should 

clearly show all other addressees within the Federal Government to which the request 

was also sent. This procedure will reduce processing time requirements, and ensure 

better inter- and intra-agency coordination. However, if the requester does not show 

all other addressees to which the request was also sent, DoD Components shall still 

DoD 5400.7-R, September 1998

48 CHAPTER 5
process the request. DoD Components should encourage requesters to send requests 

by mail, facsimile, or by electronic means. Disclosure of records to individuals under 

the FOIA is considered public release of information, except as provided for in 

subsections C1.5.6. and C3.2.1., above.

C5.1.3. Requests from Government Officials. Requests from officials of State 

or local Governments for DoD Component records shall be considered the same as any 

other requester. Requests from Members of Congress not seeking records on behalf of 

a Congressional Committee, Subcommittee, either House sitting as a whole, or made 

on behalf of their constituents shall be considered the same as any other requester (see 

also subsections C1.5.6., above and C5.1.4., below). Requests from officials of 

foreign governments shall be considered the same as any other requester. Requests 

from officials of foreign governments that do not invoke the FOIA shall be referred to 

appropriate foreign disclosure channels and the requester so notified.

C5.1.4. Privileged Release Outside of the FOIA to U.S. Government Officials.

C5.1.4.1. Records exempt from release to the public under the FOIA may be 

disclosed in accordance with DoD Component regulations to Agencies of the Federal 

Government, whether legislative, executive, or administrative, as follows:

C5.1.4.1.1. In response to a request of a Committee or Subcommittee of 

Congress, or to either House sitting as a whole in accordance with DoD Directive 

5400.4 (reference (y));

C5.1.4.1.2. To other Federal Agencies, both executive and 

administrative, as determined by the head of a DoD Component or designee;

C5.1.4.1.3. In response to an order of a Federal court, DoD Components 

shall release information along with a description of the restrictions on its release to 

the public;

C5.1.4.2. DoD Components shall inform officials receiving records under the 

provisions of this paragraph that those records are exempt from public release under 

the FOIA. DoD Components also shall advise officials of any special handling 

instructions. Classified information is subject to the provisions of DoD 5200.1-R 

(reference (g)), and information contained in Privacy Act systems of records is subject 

to DoD 5400.11-R (reference (v)).

C5.1.5. Consultation with Affected DoD Component.

DoD 5400.7-R, September 1998

49 CHAPTER 5
C5.1.5.1. When a DoD Component receives a FOIA request for a record in 

which an affected DoD organization (including a Combatant Command) has a clear 

and substantial interest in the subject matter, consultation with that affected DoD 

organization is required. As an example, where a DoD Component receives a request 

for records related to DoD operations in a foreign country, the cognizant Combatant 

Command for the area involved in the request shall be consulted before a release is 

made. Consultations may be telephonic, electronic, or in hard copy.

C5.1.5.2. The affected DoD Component shall review the circumstances of 

the request for host-nation relations, and provide, where appropriate, FOIA processing 

assistance to the responding DoD Component regarding release of information. 

Responding DoD Components shall provide copies of responsive records to the 

affected DoD Component when requested by the affected DoD Component. The 

affected DoD Component shall receive a courtesy copy of all releases in such 

circumstances.

C5.1.5.3. Nothing in the above paragraphs shall impede the processing of the 

FOIA request initially received by a DoD Component.

C5.2. INITIAL DETERMINATIONS

C5.2.1. Initial Denial Authority.

C5.2.1.1. Components shall limit the number of IDAs appointed. In 

designating its IDAs, a DoD Component shall balance the goals of centralization of 

authority to promote uniform decisions and decentralization to facilitate responding to 

each request within the time limitations of the FOIA.

C5.2.1.2. The initial determination whether to make a record available upon 

request may be made by any suitable official designated by the DoD Component in 

published regulations. The presence of the marking "For Official Use Only" does not 

relieve the designated official of the responsibility to review the requested record for 

the purpose of determining whether an exemption under the FOIA is applicable.

C5.2.1.3. The officials designated by DoD Components to make initial 

determinations should consult with public affairs officers (PAOs) to become familiar 

with subject matter that is considered to be newsworthy, and advise PAOs of all 

requests from news media representatives. In addition, the officials should inform 

PAOs in advance when they intend to withhold or partially withhold a record, if it 

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appears that the withholding action may be challenged in the media.

C5.2.2. Reasons for Not Releasing a Record. The following are reasons for not 

complying with a request for a record under 5 U.S.C. 552(a)(3) (reference (a)):

C5.2.2.1. No Records. A reasonable search of files failed to identify 

responsive records.

C5.2.2.2. Referrals. The request is transferred to another DoD Component, 

or to another Federal Agency.

C5.2.2.3. Request Withdrawn. The request is withdrawn by the requester.

C5.2.2.4. Fee-Related Reason. The requester is unwilling to pay fees 

associated with a request; the requester is past due in the payment of fees from a 

previous FOIA request; or the requester disagrees with the fee estimate.

C5.2.2.5. Records not Reasonably Described. A record has not been 

described with sufficient particularity to enable the DoD Component to locate it by 

conducting a reasonable search.

C5.2.2.6. Not a Proper FOIA Request for Some Other Reason. The 

requester has failed unreasonably to comply with procedural requirements, other than 

fee-related, imposed by this Regulation or DoD Component supplementing regulations.

C5.2.2.7. Not an Agency Record. The information requested is not a record 

within the meaning of the FOIA and this Regulation.

C5.2.2.8. Duplicate Request. The request is a duplicate request (e.g., a 

requester asks for the same information more than once). This includes identical 

requests received via different means (e.g., electronic mail, facsimile, mail, courier) at 

the same or different times.

C5.2.2.9. Other (Specify). Any other reason a requester does not comply 

with published rules other than those outlined above.

C5.2.2.10. Partial or Total Denial. The record is denied in whole or in part 

in accordance with procedures set forth in the FOIA.

C5.2.3. Denial Tests. To deny a requested record that is in the possession and 

control of a DoD Component, it must be determined that disclosure of the record 

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51 CHAPTER 5
would result in a foreseeable harm to an interest protected by a FOIA exemption, and 

the record is exempt under one or more of the exemptions of the FOIA. An outline of 

the FOIA’s exemptions is contained in Chapter C3. of this Regulation.

C5.2.4. Reasonably Segregable Portions. Although portions of some records 

may be denied, the remaining reasonably segregable portions must be released to the 

requester when it reasonably can be assumed that a skillful and knowledgeable person 

could not reconstruct the excised information. Unless indicating the extent of the 

deletion would harm an interest protected by an exemption, the amount of deleted 

information shall be indicated on the released portion of paper records by use of 

brackets or darkened areas indicating removal of information. In no case shall the 

deleted areas be left “white” without the use of brackets to show the bounds of deleted 

information. In the case of electronic deletion, or deletion in audiovisual or 

microfiche records, if technically feasible, the amount of redacted information shall be 

indicated at the place in the record such deletion was made, unless including the 

indication would harm an interest protected by the exemption under which the deletion 

is made. This may be done by use of brackets, shaded areas, or some other 

identifiable technique that will clearly show the limits of the deleted information. 

When a record is denied in whole, the response advising the requester of that 

determination will specifically state that it is not reasonable to segregate portions of the 

record for release.

C5.2.5. Response to Requester.

C5.2.5.1. Whenever possible, initial determinations to release or deny a 

record normally shall be made and the decision reported to the requester within 20 

working days after receipt of the request by the official designated to respond. When 

a DoD Component has a significant number of pending requests which prevent a 

response determination within the 20 working day period, the requester shall be so 

notified in an interim response, and advised whether their request qualifies for the fast 

track or slow track within the DoD Components’ multitrack processing system. 

Requesters who do not meet the criteria for fast track processing shall be given the 

opportunity to limit the scope of their request in order to qualify for fast track 

processing. See also subsection C5.1.4., above, for greater detail on multitrack 

processing and compelling need meriting expedited processing.

C5.2.5.2. When a decision is made to release a record, a copy should be 

made available promptly to the requester once he has complied with preliminary 

procedural requirements.

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52 CHAPTER 5
C5.2.5.3. When a request for a record is denied in whole or in part, the 

official designated to respond shall inform the requester in writing of the name and 

title or position of the official who made the determination, and shall explain to the 

requester the basis for the determination in sufficient detail to permit the requester to 

make a decision concerning appeal. The requester specifically shall be informed of 

the exemptions on which the denial is based, inclusive of a brief statement describing 

what the exemption(s) cover. When the initial denial is based in whole or in part on a 

security classification, the explanation should include a summary of the applicable 

Executive Order criteria for classification, as well as an explanation, to the extent 

reasonably feasible, of how those criteria apply to the particular record in question. 

The requester shall also be advised of the opportunity and procedures for appealing an 

unfavorable determination to a higher final authority within the DoD Component.

C5.2.5.4. The final response to the requester should contain information 

concerning the fee status of the request, consistent with the provisions of Chapter C6.,

this Regulation. When a requester is assessed fees for processing a request, the 

requester’s fee category shall be specified in the response letter. Components also 

shall provide the requester with a complete cost breakdown (e.g., 15 pages of office 

reproduction at $0.15 per page; 5 minutes of computer search time at $43.50 per 

minute, 2 hours of professional level search at $25 per hour, etc.) in the response 

letter.

C5.2.5.5. The explanation of the substantive basis for a denial shall include 

specific citation of the statutory exemption applied under provisions of this Regulation; 

e.g., 5 U.S.C. 552 (b)(1) (reference (a)). Merely referring to a classification; to a "For 

Official Use Only" marking on the requested record; or to this Regulation or a DoD 

Component's regulation does not constitute a proper citation or explanation of the basis 

for invoking an exemption.

C5.2.5.6. When the time for response becomes an issue, the official 

responsible for replying shall acknowledge to the requester the date of the receipt of 

the request.

C5.2.5.7. When denying a request for records, in whole or in part, a DoD 

Component shall make a reasonable effort to estimate the volume of the records denied 

and provide this estimate to the requester, unless providing such an estimate would 

harm an interest protected by an exemption of the FOIA. This estimate should be in 

number of pages or in some other reasonable form of estimation, unless the volume is 

otherwise indicated through deletions on records disclosed in part.

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53 CHAPTER 5
C5.2.5.8. When denying a request for records in accordance with a statute 

qualifying as a FOIA Exemption 3 statute, DoD Components shall, in addition to 

stating the particular statute relied upon to deny the information, also state whether a 

court has upheld the decision to withhold the information under the particular statute, 

and a concise description of the scope of the information being withheld.

C5.2.6. Extension of Time.

C5.2.6.1. In unusual circumstances, when additional time is needed to 

respond to the initial request, the DoD Component shall acknowledge the request in 

writing within the 20 day period, describe the circumstances requiring the delay, and 

indicate the anticipated date for a substantive response that may not exceed 10 

additional working days, except as provided below:

C5.2.6.2. With respect to a request for which a written notice has extended 

the time limits by 10 additional working days, and the Component determines that it 

cannot make a response determination within that additional 10 working day period, 

the requester shall be notified and provided an opportunity to limit the scope of the 

request so that it may be processed within the extended time limit, or an opportunity to 

arrange an alternative time frame for processing the request or a modified request. 

Refusal by the requester to reasonably modify the request or arrange for an alternative 

time frame shall be considered a factor in determining whether exceptional 

circumstances exist with respect to DoD Components’ request backlogs. Exceptional 

circumstances do not include a delay that results from predictable Component 

backlogs, unless the DoD Component demonstrates reasonable progress in reducing its 

backlog.

C5.2.6.3. Unusual circumstances that may justify delay are:

C5.2.6.3.1. The need to search for and collect the requested records 

from other facilities that are separate from the office determined responsible for a 

release or denial decision on the requested information.

C5.2.6.3.2. The need to search for, collect, and appropriately examine a 

voluminous amount of separate and distinct records which are requested in a single 

request.

C5.2.6.3.3. The need for consultation, which shall be conducted with all 

practicable speed, with other Agencies having a substantial interest in the 

determination of the request, or among two or more DoD Components having a 

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54 CHAPTER 5
substantial subject-matter interest in the request.

