Army Regulation 25–55

Information Management: Records

Management

The Department

of the Army

Freedom of

Information Act

Program

Headquarters

Department of the Army

Washington, DC

1 November 1997

UNCLASSIFIED
SUMMARY of CHANGE

AR 25–55

The Department of the Army Freedom of Information Act Program

This revision--

o Incorporates the Interim Change No. I01, which expires 30 June 1996 into the

baseline regulation dated 10 January 1990.

Change 1 adds a reproducible copy of DA Form 4948-R.
Headquarters

Department of the Army

Washington, DC

1 November 1997

Information Management: Records Management

The Department of the Army Freedom of Information Act Program

*Army Regulation 25–55

Effective 1 December 1997

H i s t o r y . T h i s r e v i s i o n w a s o r i g i n a l l y

p u b l i s h e d o n 1 4 A p r i l 1 9 9 7 . I t w a s

authenticated by Togo D. West, Jr., Secretary

of the Army. This electronic edition publishes

the basic April 1997 edition and incorporates

Change 1, published on 1 November 1997. It

was also authenticated by Togo D. West, Jr.,

Secretary of the Army.

Summary. This regulation updates the Freedom of Information Act Program in accorda n c e w i t h t h e F r e e d o m o f I n f o r m a t i o n

Reform Act of 1986. The Reform Act req u i r e d a g e n c y p r o m u l g a t i o n o f r e g u l a t i o n s

specifying a uniform schedule of fees and

guidelines for determining waiver or reduction of such fees. The regulation conforms

with the Office of Management and Budget’s

(OMB’s) Uniform Freedom of Information

Act Fee Schedule and Guidelines and is published pursuant to the Freedom of Information Reform Act of 1986 (PL 99-570, 5 USC

552(B)); section 954 of the National Defense

Authorization Act for fiscal year 1987 (PL

99661, 10 USC 2328), as amended by the

Defense Technical Corrections Act of 1987

(PL 100-26). It includes all of DOD 5400.7-

R dated July 1989 except for appendixes E

and F.

Applicability. This regulation applies to the

Active Army, the Army National Guard, the

U . S . A r m y R e s e r v e , a n d o r g a n i z a t i o n s f o r

which the Department of the Army is the

Executive Agent.

P r o p o n e n t a n d e x c e p t i o n a u t h o r i t y .

The proponent of this regulation is the Director of Information Systems for Command,

C o n t r o l , C o m m u n i c a t i o n s , a n d C o m p u t e r s

(DISC4). The DISC4 has the authority to approve exceptions to this regulation that are

consistent with controlling law and regulat i o n . T h e p r o p o n e n t m a y d e l e g a t e t h e a p -

p r o v a l a u t h o r i t y , i n w r i t i n g , t o a d i v i s i o n

c h i e f w i t h i n t h e p r o p o n e n t a g e n c y i n t h e

grade of colonel or the civilian equivalent.

A r m ym a n a g e m e n tc o n t r o lp r o c e s s .

This regulation contains management control

provisions in accordance with AR 11-2 and

contains checklists for conducting management control reviews.

Supplementation. Supplementation of this

r e g u l a t i o n a n d e s t a b l i s h m e n t o f c o m m a n d

and local forms are prohibited without prior

a p p r o v a l f r o m H Q D A ( S A I S - I A - R ) , 1 0 7

A R M Y P E N T A G O N , W A S H D C 2 0 3 1 0 -

0107.

Interim changes. Interim changes to this

regulation are not official unless they are authenticated by the Administrative Assistant to

the Seretary of the Army. Users will destroy

interim changes on their expiration dates unless sooner superseded or rescinded.

Suggested Improvements. Users are invited to send comments and suggested imp r o v e m e n t s o n D A F o r m 2 0 2 8

(Recommended Changes to Publications and

Blank Forms) or in DA Form 2028 format, if

they are transmitted electronically, directly to

HQDA (SAIS-IA-R), 107 ARMY PENTAGON, WASH DC 20310-0107.

Distribution. Distribution of this regulation

is made in accordance with initial distribution

n u m b e r ( I D N ) 0 9 3 2 7 6 , i n t e n d e d f o r c o m -

mand levels B,C,D,and E for Active Army,

Army National Guard, and U.S. Army Reserve.

Contents (Listed by paragraph and page number)

Chapter I

General Provisions, page 1

Section 1

References, page 1

References • 1–100, page 1

References (Army) • 1–100.1, page 1

Section 2

Purpose and Applicability, page 2

Purpose • 1–200, page 2

Applicability • 1–201, page 2

Section 3

DoD Public Information, page 2

Public Information • 1–300, page 2

Control System • 1–301, page 2

Section 4

Definitions, page 2

Definitions • 1–400, page 2

FOIA Request • 1–401, page 3

Agency Record • 1–402, page 3

DoD Component • 1–403, page 3

Initial Denial Authority (IDA) • 1–404, page 3

Appellate Authority • 1–405, page 3

Administrative Appeal • 1–406