C5.2.6.3.4. DoD Components may aggregate certain requests by the 

same requester, or by a group of requesters acting in concert, if the DoD Component 

reasonably believes that such requests actually constitute a single request, which would 

otherwise satisfy the unusual circumstances set forth above, and the requests involve 

clearly related matters. Multiple requests involving unrelated matters shall not be 

aggregated. If the requests are aggregated under these conditions, the requester or 

requesters shall be so notified.

C5.2.6.3.5. In cases where the statutory time limits cannot be met and no 

informal extension of time has been agreed to, the inability to process any part of the 

request within the specified time should be explained to the requester with a request 

that he agree to await a substantive response by an anticipated date. It should be made 

clear that any such agreement does not prejudice the right of the requester to appeal the 

initial decision after it is made. DoD Components are reminded that the requester still 

retains the right to treat this delay as a defacto denial with full administrative remedies.

C5.2.6.3.6. As an alternative to the taking of formal extensions of time 

as described in subsection C5.2.6., above, the negotiation by the cognizant FOIA 

coordinating office of informal extensions in time with requesters is encouraged where 

appropriate.

C5.2.7. Misdirected Requests. Misdirected requests shall be forwarded 

promptly to the DoD Component or other Federal Agency with the responsibility for 

the records requested. The period allowed for responding to the request misdirected 

by the requester shall not begin until the request is received by the DoD Component 

that manages the records requested.

C5.2.8. Records of Non-U.S. Government Source.

C5.2.8.1. When a request is received for a record that falls under exemption 

4 (see subsection Number 4 of Chapter C3., above), that was obtained from a non-U.S. 

Government source, or for a record containing information clearly identified as having 

been provided by a non-U.S. Government source, the source of the record or 

information [also known as "the submitter" for matters pertaining to proprietary data 

under 5 U.S.C. 552 (reference (a)) Exemption (b)(4)] [Chapter C3., section 2, 

subsection C3.2.1., Number 4, this Regulation and E. O. 12600 (reference (ac)),] shall 

be notified promptly of that request and afforded reasonable time (e.g., 30 calendar 

days) to present any objections concerning the release, unless it is clear that there can 

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55 CHAPTER 5
be no valid basis for objection. This practice is required for those FOIA requests for 

data not deemed clearly exempt from disclosure under Exemption (b)(4) of reference 

(a). If, for example, the record or information was provided with actual or 

presumptive knowledge of the non-U.S. Government source and established that it 

would be made available to the public upon request, there is no obligation to notify the 

source. Any objections shall be evaluated. The final decision to disclose information 

claimed to be exempt under Exemption (b)(4) shall be made by an official equivalent 

in rank to the official who would make the decision to withhold that information under 

the FOIA. When a substantial issue has been raised, the DoD Component may seek 

additional information from the source of the information and afford the source and 

requester reasonable opportunities to present their arguments on the legal and 

substantive issues involved prior to making an Agency determination. When the 

source advises it will seek a restraining order or take court action to prevent release of 

the record or information, the requester shall be notified, and action on the request 

normally shall not be taken until after the outcome of that court action is known. 

When the requester brings court action to compel disclosure, the submitter shall be 

promptly notified of this action.

C5.2.8.2. If the submitted information is a proposal in response to a 

solicitation for a competitive proposal, and the proposal is in the possession and 

control of DoD, and meets the requirements of 10 U.S.C. 2305(g) (reference (p)), the 

proposal shall not be disclosed, and no submitter notification and subsequent analysis 

is required. The proposal shall be withheld from public disclosure pursuant to 

reference (p) and Exemption (b)(3) of reference (a). This statute does not apply to 

bids, unsolicited proposals, or any proposal that is set forth or incorporated by 

reference in a contract between a DoD Component and the offeror that submitted the 

proposal. In such situations, normal submitter notice shall be conducted in 

accordance with paragraph C5.2.8.1., above, except for sealed bids that are opened and 

read to the public. The term proposal means information contained in or originating 

from any proposal, including a technical, management, or cost proposal submitted by 

an offeror in response to solicitation for a competitive proposal, but does not include 

an offeror’s name or total price or unit prices when set forth in a record other than the 

proposal itself. Submitter notice, and analysis as appropriate, are required for 

Exemption (b)(4) matters that are not specifically incorporated in reference (p).

C5.2.8.3. If the record or information was submitted on a strictly voluntary 

basis, absent any exercised authority that prescribes criteria for submission, and after 

consultation with the submitter, it is absolutely clear that the record or information 

would customarily not be released to the public, the submitter need not be notified. 

Examples of exercised authorities prescribing criteria for submission are statutes, 

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Executive Orders, regulations, invitations for bids, requests for proposals, and 

contracts. Records or information submitted under these authorities are not voluntary 

in nature. When it is not clear whether the information was submitted on a voluntary 

basis, absent any exercised authority, and whether it would customarily be released to 

the public by the submitter, notify the submitter and ask that it describe its treatment of 

the information, and render an objective evaluation. If the decision is made to release 

the information over the objection of the submitter, notify the submitter and afford the 

necessary time to allow the submitter to seek a restraining order, or take court action to 

prevent release of the record or information.

C5.2.8.4. The coordination provisions of this paragraph also apply to any 

non-U.S. Government record in the possession and control of the DoD from 

multi-national organizations, such as the North Atlantic Treaty Organization (NATO), 

United Nations Commands, the North American Aerospace Defense Command 

(NORAD), the Inter-American Defense Board, or foreign governments.. Coordination 

with foreign governments under the provisions of this paragraph may be made through 

Department of State, or the specific foreign embassy.

C5.2.9. File of Initial Denials. Copies of all initial denials shall be maintained 

by each DoD Component in a form suitable for rapid retrieval, periodic statistical 

compilation, and management evaluation. Records denied for any of the reasons 

contained in C5.2.2. shall be maintained for a period of six years to meet the statute of 

limitations requirement.

C5.2.10. Special Mail Services. Components are authorized to use registered 

mail, certified mail, certificates of mailing and return receipts. However, their use 

should be limited to instances where it appears advisable to establish proof of dispatch 

or receipt of FOIA correspondence. The requester shall be notified that they are 

responsible for the full costs of special services.

C5.2.11. Receipt Accounts. The Treasurer of the United States has established 

two accounts for FOIA receipts, and all money orders or checks remitting FOIA fees 

should be made payable to the U.S. Treasurer. These accounts, which are described 

in paragraphs C5.2.11.1. and C5.2.11.2., below, shall be used for depositing all FOIA 

receipts, except receipts for Working Capital and non-appropriated funded activities. 

Components are reminded that the below account numbers must be preceded by the 

appropriate disbursing office two-digit prefix. Working Capital and non-appropriated 

funded activity FOIA receipts shall be deposited to the applicable fund.

C5.2.11.1. Receipt Account 3210 Sale of Publications and Reproductions, 

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Freedom of Information Act (reference (ad)). This account shall be used when 

depositing funds received from providing existing publications and forms that meet the 

Receipt Account Series description found in Federal Account Symbols and Titles.

C5.2.11.2. Receipt Account 3210 Fees and Other Charges for Services, 

Freedom of Information Act (reference (ad)). This account is used to deposit search 

fees, fees for duplicating and reviewing (in the case of commercial requesters) records 

to satisfy requests that could not be filled with existing publications or forms.

C5.3. APPEALS

C5.3.1. General. If the official designated by the DoD Component to make 

initial determinations on requests for records declines to provide a record because the 

official considers it exempt under one or more of the exemptions of the FOIA, that 

decision may be appealed by the requester, in writing, to a designated appellate 

authority. The appeal should be accompanied by a copy of the letter denying the 

initial request. Such appeals should contain the basis for disagreement with the initial 

refusal. Appeal procedures also apply to the disapproval of a fee category claim by a 

requester, disapproval of a request for waiver or reduction of fees, disputes regarding 

fee estimates, review on an expedited basis a determination not to grant expedited 

access to Agency records, for no record determinations when the requester considers 

such responses adverse in nature, not providing a response determination to a FOIA 

request within the statutory time limits, or any determination found to be adverse in 

nature by the requester. When denials have been made under the provisions of the 

Privacy Act and the FOIA, and the denied information is contained in a Privacy Act 

system of records, appeals shall be processed under both the Privacy Act and the 

FOIA. If the denied information is not maintained in a Privacy Act system of records, 

the appeal shall be processed under the FOIA. Appeals of Office of the Secretary of 

Defense and Chairman of the Joint Chiefs of Staff determinations may be sent to the 

address in Appendix AP2., paragraph AP2.2.1. If a request is merely misaddressed, 

and the receiving DoD Component simply advises the requester of such and refers the 

request to the appropriate DoD Component, this shall not be considered a no record 

determination.

C5.3.2. Time of Receipt. A FOIA appeal has been received by a DoD 

Component when it reaches the office of an appellate authority having jurisdiction. 

Misdirected appeals should be referred expeditiously to the proper appellate authority.

C5.3.3. Time Limits.

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58 CHAPTER 5
C5.3.3.1. The requester shall be advised to file an appeal so that it is 

postmarked no later than 60 calendar days after the date of the initial denial letter. If 

no appeal is received, or if the appeal is postmarked after the conclusion of this 

60-day period, the appeal may be considered closed. However, exceptions to the 

above may be considered on a case by case basis. In cases where the requester is 

provided several incremental determinations for a single request, the time for the 

appeal shall not begin until the date of the final response. Records that are denied 

shall be retained for a period of six years to meet the statute of limitations requirement.

C5.3.3.2. Final determinations on appeals normally shall be made within 20 

working days after receipt. When a DoD Component has a significant number of 

appeals preventing a response determination within 20 working days, the appeals shall 

be processed in a multitrack processing system, based at a minimum, on the three 

processing tracks established for initial requests. See subsection C1.5.4., above, this 

Regulation. All of the provisions of C1.5.4. apply also to appeals of initial 

determinations, to include establishing additional processing queues as needed.

C5.3.4. Delay in Responding to an Appeal.

C5.3.4.1. If additional time is needed due to the unusual circumstances 

described in subsection C5.2.6., above, the final decision may be delayed for the 

number of working days (not to exceed 10), that were not used as additional time for 

responding to the initial request.

C5.3.4.2. If a determination cannot be made and the requester notified within 

20 working days, the appellate authority shall acknowledge to the requester, in writing, 

the date of receipt of the appeal, the circumstances surrounding the delay, and the 

anticipated date for substantive response. Requesters shall be advised that, if the 

delay exceeds the statutory extension provision or is for reasons other than the unusual 

circumstances identified in subsection C5.2.6., above, they may consider their 

administrative remedies exhausted. They may, however, without prejudicing their 

right of judicial remedy, await a substantive response. The DoD Component shall 

continue to process the case expeditiously.

C5.3.5. Response to the Requester.

C5.3.5.1. When an appellate authority makes a final determination to release 

all or a portion of records withheld by an IDA, a written response and a copy of the 

records so released should be forwarded promptly to the requester after compliance 

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with any preliminary procedural requirements, such as payment of fees.

C5.3.5.2. Final refusal of an appeal must be made in writing by the appellate 

authority or by a designated representative. The response, at a minimum, shall include 

the following:

C5.3.5.2.1. The basis for the refusal shall be explained to the requester 

in writing, both with regard to the applicable statutory exemption or exemptions 

invoked under provisions of the FOIA, and with respect to other appeal matters as set 

forth in subsection C5.3.1., above.

C5.3.5.2.2. When the final refusal is based in whole or in part on a 

security classification, the explanation shall include a determination that the record 

meets the cited criteria and rationale of the governing Executive Order, and that this 

determination is based on a declassification review, with the explanation of how that 

review confirmed the continuing validity of the security classification.

C5.3.5.2.3. The final denial shall include the name and title or position 

of the official responsible for the denial.

C5.3.5.2.4. In the case of appeals for total denial of records, the 

response shall advise the requester that the information being denied does not contain 

meaningful portions that are reasonably segregable.

C5.3.5.2.5. When the denial is based upon an Exemption 3 statute (see 

subsection Number 3 of Chapter C3.), the response, in addition to citing the statute 

relied upon to deny the information, shall state whether a court has upheld the decision 

to withhold the information under the statute, and shall contain a concise description of 

the scope of the information withheld.

C5.3.5.2.6. The response shall advise the requester of the right to 

judicial review.

C5.3.6. Consultation.

C5.3.6.1. Final refusal involving issues not previously resolved or that the 

DoD Component knows to be inconsistent with rulings of other DoD Components 

ordinarily should not be made before consultation with the DoD Office of the General 

Counsel.

C5.3.6.2. Tentative decisions to deny records that raise new or significant 

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legal issues of potential significance to other Agencies of the Government shall be 

provided to the DoD Office of the General Counsel.

C5.4. JUDICIAL ACTIONS

C5.4.1. General.

C5.4.1.1. This section states current legal and procedural rules for the 

convenience of the reader. The statements of rules do not create rights or remedies 

not otherwise available, nor do they bind the Department of Defense to particular 

judicial interpretations or procedures.

C5.4.1.2. A requester may seek an order from a U.S. District Court to 

compel release of a record after administrative remedies have been exhausted; i.e., 

when refused a record by the head of a Component or an appellate designee or when 

the DoD Component has failed to respond within the time limits prescribed by the 

FOIA and in this Regulation.

C5.4.2. Jurisdiction. The requester may bring suit in the U.S. District Court in 

the district in which the requester resides or is the requesters' place of business, in the 

district in which the record is located, or in the District of Columbia.

C5.4.3. Burden of Proof. The burden of proof is on the DoD Component to 

justify its refusal to provide a record. The court shall evaluate the case de novo 

(anew) and may elect to examine any requested record in camera (in private) to 

determine whether the denial was justified.

C5.4.4. Actions by the Court.

C5.4.4.1. When a DoD Component has failed to make a determination within 

the statutory time limits but can demonstrate due diligence in exceptional 

circumstances, to include negotiating with the requester to modify the scope of their 

request, the court may retain jurisdiction and allow the Component additional time to 

complete its review of the records.

C5.4.4.2. If the court determines that the requester's complaint is 

substantially correct, it may require the United States to pay reasonable attorney fees 

and other litigation costs.

C5.4.4.3. When the court orders the release of denied records, it may also 

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issue a written finding that the circumstances surrounding the withholding raise 

questions whether DoD Component personnel acted arbitrarily and capriciously. In 

these cases, the special counsel of the Merit System Protection Board shall conduct an 

investigation to determine whether or not disciplinary action is warranted. The DoD 

Component is obligated to take the action recommended by the special counsel.

C5.4.4.2. The court may punish the responsible official for contempt when a 

DoD Component fails to comply with the court order to produce records that it 

determines have been withheld improperly.

C5.4.5. Non-United States Government Source Information. A requester may 

bring suit in a U.S. District Court to compel the release of records obtained from a 

non-government source or records based on information obtained from a nongovernment source. Such source shall be notified promptly of the court action. 

When the source advises that it is seeking court action to prevent release, the DoD 

Component shall defer answering or otherwise pleading to the complainant as long as 

permitted by the court or until a decision is rendered in the court action of the source, 

whichever is sooner.

C5.4.6. FOIA Litigation. Personnel responsible for processing FOIA requests at 

the DoD Component-level shall be aware of litigation under the FOIA. Such 

information will provide management insights into the use of the nine exemptions by 

Component personnel. Whenever a complaint under the FOIA is filed in a U.S. 

District Court, the DoD Component named in the complaint shall forward a copy of 

the complaint by any means to the Director, Freedom of Information and Security 

Review with an information copy to the DoD Office of the General Counsel, ATTN: 

Office of Legal Counsel.

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C6. CHAPTER 6

FEE SCHEDULE

C6.1. GENERAL PROVISIONS

C6.1.1. Authorities. The Freedom of Information Act (reference (a)), as 

amended; the Paperwork Reduction Act (44 U.S.C. Chapter 35) (reference (ae)), as 

amended; the Privacy Act of 1974 (reference (d)), as amended; the Budget and 

Accounting Act of 1921 and the Budget and Accounting Procedures Act, as amended 

(see 31 U.S.C.) (reference (af)); and 10 U.S.C. 2328 (reference (ag)).

C6.1.2. Application.

C6.1.2.1. The fees described in this Chapter apply to FOIA requests, and 

conform to the Office of Management and Budget Uniform Freedom of Information 

Act Fee Schedule and Guidelines (reference (ah)). They reflect direct costs for 

search, review (in the case of commercial requesters); and duplication of documents, 

collection of which is permitted by the FOIA. They are neither intended to imply that 

fees must be charged in connection with providing information to the public in the 

routine course of business, nor are they meant as a substitute for any other schedule of 

fees, such as DoD 7000.14-R (reference (ai)), which does not supersede the collection 

of fees under the FOIA. Nothing in this Chapter shall supersede fees chargeable 

under a statute specifically providing for setting the level of fees for particular types of 

records. A "statute specifically providing for setting the level of fees for particular 

types of records" (5 U.S.C. 552 (a)(4)(a)(vi)) (reference (a)) means any statute that 

enables a Government Agency such as the Government Printing Office (GPO) or the 

National Technical Information Service (NTIS), to set and collect fees. Components 

should ensure that when documents that would be responsive to a request are 

maintained for distribution by Agencies operating statutory-based fee schedule 

programs such as the GPO or NTIS, they inform requesters of the steps necessary to 

obtain records from those sources.

C6.1.2.2. The term "direct costs" means those expenditures a Component 

actually makes in searching for, reviewing (in the case of commercial requesters), and 

duplicating documents to respond to a FOIA request. Direct costs include, for 

example, the salary of the employee performing the work (the basic rate of pay for the 

employee plus 16 percent of that rate to cover benefits), and the costs of operating 

duplicating machinery. These factors have been included in the fee rates prescribed at 

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Section C6.2. of this Chapter. Not included in direct costs are overhead expenses 

such as costs of space, heating or lighting the facility in which the records are stored.

C6.1.2.3. The term "search" includes all time spent looking, both manually 

and electronically, for material that is responsive to a request. Search also includes a 

page-by-page or line-by-line identification (if necessary) of material in the record to 

determine if it, or portions thereof are responsive to the request. Components should 

ensure that searches are done in the most efficient and least expensive manner so as to 

minimize costs for both the Component and the requester. For example, Components 

should not engage in line-by-line searches when duplicating an entire document known 

to contain responsive information would prove to be the less expensive and quicker 

method of complying with the request. Time spent reviewing documents in order to 

determine whether to apply one or more of the statutory exemptions is not search time, 

but review time. See paragraph C6.1.2.5., below, for the definition of review, and 

paragraphs C6.1.3.5., and C6.2.2.2., below, for information pertaining to computer 

searches.

C6.1.2.4. The term "duplication" refers to the process of making a copy of a 

document in response to a FOIA request. Such copies can take the form of paper 

copy, microfiche, audiovisual, or machine readable documentation (e.g., magnetic tape 

or disc), among others. Every effort will be made to ensure that the copy provided is 

in a form that is reasonably usable, the requester shall be notified that the copy 

provided is the best available and that the Agency's master copy shall be made 

available for review upon appointment. For duplication of computer tapes and 

audiovisual, the actual cost, including the operator's time, shall be charged. In 

practice, if a Component estimates that assessable duplication charges are likely to 

exceed $25.00, it shall notify the requester of the estimate, unless the requester has 

indicated in advance his or her willingness to pay fees as high as those anticipated. 

Such a notice shall offer a requester the opportunity to confer with Component 

personnel with the object of reformulating the request to meet his or her needs at a 

lower cost.

C6.1.2.5. The term "review" refers to the process of examining documents 

located in response to a FOIA request to determine whether one or more of the 

statutory exemptions permit withholding. It also includes processing the documents 

for disclosure, such as excising them for release. Review does not include the time 

spent resolving general legal or policy issues regarding the application of exemptions. 

It should be noted that charges for commercial requesters may be assessed only for the 

initial review. Components may not charge for reviews required at the administrative 

appeal level of an exemption already applied. However, records or portions of records 

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withheld in full under an exemption that is subsequently determined not to apply may 

be reviewed again to determine the applicability of other exemptions not previously 

considered. The costs for such a subsequent review would be properly assessable.

C6.1.3. Fee Restrictions

C6.1.3.1. No fees may be charged by any DoD Component if the costs of 

routine collection and processing of the fee are likely to equal or exceed the amount of 

the fee. With the exception of requesters seeking documents for a commercial use, 

Components shall provide the first two hours of search time, and the first one hundred 

pages of duplication without charge. For example, for a request (other than one from 

a commercial requester) that involved two hours and ten minutes of search time, and 

resulted in one hundred and five pages of documents, a Component would determine 

the cost of only ten minutes of search time, and only five pages of reproduction. If 

this processing cost was equal to, or less than, the cost to the Component for billing the 

requester and processing the fee collected, no charges would result.

C6.1.3.2. Requesters receiving the first two hours of search and the first one 

hundred pages of duplication without charge are entitled to such only once per 

request. Consequently, if a Component, after completing its portion of a request, 

finds it necessary to refer the request to a subordinate office, another DoD Component, 

or another Federal Agency to action their portion of the request, the referring 

Component shall inform the recipient of the referral of the expended amount of search 

time and duplication cost to date.

C6.1.3.3. The elements to be considered in determining the "cost of 

collecting a fee" are the administrative costs to the Component of receiving and 

recording a remittance, and processing the fee for deposit in the Department of 

Treasury's special account. The cost to the Department of Treasury to handle such 

remittance is negligible and shall not be considered in Components' determinations.

C6.1.3.4. For the purposes of these restrictions, the word "pages" refers to 

paper copies of a standard size, which will normally be "8 1/2 x 11" or "11 x 14." 

Thus, requesters would not be entitled to 100 microfiche or 100 computer disks, for 

example. A microfiche containing the equivalent of 100 pages or 100 pages of 

computer printout however, might meet the terms of the restriction.

C6.1.3.5. In the case of computer searches, the first two free hours will be 

determined against the salary scale of the individual operating the computer for the 

purposes of the search. As an example, when the direct costs of the computer central 

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processing unit, input-output devices, and memory capacity equal $24.00 (two hours of 

equivalent search at the clerical level), amounts of computer costs in excess of that 

amount are chargeable as computer search time. In the event the direct operating cost 

of the hardware configuration cannot be determined, computer search shall be based on 

the salary scale of the operator executing the computer search. See Section C6.2., this 

Chapter, for further details regarding fees for computer searches.

C6.1.4. Fee Waivers.

C6.1.4.1. Documents shall be furnished without charge, or at a charge 

reduced below fees assessed to the categories of requesters in subsection C6.1.5.,

below, when the Component determines that waiver or reduction of the fees is in the 

public interest because furnishing the information is likely to contribute significantly to 

public understanding of the operations or activities of the Department of Defense and 

is not primarily in the commercial interest of the requester.

C6.1.4.2. When assessable costs for a FOIA request total $15.00 or less, fees 

shall be waived automatically for all requesters, regardless of category.

C6.1.4.3. Decisions to waive or reduce fees that exceed the automatic waiver 

threshold shall be made on a case-by-case basis, consistent with the following factors:

C6.1.4.3.1. Disclosure of the information "is in the public interest 

because it is likely to contribute significantly to public understanding of the operations 

or activities of the Government."

C6.1.4.3.1.1. The subject of the request. Components should 

analyze whether the subject matter of the request involves issues that will significantly 

contribute to the public understanding of the operations or activities of the Department 

of Defense. Requests for records in the possession of the Department of Defense 

which were originated by non-government organizations and are sought for their 

intrinsic content, rather than informative value, will likely not contribute to public 

understanding of the operations or activities of the Department of Defense. An 

example of such records might be press clippings, magazine articles, or records 

forwarding a particular opinion or concern from a member of the public regarding a 

DoD activity. Similarly, disclosures of records of considerable age may or may not 

bear directly on the current activities of the Department of Defense; however, the age 

of a particular record shall not be the sole criteria for denying relative significance 

under this factor. It is possible to envisage an informative issue concerning the current 

activities of the Department of Defense, based upon historical documentation. 

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Requests of this nature must be closely reviewed consistent with the requester's stated 

purpose for desiring the records and the potential for public understanding of the 

operations and activities of the Department of Defense.

C6.1.4.3.1.2. The informative value of the information to be 

disclosed. This factor requires a close analysis of the substantive contents of a record, 

or portion of the record, to determine whether disclosure is meaningful, and shall 

inform the public on the operations or activities of the Department of Defense. While 

the subject of a request may contain information that concerns operations or activities 

of the Department of Defense, it may not always hold great potential for contributing 

to a meaningful understanding of these operations or activities. An example of such 

would be a previously released record that has been heavily redacted, the balance of 

which may contain only random words, fragmented sentences, or paragraph headings. 

A determination as to whether a record in this situation will contribute to the public 

understanding of the operations or activities of the Department of Defense must be 

approached with caution, and carefully weighed against the arguments offered by the 

requester. Another example is information already known to be in the public 

domain. Disclosure of duplicative, or nearly identical information already existing in 

the public domain may add no meaningful new information concerning the operations 

and activities of the Department of Defense.

C6.1.4.3.1.3. The contribution to an understanding of the subject by 

the general public likely to result from disclosure. The key element in determining the 

applicability of this factor is whether disclosure will inform, or have the potential to 

inform the public, rather than simply the individual requester or small segment of 

interested persons. The identity of the requester is essential in this situation in order 

to determine whether such requester has the capability and intention to disseminate the 

information to the public. Mere assertions of plans to author a book, researching a 

particular subject, doing doctoral dissertation work, or indigence are insufficient 

without demonstrating the capacity to further disclose the information in a manner that 

will be informative to the general public. Requesters should be asked to describe their 

qualifications, the nature of their research, the purpose of the requested information, 

and their intended means of dissemination to the public.

C6.1.4.3.1.4. The significance of the contribution to public 

understanding. In applying this factor, Components must differentiate the relative 

significance or impact of the disclosure against the current level of public knowledge, 

or understanding which exists before the disclosure. In other words, will disclosure 

on a current subject of wide public interest be unique in contributing previously 

unknown facts, thereby enhancing public knowledge, or will it basically duplicate what 

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is already known by the general public? A decision regarding significance requires 

objective judgment, rather than subjective determination, and must be applied carefully 

to determine whether disclosure will likely lead to a significant public understanding of 

the issue. Components shall not make value judgments as to whether the information 

is important enough to be made public.

C6.1.4.3.2. Disclosure of the information "is not primarily in the 

commercial interest of the requester."

C6.1.4.3.2.1. The existence and magnitude of a commercial interest.

If the request is determined to be of a commercial interest, Components should address 

the magnitude of that interest to determine if the requester's commercial interest is 

primary, as opposed to any secondary personal or non-commercial interest. In 

addition to profit-making organizations, individual persons or other organizations may 

have a commercial interest in obtaining certain records. Where it is difficult to 

determine whether the requester is of a commercial nature, Components may draw 

inference from the requester's identity and circumstances of the request. In such 

situations, the provisions of subsection C6.1.5., below, apply. Components are 

reminded that in order to apply the commercial standards of the FOIA, the requester's 

commercial benefit must clearly override any personal or non-profit interest.

C6.1.4.3.2.2. The primary interest in disclosure. Once a requester's 

commercial interest has been determined, Components should then determine if the 

disclosure would be primarily in that interest. This requires a balancing test between 

the commercial interest of the request against any public benefit to be derived as a 

result of that disclosure. Where the public interest is served above and beyond that of 

the requester's commercial interest, a waiver or reduction of fees would be 

appropriate. Conversely, even if a significant public interest exists, and the relative 

commercial interest of the requester is determined to be greater than the public interest, 

then a waiver or reduction of fees would be inappropriate. As examples, news media 

organizations have a commercial interest as business organizations; however, their 

inherent role of disseminating news to the general public can ordinarily be presumed to 

be of a primary interest. Therefore, any commercial interest becomes secondary to the 

primary interest in serving the public. Similarly, scholars writing books or engaged in 

other forms of academic research, may recognize a commercial benefit, either directly, 

or indirectly (through the institution they represent); however, normally such pursuits 

are primarily undertaken for educational purposes, and the application of a fee charge 

would be inappropriate. Conversely, data brokers or others who merely compile 

Government information for marketing can normally be presumed to have an interest 

primarily of a commercial nature.

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C6.1.4.4. Components are reminded that the factors and examples used in 

this subsection are not all inclusive. Each fee decision must be considered on a 

case-by-case basis and upon the merits of the information provided in each request. 

When the element of doubt as to whether to charge or waive the fee cannot be clearly 

resolved, Components should rule in favor of the requester.

C6.1.4.5. In addition, the following additional circumstances describe 

situations where waiver or reduction of fees are most likely to be warranted:

C6.1.4.5.1. A record is voluntarily created to prevent an otherwise 

burdensome effort to provide voluminous amounts of available records, including 

additional information not requested.

C6.1.4.5.2. A previous denial of records is reversed in total, or in part, 

and the assessable costs are not substantial (e.g. $15.00 - $30.00).

C6.1.5. Fee Assessment.

C6.1.5.1. Fees may not be used to discourage requesters, and to this end, 

FOIA fees are limited to standard charges for direct document search, review (in the 

case of commercial requesters) and duplication.

C6.1.5.2. In order to be as responsive as possible to FOIA requests while 

minimizing unwarranted costs to the taxpayer, Components shall adhere to the 

following procedures:

C6.1.5.2.1. Analyze each request to determine the category of the 

requester. If the Component determination regarding the category of the requester is 

different than that claimed by the requester, the Component shall:

C6.1.5.2.1.1 Notify the requester to provide additional justification 

to warrant the category claimed, and that a search for responsive records will not be 

initiated until agreement has been attained relative to the category of the requester. 

Absent further category justification from the requester, and within a reasonable period 

of time (i.e., 30 calendar days), the Component shall render a final category 

determination, and notify the requester of such determination, to include normal 

administrative appeal rights of the determination.

C6.1.5.2.1.2. Advise the requester that, notwithstanding any appeal, 

a search for responsive records will not be initiated until the requester indicates a 

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willingness to pay assessable costs appropriate for the category determined by the 

Component.

C6.1.5.2.2. Requesters should submit a fee declaration appropriate for 

the below categories.

C6.1.5.2.2.1. Commercial. Requesters should indicate a 

willingness to pay all search, review and duplication costs.

C6.1.5.2.2.2. Educational or Noncommercial Scientific Institution 

or News Media. Requesters should indicate a willingness to pay duplication charges 

in excess of 100 pages if more than 100 pages of records are desired.

C6.1.5.2.2.3. All Others. Requesters should indicate a willingness 

to pay assessable search and duplication costs if more than two hours of search effort 

or 100 pages of records are desired.

C6.1.5.2.3. If the above conditions are not met, then the request need not 

be processed and the requester shall be so informed.

C6.1.5.2.4. In the situations described by subparagraphs C6.1.5.2.1. and 

C6.1.5.2.2., above, Components must be prepared to provide an estimate of assessable 

fees if desired by the requester. While it is recognized that search situations will vary 

among Components, and that an estimate is often difficult to obtain prior to an actual 

search, requesters who desire estimates are entitled to such before committing to a 

willingness to pay. Should Components’ actual costs exceed the amount of the 

estimate or the amount agreed to by the requester, the amount in excess of the estimate 

or the requester's agreed amount shall not be charged without the requester's agreement.

C6.1.5.2.5. No DoD Component may require advance payment of any 

fee; i.e., payment before work is commenced or continued on a request, unless the 

requester has previously failed to pay fees in a timely fashion, or the Agency has 

determined that the fee will exceed $250.00. As used in this sense, a timely fashion is 

30 calendar days from the date of billing (the fees have been assessed in writing) by 

the Component.

C6.1.5.2.6. Where a Component estimates or determines that allowable 

charges that a requester may be required to pay are likely to exceed $250.00, the 

Component shall notify the requester of the likely cost and obtain satisfactory 

assurance of full payment where the requester has a history of prompt payments, or 

require an advance payment of an amount up to the full estimated charges in the case 

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of requesters with no history of payment.

C6.1.5.2.7. Where a requester has previously failed to pay a fee charged 

in a timely fashion (i.e., within 30 calendar days from the date of the billing), the 

Component may require the requester to pay the full amount owed, plus any applicable 

interest, or demonstrate that he or she has paid the fee, and to make an advance 

payment of the full amount of the estimated fee before the Component begins to 

process a new or pending request from the requester. Interest will be at the rate 

prescribed in 31 U.S.C. 3717 (reference (aj)), and confirmed with respective Finance 

and Accounting Offices.

C6.1.5.2.8. After all work is completed on a request, and the documents 

are ready for release, Components may request payment before forwarding the 

documents, particularly for those requesters who have no payment history, or for those 

requesters who have failed previously to pay a fee in a timely fashion (i.e., within 30 

calendar days from the date of the billing). In the case of the latter, the previsions of 

subparagraph C6.1.5.2.7., above, apply.

C6.1.5.2.9. When Components act under subparagraphs C6.1.5.2.1.

through C6.1.5.2.7., above, the administrative time limits of the FOIA will begin only 

after the Component has received a willingness to pay fees and satisfaction as to 

category determination, or fee payments (if appropriate).

C6.1.5.2.10. Components may charge for time spent searching for 

records, even if that search fails to locate records responsive to the request. 

Components may also charge search and review (in the case of commercial requesters) 

time if records located are determined to be exempt from disclosure. In practice, if the 

Component estimates that search charges are likely to exceed $25.00, it shall notify the 

requester of the estimated amount of fees, unless the requester has indicated in advance 

his or her willingness to pay fees as high as those anticipated. Such a notice shall 

offer the requester the opportunity to confer with Component personnel with the object 

of reformulating the request to meet his or her needs at a lower cost.

C6.1.5.3. Commercial Requesters. Fees shall be limited to reasonable 

standard charges for document search, review and duplication when records are 

requested for commercial use. Requesters must reasonably describe the records 

sought. (See subsection C1.5.8., above.)

C6.1.5.3.1. The term "commercial use" request refers to a request from, 

or on behalf of one who seeks information for a use or purpose that furthers the 

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commercial, trade, or profit interest of the requester or the person on whose behalf the 

request is made. In determining whether a requester properly belongs in this category, 

Components must determine the use to which a requester will put the documents 

requested. Moreover, where a Component has reasonable cause to doubt the use to 

which a requester will put the records sought, or where that use is not clear from the 

request itself, Components should seek additional clarification before assigning the 

request to a specific category.

C6.1.5.3.2. When Components receive a request for documents for 

commercial use, they should assess charges which recover the full direct costs of 

searching for, reviewing for release, and duplicating the records sought. Commercial 

requesters (unlike other requesters) are not entitled to two hours of free search time, 

nor 100 free pages of reproduction of documents. Moreover, commercial requesters 

are not normally entitled to a waiver or reduction of fees based upon an assertion that 

disclosure would be in the public interest. However, because use is the exclusive 

determining criteria, it is possible to envision a commercial enterprise making a request 

that is not for commercial use. It is also possible that a non-profit organization could 

make a request that is for commercial use. Such situations must be addressed on a 

case-by-case basis.

C6.1.5.4. Educational Institution Requesters. Fees shall be limited to only 

reasonable standard charges for document duplication (excluding charges for the first 

100 pages) when the request is made by an educational institution whose purpose is 

scholarly research. Requesters must reasonably describe the records sought (see 

subsection C1.5.8., above). The term "educational institution" refers to a pre-school, a 

public or private elementary or secondary school, an institution of graduate high 

education, an institution of undergraduate higher education, an institution of 

professional education, and an institution of vocational education, which operates a 

program or programs of scholarly research. Fees shall be waived or reduced in the 

public interest if the criteria of subsection C6.1.4., above, have been met.

C6.1.5.5. Non-Commercial Scientific Institution Requesters. Fees shall be 

limited to only reasonable standard charges for document duplication (excluding 

charges for the first 100 pages) when the request is made by a non-commercial 

scientific institution whose purpose is scientific research. Requesters must reasonably 

describe the records sought (see subsection C1.5.8., above). The term 

"non-commercial scientific institution" refers to an institution that is not operated on a 

"commercial" basis as defined in subparagraph C6.1.5.3., above, and that is operated 

solely for the purpose of conducting scientific research, the results of which are not 

intended to promote any particular product or industry. Fees shall be waived or 

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reduced in the public interest if the criteria of subsection C6.1.4., above, have been met.

C6.1.5.6. Components shall provide documents to requesters in paragraphs 

C6.1.5.4. and C6.1.5.5., above, for the cost of duplication alone, excluding charges for 

the first 100 pages. To be eligible for inclusion in these categories, requesters must 

show that the request is being made under the auspices of a qualifying institution and 

that the records are not sought for commercial use, but in furtherance of scholarly 

(from an educational institution) or scientific (from a non-commercial scientific 

institution) research.

C6.1.5.7. Representatives of the news media. Fees shall be limited to only 

reasonable standard charges for document duplication (excluding charges for the first 

100 pages) when the request is made by a representative of the news media. 

Requesters must reasonably describe the records sought (see subsection C1.5.8.,

above). Fees shall be waived or reduced if the criteria of subsection C6.1.4., above, 

have been met.

C6.1.5.7.1. The term "representative of the news media" refers to any 

person actively gathering news for an entity that is organized and operated to publish 

or broadcast news to the public. The term "news" means information that is about 

current events or that would be of current interest to the public. Examples of news 

media entities include television or radio stations broadcasting to the public at large, 

and publishers of periodicals (but only in those instances when they can qualify as 

disseminators of "news") who make their products available for purchase or 

subscription by the general public. These examples are not meant to be all-inclusive. 

Moreover, as traditional methods of news delivery evolve (e.g., electronic 

dissemination of newspapers through telecommunications services), such alternative 

media would be included in this category. In the case of "freelance" journalists, they 

may be regarded as working for a news organization if they can demonstrate a solid 

basis for expecting publication though that organization, even through not actually 

employed by it. A publication contract would be the clearest proof, but Components 

may also look to the past publication record of a requester in making this determination.

C6.1.5.7.2. To be eligible for inclusion in this category, a requester must 

meet the criteria in subparagraph C6.1.5.7.1., above, and his or her request must not be 

made for commercial use. A request for records supporting the news dissemination 

function of the requester shall not be considered to be a request that is for a 

commercial use. For example, a document request by a newspaper for records 

relating to the investigation of a defendant in a current criminal trial of public interest 

could be presumed to be a request from an entity eligible for inclusion in this category, 

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and entitled to records at the cost of reproduction alone (excluding charges for the first 

100 pages).

C6.1.5.7.3. "Representative of the news media" does not include private 

libraries, private repositories of Government records, information vendors, data 

brokers or similar marketers of information whether to industries and businesses, or 

other entities.

C6.1.5.8. All Other Requesters. Components shall charge requesters who 

do not fit into any of the categories described in subsections C6.1.5.3., C6.1.5.4.,

C6.1.5.5., or C6.1.5.7., fees which recover the full direct cost of searching for and 

duplicating records, except that the first two hours of search time and the first 100 

pages of duplication shall be furnished without charge. Requesters must reasonably 

describe the records sought (see subsection C1.5.8., above). Requests from subjects 

about themselves will continue to be treated under the fee provisions of the Privacy 

Act of 1974 (reference (d)), which permit fees only for duplication. Components are 

reminded that this category of requester may also be eligible for a waiver or reduction 

of fees if disclosure of the information is in the public interest as defined under 

subsection C6.1.4.1., above. (See also subparagraph C6.1.5.3.2.)

C6.1.6. Aggregating Requests. Except for requests that are for a commercial 

use, a Component may not charge for the first two hours of search time or for the first 

100 pages of reproduction. However, a requester may not file multiple requests at the 

same time, each seeking portions of a document or documents, solely in order to avoid 

payment of fees. When a Component reasonably believes that a requester or, on rare 

occasions, a group of requesters acting in concert, is attempting to break a request 

down into a series of requests for the purpose of avoiding the assessment of fees, the 

Agency may aggregate any such requests and charge accordingly. One element to be 

considered in determining whether a belief would be reasonable is the time period in 

which the requests have occurred. For example, it would be reasonable to presume 

that multiple requests of this type made within a 30 day period had been made to avoid 

fees. For requests made over a longer period however, such a presumption becomes 

harder to sustain and Components should have a solid basis for determining that 

aggregation is warranted in such cases. Components are cautioned that before 

aggregating requests from more than one requester, they must have a concrete basis on 

which to conclude that the requesters are acting in concert and are acting specifically 

to avoid payment of fees. In no case may Components aggregate multiple requests on 

unrelated subjects from one requester.

C6.1.7 Effect of the Debt Collection Act of 1982 (P.L. 97-365) (reference (ak)). 

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The Debt Collection Act of 1982 (P.L. 97-365) (reference (ak)) provides for a 

minimum annual rate of interest to be charged on overdue debts owed the Federal 

Government. Components may levy this interest penalty for any fees that remain 

outstanding 30 calendar days from the date of billing (the first demand notice) to the 

requester of the amount owed. The interest rate shall be as prescribed in 31 U.S.C. 

3717 (reference (aj)). Components should verify the current interest rate with 

respective Finance and Accounting Offices. After one demand letter has been sent, 

and 30 calendar days have lapsed with no payment, Components may submit the debt 

to respective Finance and Accounting Offices for collection pursuant to reference (ak).

C6.1.8. Computation of Fees. The fee schedule in this Chapter shall be used to 

compute the search, review (in the case of commercial requesters) and duplication 

costs associated with processing a given FOIA request. Costs shall be computed on 

time actually spent. Neither time-based nor dollar-based minimum charges for search, 

review and duplication are authorized. The appropriate fee category of the requester 

shall be applied before computing fees.

C6.1.9. Refunds. In the event that a Component discovers that it has 

overcharged a requester or a requester has overpaid, the Component shall promptly 

refund the charge to the requester by reimbursement methods that are agreeable to the 

requester and the Component.

C6.2. COLLECTION OF FEES AND FEE RATES

C6.2.1. Collection of Fees. Collection of fees will be made at the time of 

providing the documents to the requester or recipient when the requester specifically 

states that the costs involved shall be acceptable or acceptable up to a specified limit 

that covers the anticipated costs. Collection of fees may not be made in advance 

unless the requester has failed to pay previously assessed fees within 30 calendar days 

from the date of the billing by the DoD Component, or the Component has determined 

that the fee will be in excess of $250 (see subsection C6.1.5., above).

C6.2.2. Search Time.

C6.2.2.1. Manual Search.

Type Grade Hourly Rate ($)

Clerical E9/GS8 and below 12

Professional O1-O6/GS9-GS15 25

Executive O7/GS16/ES1 and above 45

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C6.2.2.2. Computer Search. Fee assessments for computer search consists 

of two parts; individual time (hereafter referred to as human time), and machine time.

C6.2.2.2.1. Human time. Human time is all the time spent by humans 

performing the necessary tasks to prepare the job for a machine to execute the run 

command. If execution of a run requires monitoring by a human, that human time 

may be also assessed as computer search. The terms “programmer/operator” shall not 

be limited to the traditional programmers or operators. Rather, the terms shall be 

interpreted in their broadest sense to incorporate any human involved in performing the 

computer job (e.g. technician, administrative support, operator, programmer, database 

administrator, or action officer).

C6.2.2.2.2. Machine time. Machine time involves only direct costs of 

the Central Processing Unit (CPU), input/output devices, and memory capacity used in 

the actual computer configuration. Only this CPU rate shall be charged. No other 

machine related costs shall be charged. In situations where the capability does not 

exist to calculate CPU time, no machine costs can be passed on to the requester. 

When CPU calculations are not available, only human time costs shall be assessed to 

requesters. Should DoD Components lease computers, the services charged by the 

lessor shall not be passed to the requester under the FOIA.

C6.2.3. Duplication.

Type Cost per Page (cents)

Pre-Printed material 02

Office copy 15

Microfiche 25

Computer copies (tapes,

discs or printouts)

Actual cost of duplicating the tape, disc or printout

(includes operator's time and cost of the medium)

C6.2.4. Review Time (in the case of commercial requesters).

Type Grade Hourly Rate ($)

Clerical E9/GS8 and below 12

Professional O1-O6/GS9-GS15 25

Executive O7/GS16/ES1 and above 45

C6.2.5. Audiovisual Documentary Materials. Search costs are computed as for 

any other record. Duplication cost is the actual direct cost of reproducing the 

material, including the wage of the person doing the work. Audiovisual materials 

provided to a requester need not be in reproducible format or quality.

DoD 5400.7-R, September 1998

76 CHAPTER 6
C6.2.6. Other Records. Direct search and duplication cost for any record not 

described in this section shall be computed in the manner described for audiovisual 

documentary material.

C6.2.7. Costs for Special Services. Complying with requests for special services 

is at the discretion of the Components. Neither the FOIA, nor its fee structure cover 

these kinds of services. Therefore, Components may recover the costs of special 

services requested by the requester after agreement has been obtained in writing from 

the requester to pay for one or more of the following services:

C6.2.7.1. Certifying that records are true copies.

C6.2.7.2. Sending records by special methods such as express mail, etc.

C6.3. COLLECTION OF FEES AND FEE RATES FOR TECHNICAL DATA

C6.3.1. Fees for Technical Data.

C6.3.1.1. Technical data, other than technical data that discloses critical 

technology with military or space application, if required to be released under the 

FOIA, shall be released after the person requesting such technical data pays all 

reasonable costs attributed to search, duplication and review of the records to be 

released. Technical data, as used in this section, means recorded information, 

regardless of the form or method of the recording of a scientific or technical nature 

(including computer software documentation). This term does not include computer 

software, or data incidental to contract administration, such as financial and/or 

management information. DoD Components shall retain the amounts received by 

such a release, and it shall be merged with and available for the same purpose and the 

same time period as the appropriation from which the costs were incurred in 

complying with request. All reasonable costs as used in this sense are the full costs to 

the Federal Government of rendering the service, or fair market value of the service, 

whichever is higher. Fair market value shall be determined in accordance with 

commercial rates in the local geographical area. In the absence of a known market 

value, charges shall be based on recovery of full costs to the Federal Government. 

The full costs shall include all direct and indirect costs to conduct the search and to 

duplicate the records responsive to the request. This cost is to be differentiated from 

the direct costs allowable under Section C6.2. of this Chapter for other types of 

information released under the FOIA.

DoD 5400.7-R, September 1998

77 CHAPTER 6
C6.3.1.2. Waiver. Components shall waive the payment of costs required 

in paragraph C6.3.1.1., above, which are greater than the costs that would be required 

for release of this same information under section C6.2. of this Chapter if:

C6.3.1.2.1. The request is made by a citizen of the United States or a 

United States corporation, and such citizen or corporation certifies that the technical 

data requested is required to enable it to submit an offer, or determine whether it is 

capable of submitting an offer to provide the product to which the technical data 

relates to the United States or a contractor with the United States. However, 

Components may require the citizen or corporation to pay a deposit in an amount equal 

to not more than the cost of complying with the request, which will be refunded upon 

submission of an offer by the citizen or corporation;

C6.3.1.2.2. The release of technical data is requested in order to comply 

with the terms of an international agreement; or,

C6.3.1.2.3. The Component determines in accordance with paragraph 

C6.1.4.1., above, that such a waiver is in the interest of the United States.

C6.3.1.3. Fee Rates.

C6.3.1.3.1. Search Time.

C6.3.1.3.1.1. Manual Search.

Type Grade Hourly Rate ($)

Clerical E9/GS8 and below 13.25

(Minimum Charge) 8.30

Professional and Executive (To be established

at actual hourly rate prior to search. A minimum 

charge will be established at 1/2 hourly rates.)

C6.3.1.3.1.2. Computer search is based on the total cost of the 

central processing unit, input-output devices, and memory capacity of the actual 

computer configuration. The wage (based upon the scale in subparagraph 

C6.3.1.3.1.1., above) for the computer operator and/or programmer determining how to 

conduct, and subsequently executing the search will be recorded as part of the 

computer search. See paragraph C6.2.2.2., above, for further details regarding 

computer search.

C6.3.1.3.2. Duplication.

DoD 5400.7-R, September 1998

78 CHAPTER 6
Type Cost

Aerial photograph, maps, specifications, permits, charts, blueprints,

and other technical engineering documents

$2.50

Engineering data (microfilm)

 (a) Aperture cards

 1 Silver duplicate negative, per card .75

 When key punched and verified, per card .85

 2 Diazo duplicate negative, per card .65

 When key punched and verified, per card .75

 (b) 35mm roll film, per frame .50

 (c) 16mm roll film, per frame .45

 (d) Paper prints (engineering drawings), each 1.50

 (e) Paper reprints of microfilm indices, each .10

C6.3.1.3.3. Review Time.

Type Grade Hourly Rate ($)

Clerical E9/GS8 and below 13.25

(Minimum Charge) 8.30

Professional and Executive (To be established at actual

hourly rate prior to review. A minimum charge

will be established at 1/2 hourly rates.)

C6.3.1.4. Other Technical Data Records. Charges for any additional 

services not specifically provided in subsection C6.3.1.3., above, consistent with 

Volume 11A of DoD 7000.14-R (reference (ai)), shall be made by Components at the 

following rates:

(1) Minimum charge for office copy (up to six images) . . . . . . . . $3.50

(2) Each additional image . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

(3) Each typewritten page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.50

(4) Certification and validation with seal, each . . . . . . . . . . . . . . 5.20

(5) Hand-drawn plots and sketches, each hour or fraction thereof 12.00

DoD 5400.7-R, September 1998

79 CHAPTER 6
C7. CHAPTER 7

REPORTS

C7.1. REPORTS CONTROL

C7.1.1. General.

C7.1.1.1. The Annual Freedom of Information Act Report is mandated by the 

statute and reported on a fiscal year basis. Due to the magnitude of the requested 

statistics and the need to ensure accuracy of reporting, DoD Components shall track 

this data as requests are processed. This will also facilitate a quick and accurate 

compilation of statistics. DoD Components shall forward their report to the 

Directorate for Freedom of Information and Security Review no later than November 

30 following the fiscal year’s close. It may be submitted electronically and via hard 

copy accompanied by a computer diskette. In turn, DoD will produce a consolidated 

report for submission to the Attorney General, and ensure that a copy of the DoD 

consolidated report is placed on the Internet for public access.

C7.1.1.2. Existing DoD standards and registered data elements are to be 

utilized to the greatest extent possible in accordance with the provisions of DoD 

Manual 8320.1-M, “Data Administration Procedures” (reference (al)).

C7.1.1.3. The reporting requirement outlined in this Chapter is assigned 

Report Control Symbol DD-DA&M(A)1365, Freedom of Information Act Report to 

Congress.

C7.1.2. Annual Report. The current edition of DD Form 2564 shall be used to 

submit Component input. DD Form 2564 is available on the Internet under 

DefenseLink, Publications. Instructions for completion follow:

C7.1.2.1. ITEM 1 Initial Request Determinations. Please note that initial 

Privacy Act requests which are also processed as initial FOIA requests are reported 

here. They will also be reported as “Privacy Act requests” on the Annual Privacy Act 

Report. See paragraph C1.5.13., Relationship Between the FOIA and the Privacy Act 

(PA).

C7.1.2.1.1. Total Requests Processed. Enter the total number of initial 

FOIA requests responded to (completed) during the fiscal year. Since more than one 

action frequently is taken on a completed case, Total Actions (see C7.1.2.1.6., below) 

DoD 5400.7-R, September 1998

80 CHAPTER 7
the sum of Items C7.1.2.1.2. (below) through C7.1.2.1.5. (below), may exceed Total 

Requests Processed (See Appendix AP5. for form layout).

C7.1.2.1.2. Granted in Full. Enter the total number of initial FOIA 

requests responded to that were granted in full during the fiscal year. (This may 

include requests granted by your office, yet still requiring action by another office.)

C7.1.2.1.3. Denied in Part. Enter the total number of initial FOIA 

requests responded to and denied in part based on one or more of the FOIA 

exemptions. (Do not report “Other Reason Responses” as a partial denial here, 

unless a FOIA exemption is used also.)

C7.1.2.1.4. Denied in Full. Enter the total number of initial FOIA 

requests responded to and denied in full based on one or more of the FOIA 

exemptions. (Do not report “Other Reason Responses” as denials here, unless a 

FOIA exemption is used also.)

C7.1.2.1.5. "Other Reason" Responses. Enter the total number of 

initial FOIA requests in which you were unable to provide all or part of the requested 

information based on an "Other Reason" response. C7.1.2.2.2., below, explains the 

nine possible "Other Reasons."

C7.1.2.1.6. Total Actions. Enter the total number of FOIA actions 

taken during the fiscal year. This number will be the sum of C7.1.2.1.2. through 

C7.1.2.1.5., above. Total Actions must be equal to or greater than the number of Total 

Requests Processed (C7.1.2.1.1., above).

C7.1.2.2. ITEM 2 Initial Request Exemptions and Other Reasons.

C7.1.2.2.1. Exemptions Invoked on Initial REQUEST Determinations. 

Enter the number of times an exemption was claimed for each request that was denied 

in full or in part. Since more than one exemption may be claimed when responding to 

a single request, this number will be equal to or greater than the sum of C7.1.2.1.3. and 

C7.1.2.1.4., above. The (b)(7) exemption is reported by subcategories (A) through 

(F): (A) INTERFERE WITH ENFORCEMENT; (B) FAIR TRIAL RIGHT; (C) 

INVASION OF PRIVACY; (D) PROTECT CONFIDENTIAL SOURCE; (E) DISCLOSE 

TECHNIQUES; and (F) ENDANGER LIFE OR SAFETY.

C7.1.2.2.2. "Other Reasons" Cited on Initial Determinations. Identify 

the "Other Reason" response cited when responding to a FOIA request and enter the 

number of times each was claimed.

DoD 5400.7-R, September 1998

81 CHAPTER 7
C7.1.2.2.2.1. No Records . Enter the number of times a 

reasonable search of files failed to identify records responsive to subject request.

C7.1.2.2.2.2. Referrals. Enter the number of times a request was 

referred to another DoD Component or Federal Agency for action.

C7.1.2.2.2.3. Request Withdrawn. Enter the number of times a 

request and/or appeal was withdrawn by a requester. [For appeals, report number in 

Item 4b on the report form (see Appendix AP5.).]

C7.1.2.2.2.4. Fee-Related Reason. Requester is unwilling to pay 

the fees associated with a request; the requester is past due in the payment of fees from 

a previous FOIA request; or the requester disagrees with a fee estimate.

C7.1.2.2.2.5. Records not Reasonably Described . Enter the 

number of times a FOIA request could not be acted upon since the record had not been 

described with sufficient particularity to enable the DoD Component to locate it by 

conducting a reasonable search.

C7.1.2.2.2.6. Not a Proper FOIA Request for Some Other Reason. 

Enter the number of times the requester has failed unreasonably to comply with 

procedural requirements, other than fee-related (described in C7.1.2.2.2.4., above), 

imposed by this Regulation or a DoD Component’s supplementing regulation.

C7.1.2.2.2.7. Not an Agency Record. Enter the number of times a 

requester was provided a response indicating the requested information was not a 

record within the meaning of the FOIA and this Regulation.

C7.1.2.2.2.8. Duplicate Request. Record number of duplicate 

requests closed for that reason (e.g., request for the same information by the same 

requester). This includes identical requests received via different means (e.g., 

electronic mail, facsimile, mail, courier) at the same or different times.

C7.1.2.2.2.9. Other (Specify). Any other reason a requester does 

not comply with published rules, other than those reasons outlined in C7.1.2.2.2.1.

through C7.1.2.2.2.8, above.

C7.1.2.2.2.10. Total. Enter the sum of C7.1.2.2.2.1. through 

C7.1.2.2.2.9., above, in the block provided on the form. This number will be equal to 

or greater than the number in C7.1.2.1.5. (above) since more than one reason may be 

DoD 5400.7-R, September 1998

82 CHAPTER 7
claimed for each "Other Reason" response.

C7.1.2.2.3 (b)(3) Statutes Invoked on Initial Determinations. Identify 

the number of times you have used a specific statute to support each (b)(3) 

exemption. List the statutes used to support each (b)(3) exemption; the number of 

instances in which the statute was cited; note whether or not the statute has been 

upheld in a court hearing; and provide a concise description of the material withheld in 

each individual case by the statute’s use. Ensure you cite the specific sections of the 

acts invoked. The total number of instances reported will be equal to or greater than 

the total number of (b)(3) exemptions listed in Item 2a on the report form.

C7.1.2.3. ITEM 3 Appeal Determinations. Please note that Privacy Act 

appeals which are also processed as FOIA appeals are reported here. They will also 

be reported as “Privacy Act appeals” on the Annual Privacy Act Report. See 

paragraph C1.5.13., Relationship Between the FOIA and the Privacy Act (PA).

C7.1.2.3.1. Total Appeal Responses. Enter the total number of FOIA 

appeals responded to (completed) during the fiscal year.

C7.1.2.3.2. Granted in Full. Enter the total number of FOIA appeals 

responded to and granted in full during the year.

C7.1.2.3.3. Denied in Part. Enter the total number of FOIA appeals 

responded to and denied in part based on one or more of the FOIA exemptions. (Do 

not report “Other Reason Responses” as a partial denial here, unless a FOIA 

exemption is used also.)

C7.1.2.3.4. Denied in Full. Enter the total number of FOIA appeals 

responded to and denied in full based on one or more of the FOIA exemptions. (Do 

not report “Other Reason Responses” as denials here, unless a FOIA exemption is 

used also.)

C7.1.2.3.5. "Other Reason" Responses. Enter the total number of 

FOIA appeals in which you were unable to provide the requested information based on 

an "Other Reason" response (as outlined in "Other Reasons" in C7.1.2.2.2., above).

C7.1.2.3.6. Total Actions. Enter the total number of FOIA appeal 

actions taken during the fiscal year. This number will be the sum of C7.1.2.3.2.

through C7.1.2.3.5., above, and should be equal to or greater than the number of Total 

Appeal Responses, C7.1.2.3.1., above.

DoD 5400.7-R, September 1998

83 CHAPTER 7
C7.1.2.4. ITEM 4 Appeal Exemptions and Other Reasons.

C7.1.2.4.1. Exemptions Invoked on Appeal Determinations. Enter the 

number of times an exemption was claimed for each appeal that was denied in full or 

in part. Since more than one exemption may be claimed when responding to a single 

request, this number will be equal to or greater than the sum of C7.1.2.3.3. and 

C7.1.2.3.4. Note that the (b)(7) exemption is reported by subcategory (A) through 

(F): (A) INTERFERE WITH ENFORCEMENT; (B) FAIR TRIAL RIGHT; (C) 

INVASION OF PRIVACY; (D) PROTECT CONFIDENTIAL SOURCE; (E) DISCLOSE 

TECHNIQUES; and (F) ENDANGER LIFE OR SAFETY.

C7.1.2.4.2. "Other Reasons" Cited on Appeal Determinations. Identify 

the "Other Reason" response cited when responding to a FOIA appeal and enter the 

number of times each was claimed. See C7.1.2.2.2., above for description of "Other 

Reasons." This number may be equal to or possibly greater than the number in 

C7.1.2.3.5., above, since more than one reason may be claimed for each "Other 

Reason" response.

C7.1.2.4.3. (b)(3) Statutes Invoked on Appeal Determinations. Identify 

the number of times a specific statute has been used to support each (b)(3) exemption 

identified in item 4a on the report form (Appendix AP5.) List the statutes used to 

support each (b)(3) exemption; the number of instances in which the statute was cited; 

note whether or not the statute has been upheld in a court hearing; and provide a 

concise description of the material withheld in each individual case by the statute’s 

use. Ensure citation to the specific sections of the statute invoked. The total number 

of instances reported will be equal to or greater than the total number of (b)(3) 

exemptions listed in Item 4a on the report form.

C7.1.2.5. ITEM 5 Number and Median Age of Initial Cases Pending:

C7.1.2.5.1. Total Initial Cases Pending:

C7.1.2.5.1.1. Beginning and Ending Report Period: Midnight, 

2400 hours, September 30 of the Preceding Year -OR- 0001 hours, October 1 is the 

beginning of the report period. Midnight, 2400 hours, is the close of the reporting 

period.

C7.1.2.5.2. Median Age of Initial Requests Pending: Report the 

median age in days (including holidays and weekends) of initial requests pending.

DoD 5400.7-R, September 1998

84 CHAPTER 7
C7.1.2.5.3. Examples of Median Calculation.

C7.1.2.5.3.1. If given five cases aged 10, 25, 35, 65, and 100 days 

from date of receipt as of the previous September 30th, the total requests pending is 

five (5). The median age (days) of open requests is the middle, not average value, in 

this set of numbers (10, 25, 35, 65, and 100), 35 (the middle value in the set).

C7.1.2.5.3.2. If given six pending cases, aged 10, 20, 30, 50, 120, 

and 200 days from date of receipt, as of the previous September 30th, the total requests 

pending is six (6). The median age (days) of open requests 40 days (the mean 

[average] of the two middle numbers in the set, in this case the average of middle 

values 30 and 50).

C7.1.2.5.4. Accuracy of Calculations. Components must ensure the 

accuracy of calculations. As backup, the raw data used to perform calculations 

should be recorded and preserved. This will enable recalculation of median [and 

mean values] as necessary. Components may require subordinate elements to 

forward raw data, as deemed necessary and appropriate.

C7.1.2.5.5. Average. If a Component believes that “average” (mean) 

processing time is a better measure of performance, then report “averages” (means) 

as well as median values (e.g., with data reflected and plainly labeled on plain bond as 

an attachment to the report). However, “average” (mean) values will not be included 

in the consolidated DoD report unless all Components report it.

C7.1.2.6. ITEM 6 Number of Initial Requests Received During the Fiscal 

Year. Enter the total number of initial FOIA requests received during the reporting 

period (fiscal year being reported).

C7.1.2.7. ITEM 7 Types of Requests Processed and Median Age. 

Information is reported for three types of initial requests completed during the 

reporting period: Simple; Complex; and Expedited Processing. The following items 

of information are reported for these requests:

C7.1.2.7.1. Total Number of Initial Requests. Enter the total number 

of initial requests processed [completed] during the reporting period (fiscal year) by 

type (Simple, Complex and Expedited Processing) in the appropriate row on the form.

C7.1.2.7.2. Median Age (Days). Enter the median number of days 

[calendar days including holidays and weekends] required to process each type of case 

DoD 5400.7-R, September 1998

85 CHAPTER 7
(Simple, Complex and Expedited Processing) during the period in the appropriate row 

on the form.

C7.1.2.7.3. Example. Given seven Initial Requests, Multitrack -- 

Simple completed during the fiscal year, aged 10, 25, 35, 65, 79, 90 and 400 days 

when completed. The total number of requests completed was seven (7). The 

median age (days) of completed requests is 65, the middle value in the set.

C7.1.2.8. ITEM 8 Fees Collected from the Public. Enter the total amount 

of fees collected from the public during the fiscal year. This includes search, review 

and reproduction costs only.

C7.1.2.9. ITEM 9 FOIA Program Costs.

C7.1.2.9.1. Number of Full-Time Staff: Enter the number of personnel 

your Agency had dedicated to working FOIA full time during the fiscal year. This will 

be expressed in work-years [manyears]. For example: “5.1, 3.2, 1.0, 6.5, et al.” A 

sample calculation follows:

Number

Employee Months Worked Work-Years Note

SMITH, Jane 6 .5 Hired full time at middle of fiscal year.

PUBLIC, John Q. 4 .34 Dedicated to full-time FOIA processing

last quarter of fiscal year.

BROWN, Tom 12 1.0 Worked FOIA full time all fiscal year.

TOTAL: 22 1.84 work-years 

C7.1.2.9.2. Number of Part-Time Staff: Enter the number of personnel 

your agency had dedicated to working FOIA part-time during the fiscal year. This 

will be expressed in work-years [manyears]. For example: “5.1, 3.2, 1.0, 6.5, et al.” 

A sample calculation follows:

DoD 5400.7-R, September 1998

86 CHAPTER 7
Number

Employee Hours 

Worked

Work-Years Note

PUBLIC, 

John Q.

200 .1 Amount of time devoted to part-time FOIA processing before 

becoming full-time FOIA processor in previous example.

WHITE, Sally 400 .2 Processed FOIA’s part-time while working as paralegal in General 

Counsel’s Office. 

PETERS, 

Ron

1,000 .5 Part-time employee dedicated to FOIA processing.

TOTAL: 1,600/2,000 hours (hours worked in a year) equals 0.8 work-years.

C7.1.2.9.3. Estimated Litigation Cost: Report your best estimate of 

litigation costs for the FY. Include all direct and indirect expenses associated with 

FOIA litigation in U.S. District Courts, U.S. Circuit Courts of Appeals, and the U.S. 

Supreme Court.

C7.1.2.9.4. Total Program Cost: Report the total cost of FOIA program 

operation within your Agency. Include your litigation costs in this total. While you 

do not have to report detailed cost information as in the past, you should be able to 

explain the technique by which you derived your Agency’s total cost figures if the need 

arises.

C7.1.2.9.4.1. Before the close of each fiscal year, the Directorate 

for Freedom of Information and Security Review (DFOISR) will dispatch the latest 

OSD Composite Rate Chart for military personnel to DoD Components. This 

information may be used in computing military personnel costs.

C7.1.2.9.4.2. DoD Components should compute their civilian 

personnel costs using rates from local Office of Personnel Management (OPM) Salary 

Tables and shall add 16% for benefits.

C7.1.2.9.4.3. Data captured on DD Form 2086, Record of Freedom 

of Information (FOI) Processing Cost and DD Form 2086-1, Record of Freedom of 

Information (FOI) Processing Cost for Technical Data, shall be summarized and used 

in computing total costs.

C7.1.2.9.4.4. An overhead rate of 25% shall be added to all 

calculated costs for supervision, space, and administrative support.

C7.1.2.10. ITEM 10 AUTHENTICATION: The official that approves the 

Agency’s report submission to DoD will sign and date; enter typed name and duty title; 

DoD 5400.7-R, September 1998

87 CHAPTER 7
and provide the both the Agency’s name and phone number for questions about the 

report.

C7.1.3. Electronic Publication. The consolidated DoD Annual FOIA Program 

Report will be made available to the public in either paper or electronic format.

DoD 5400.7-R, September 1998

88 CHAPTER 7
C8. CHAPTER 8

EDUCATION AND TRAINING

C8.1. RESPONSIBILITY AND PURPOSE

C8.1.1. Responsibility. The Head of each DoD Component is responsible for 

the establishment of educational and training programs on the provisions and 

requirements of this Regulation. The educational programs should be targeted toward 

all members of the DoD Component, developing a general understanding and 

appreciation of the DoD FOIA Program; whereas, the training programs should be 

focused toward those personnel who are involved in the day-to-day processing of 

FOIA requests, and should provide a thorough understanding of the procedures 

outlined in this Regulation.

C8.1.2. Purpose. The purpose of the educational and training programs is to 

promote a positive attitude among DoD personnel and raise the level of understanding 

and appreciation of the DoD FOIA Program, thereby improving the interaction with 

members of the public and improving the public trust in the DoD.

C8.1.3. Scope and Principles. Each Component shall design its FOIA 

educational and training programs to fit the particular requirements of personnel 

dependent upon their degree of involvement in the implementation of this Regulation. 

The program should be designed to accomplish the following objectives:

C8.1.3.1. Familiarize personnel with the requirements of the FOIA and its 

implementation by this Regulation.

C8.1.3.2. Instruct personnel, who act in FOIA matters, concerning the 

provisions of this Regulation, advising them of the legal hazards involved and the strict 

prohibition against arbitrary and capricious withholding of information.

C8.1.3.3. Provide for the procedural and legal guidance and instruction, as 

may be required, in the discharge of the responsibilities of initial denial and appellate 

authorities.

C8.1.3.4. Advise personnel of the penalties for noncompliance with the 

FOIA.

C8.1.4. Implementation. To ensure uniformity of interpretation, all major 

DoD 5400.7-R, September 1998

89 CHAPTER 8
educational and training programs concerning the implementation of this Regulation 

should be coordinated with the Director, Freedom of Information and Security Review.

C8.1.5. Uniformity of Legal Interpretation. In accordance with DoD Directive 

5400.7 (reference (b)), the DoD Office of the General Counsel shall ensure uniformity 

in the legal position and interpretation of the DoD FOIA Program.

DoD 5400.7-R, September 1998

90 CHAPTER 8
AP1. APPENDIX 1

COMBATANT COMMANDS - PROCESSING PROCEDURES FOR FOIA 

APPEALS

AP1.1. General.

AP1.1.1. In accordance with DoD Directive 5400.7 (reference (b)) and this 

Regulation, the Combatant Commands are placed under the jurisdiction of the Office 

of the Secretary of Defense, instead of the administering Military Department, only for 

the purpose of administering the Freedom of Information Act (FOIA) Program. This 

policy represents an exception to the policies in DoD Directive 5100.3 (reference (e)).

AP1.1.2. The policy change in AP1.1.1., above, authorizes and requires the 

Combatant Commands to process FOIA requests in accordance with reference (b) and 

DoD Instruction 5400.10 (reference (am)) and to forward directly to the Director, 

Freedom of Information and Security Review, all correspondence associated with the 

appeal of an initial denial for information under the provisions of the FOIA.

AP1.2. Responsibilities of Commands.

Combatant Commanders in Chief shall:

AP1.2.1. Designate the officials authorized to deny initial FOIA requests for 

records.

AP1.2.2. Designate an office as the point-of-contact for FOIA matters.

AP1.2.3. Refer FOIA cases to the Director, Freedom of Information and Security 

Review, for review and evaluation when the issues raised are of unusual significance, 

precedent setting, or otherwise require special attention or guidance.

AP1.2.4. Consult with other OSD and DoD Components that may have a 

significant interest in the requested record prior to a final determination. Coordination 

with Agencies outside of the Department of Defense, if required, is authorized.

AP1.2.5. Coordinate proposed denials of records with the appropriate Combatant 

Command's Office of the Staff Judge Advocate.

AP1.2.6. Answer any request for a record within 20 working days of receipt. 

The requester shall be notified that his request has been granted or denied. In unusual 

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91 APPENDIX 1
circumstances, such notification may state that additional time, not to exceed 10 

working days, is required to make a determination.

AP1.2.7. Provide to the Director, Freedom of Information and Security Review 

when the request for a record is denied in whole or in part, a copy of the response to 

the requester or the requester’s representative, and any internal memoranda that 

provide background information or rationale for the denial.

AP1.2.8. State in the response that the decision to deny the release of the 

requested information, in whole or in part, may be appealed to the Director, 

Administration and Management and Washington Headquarters Services, Directorate 

for Freedom of Information and Security Review, Room 2C757, 1155 Defense 

Pentagon, Washington, DC 20301-1155.

AP1.2.9. Upon request, submit to Director, Administration and Management and 

Washington Headquarters Services a copy of the records that were denied. The 

Director, Administration and Management and Washington Headquarters Services 

shall make such requests when adjudicating appeals.

AP1.3. Fees for FOIA Requests.

The fees charged for requested records shall be in accordance with Chapter C6., above.

AP1.4. Communications.

Excellent communication capabilities currently exist between the Director, Freedom of 

Information and Security Review and the Freedom of Information Act Offices of the 

Combatant Commands. This communication capability shall be used for FOIA cases 

that are time sensitive.

AP1.5. Information Requirements.

AP1.5.1. The Combatant Commands shall submit to the Director, Freedom of 

Information and Security Review, an annual report. The instructions for the report are 

outlined in Chapter C7., above.

AP1.5.2. The annual reporting requirement contained in this regulation shall be 

submitted in duplicate to the Director, Freedom of Information and Security Review 

not later than each November 30. This reporting requirement has been assigned 

DoD 5400.7-R, September 1998

92 APPENDIX 1
Report Control Symbol DD-DA&M(A)1365 in accordance with DoD 8910.1-M 

(reference (an)).

DoD 5400.7-R, September 1998

93 APPENDIX 1
AP2. APPENDIX 2

ADDRESSING FOIA REQUESTS

AP2.1. General.

AP2.1.1. The Department of Defense includes the Office of the Secretary of 

Defense, the Chairman of the Joint Chiefs of Staff, the Military Departments, the 

Combatant Commands, the Inspector General, the Defense Agencies, and the DoD 

Field Activities.

AP2.1.2. The Department of Defense does not have a central repository for DoD 

records. FOIA requests, therefore, should be addressed to the DoD Component that 

has custody of the record desired. In answering inquiries regarding FOIA requests, 

DoD personnel shall assist requesters in determining the correct DoD Component to 

address their requests. If there is uncertainty as to the ownership of the record 

desired, the requester shall be referred to the DoD Component that is most likely to 

have the record.

AP2.2. Listing of DoD Component Addresses for FOIA Requests.

AP2.2.1. Office of the Secretary of Defense and the Chairman of the Joint Chiefs 

of Staff. Send all requests for records from the below listed offices to: Directorate 

for Freedom of Information and Security Review, Room 2C757, 1155 Defense 

Pentagon, Washington, DC 20301-1155.

 

Executive Secretariat 

Under Secretary of Defense (Policy) 

 Assistant Secretary of Defense (International Security Affairs) 

 Assistant Secretary of Defense (Special Operations & Low Intensity Conflict) 

 Assistant Secretary of Defense (Strategy & Threat Reduction) 

 Deputy to the Under Secretary of Defense (Policy Support) 

 Director of Net Assessment 

 Defense Security Assistance Agency 

 Defense Technology Security Administration 

Under Secretary of Defense (Acquisition & Technology) 

 Deputy Under Secretary of Defense (Logistics) 

 Deputy Under Secretary of Defense (Advanced Technology) 

 Deputy Under Secretary of Defense (Acquisition Reform) 

 Deputy Under Secretary of Defense (Environmental Security) 

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94 APPENDIX 2
 Deputy Under Secretary of Defense (International & Commercial Programs) 

 Deputy Under Secretary of Defense (Industrial Affairs & Installations) 

 Assistant to the Secretary of Defense (Nuclear, Chemical & Biological Defense 

Programs) 

 Director, Defense Research & Engineering 

 Director, Small & Disadvantaged Business Utilization 

 Director, Defense Procurement 

 Director, Test Systems Engineering & Evaluation 

 Director, Strategic & Tactical Systems 

 DoD Radiation Experiments Command Center 

 On-Site Inspection Agency 

Under Secretary of Defense (Comptroller) 

 Director, Program Analysis and Evaluation 

Under Secretary of Defense (Personnel & Readiness) 

Assistant Secretary of Defense (Health Affairs) 

Assistant Secretary of Defense (Legislative Affairs) 

Assistant Secretary of Defense (Public Affairs) 

Assistant Secretary of Defense (Command, Control, Communications & Intelligence) 

Assistant Secretary of Defense (Reserve Affairs) 

General Counsel, Department of Defense 

Director, Operational Test and Evaluation 

Assistant to the Secretary of Defense (Intelligence Oversight) 

Director, Administration and Management 

Special Assistant for Gulf War Illness

Defense Advanced Research Projects Agency 

Ballistic Missile Defense Organization 

Defense Systems Management College 

National Defense University 

Armed Forces Staff College 

Department of Defense Dependents Schools 

Uniformed Services University of the Health Sciences 

Armed Forces Radiology Research Institute 

Washington Headquarters Services

AP2.2.2. Department of the Army. Army records may be requested from those 

Army officials who are listed in 32 CFR 518 (reference (ao)). Send requests to the 

Department of the Army, Freedom of Information and Privacy Acts Office, 

TAPC-PDR-PF, 7798 Cissna Road, Suite 205, Springfield, VA 22150-3166, for 

records of the Headquarters, U.S. Army, or if there is uncertainty as to which Army 

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95 APPENDIX 2
activity may have the records.

AP2.2.3. Department of the Navy. Navy and Marine Corps records may be 

requested from any Navy or Marine Corps activity by addressing a letter to the 

Commanding Officer and clearly indicating that it is a FOIA request. Send requests to 

Chief of Naval Operations, N09B30, 2000 Navy Pentagon, Washington, DC 

20350-2000, for records of the Headquarters, Department of the Navy, and to 

Commandant of the Marine Corps, (ARAD), Headquarters U.S. Marine Corps, 2 Navy 

Annex, Washington, DC 20380-1775, for records of the U.S. Marine Corps, or if there 

is uncertainty as to which Navy or Marine activities may have the records.

AP2.2.4. Department of the Air Force. Air Force records may be requested 

from the Commander of any Air Force installation, major command, or field operating 

agency (ATTN: FOIA Office). For Air Force records of Headquarters, United 

States Air Force, or if there is uncertainty as to which Air Force activity may have the 

records, send requests to Department of the Air Force, 11CS/SCSR(FOIA), 1000 Air 

Force Pentagon, Washington, DC 20330-1000.

AP2.2.5. Defense Contract Audit Agency (DCAA). DCAA records may be 

requested from any of its regional offices or from its Headquarters. Requesters should 

send FOIA requests to the Defense Contract Audit Agency, ATTN: CMR, 8725 John 

J. Kingman Road, Suite 2135, Fort Belvoir, VA 22060-6219, for records of its 

headquarters or if there is uncertainty as to which DCAA region may have the records 

sought.

AP2.2.6. Defense Information Systems Agency (DISA). DISA records may be 

requested from any DISA field activity or from its Headquarters. Requesters should 

send FOIA requests to Defense Information Systems Agency, Regulatory/General 

Counsel, 701 South Courthouse Road, Arlington, VA 22204-2199.

AP2.2.7. Defense Intelligence Agency (DIA). FOIA requests for DIA records 

may be addressed to Defense Intelligence Agency, ATTN: SVI-1, Washington, DC 

20340-5100.

AP2.2.8. Defense Security Service (DSS). All FOIA requests for DSS records 

should be sent to the Defense Security Service, Office of FOIA and Privacy V0020, 

1340 Braddock Place, Alexandria, VA 22314-1651.

AP2.2.9. Defense Logistics Agency (DLA). DLA records may be requested 

from its headquarters or from any of its field activities. Requesters should send FOIA 

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96 APPENDIX 2
requests to Defense Logistics Agency, ATTN: CAAR, 8725 John J. Kingman Road, 

Suite 2533, Ft. Belvoir, VA 22060-6221.

AP2.2.10. National Imagery and Mapping Agency (NIMA). FOIA requests for 

NIMA records may be sent to the National Imagery and Mapping Agency, General 

Counsels Office, GCM, Mail Stop D-10, 4600 Sangamore Road, Bethesda, MD 

20816-5003.

AP2.2.11. Defense Special Weapons Agency (DSWA). FOIA requests for 

DSWA records may be sent to the Defense Special Weapons Agency, Public Affairs 

Office, Room 113, 6801 Telegraph Road, Alexandria, VA 22310-3398.

AP2.2.12. National Security Agency (NSA). FOIA requests for NSA records 

may be sent to the National Security Agency/Central Security Service, FOIA/PA 

Services, N5P5, 9800 Savage Road, Suite 6248, Fort George G. Meade, MD 

20755-6248.

AP2.2.13. Inspector General of the Department of Defense (IG, DoD). FOIA 

requests for IG, DoD records may be sent to the Inspector General of the Department 

of Defense, Chief FOIA/PA Office, 400 Army Navy Drive, Room 405, Arlington, VA 

22202-2884.

AP2.2.14. Defense Finance and Accounting Service (DFAS). DFAS records 

may be requested from any of its regional offices or from its Headquarters. 

Requesters should send FOIA requests to Defense Finance and Accounting Service, 

Directorate for External Services, Crystal Mall 3, Room 416, Arlington, VA 

22240-5291, for records of its headquarters, or if there is uncertainty as to which 

DFAS region may have the records sought.

AP2.2.15. National Reconnaissance Office (NRO). FOIA requests for NRO 

records may be sent to the National Reconnaissance Office, Information Access and 

Release Center, ATTN: FOIA Officer, 14675 Lee Road, Chantilly, VA 20151-1715.

AP2.3. Other Addresses.

Although the below organizations are OSD and Chairman of the Joint Chiefs of Staff 

Components for the purposes of the FOIA, requests may be sent directly to the 

addresses indicated.

AP2.3.1. DoD TRICARE Management Activity. Director, TRICARE 

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97 APPENDIX 2
Management Activity, 16401 East Centretech Parkway, Aurora, CO 80011-9043.

AP2.3.2. Chairman, Armed Services Board of Contract Appeals (ASBCA).

Chairman, Armed Services Board of Contract Appeals, Skyline Six Rm 703, 5109 

Leesburg Pike, Falls Church, VA 22041-3208.

AP2.3.3. U.S. Central Command. Commander-in-Chief, U.S. Central 

Command, CCJ1 AGR, MacDill Air Force Base, FL 33608-7001.

AP2.3.4. U.S. European Command. Commander-in-Chief, Headquarters, U.S. 

European Command/ECJ1-AA(FOIA) Unit 30400 Box 1000, APO AE 09128-4209.

AP2.3.5. U.S. Southern Command. Commander-in-Chief, U.S. Southern 

Command, SCJ1-A, 3511 NW 91st Avenue, Miami, FL 33172-1217.

AP2.3.6. U.S. Pacific Command. Commander-in-Chief, U.S. Pacific Command, 

USPACOM FOIA Coordinator (J042), Administrative Support Division, Joint 

Secretariat, Box 28, Camp H. M. Smith, HI 96861-5025.

AP2.3.7. U.S. Special Operations Command. Commander-in-Chief, U.S. 

Special Operations Command, Chief, Command Information Management Branch, 

ATTN: SOJ6-SI, 7701 Tampa Point Blvd., MacDill Air Force Base, FL 33621-5323.

AP2.3.8. U.S. Atlantic Command. Commander-in-Chief, U.S. Atlantic 

Command, Code J02P, Norfolk, VA 23511-5100.

AP2.3.9. U.S. Space Command. Commander-in-Chief, U.S. Space Command, 

Command Records Manager/FOIA/PA Officer, 150 Vandenberg Street, Suite 1105, 

Peterson Air Force Base, CO 80914-5400.

AP2.3.10. U.S. Transportation Command. Commander-in-Chief, U.S. 

Transportation Command, ATTN: TCJ1-1F, 508 Scott Drive, Scott Air Force Base, 

IL 62225-5357.

AP2.3.11. U.S. Strategic Command. Commander-in-Chief, U.S. Strategic 

Command, ATTN: J0734, 901 SAC Blvd., Suite 1E5, Offutt Air Force Base, NE 

68113-6073.

AP2.4. National Guard Bureau.

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98 APPENDIX 2
FOIA requests for National Guard Bureau records may be sent to the Chief, National 

Guard Bureau, ATTN: NGB-ADM, Room 2C363, 2500 Army Pentagon, 

Washington, DC 20310-2500.

AP2.5. Miscellaneous.

If there is uncertainty as to which DoD Component may have the DoD record sought, 

the requester may address a Freedom of Information request to the Directorate for 

Freedom of Informatiion and Security Review, Room 2C757, 1155 Defense Pentagon, 

Washington, DC 20301-1155.

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99 APPENDIX 2
AP3. APPENDIX 3

DD FORM 2086, "Record of Freedom of Information (FOI) Processing Cost"

DoD 5400.7-R, September 1998

100 APPENDIX 3
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101 APPENDIX 3
AP4. APPENDIX 4

DD FORM 2086-1, "Record of Freedom of Information (FOI) Processing Cost for 

Technical Data"

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102 APPENDIX 4
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103 APPENDIX 4
AP5. APPENDIX 5

DD FORM 2564, "Annual Report Freedom of Information Act"

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104 APPENDIX 5
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105 APPENDIX 5
AP6. APPENDIX 6

DOD FREEDOM OF INFORMATION ACT PROGRAM COMPONENTS

Office of the Secretary of Defense/Chairman of the Joint Chiefs of 

Staff/Combatant Commands, Defense Agencies, and the DoD Field Activities

Department of the Army

Department of the Navy

Department of the Air Force

Defense Information Systems Agency

Defense Contract Audit Agency

Defense Intelligence Agency

Defense Security Service

Defense Logistics Agency

National Imagery and Mapping Agency

Defense Special Weapons Agency

National Security Agency

Office of the Inspector General, Department of Defense

Defense Finance and Accounting Service

National Reconnaissance Office

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106 APPENDIX 6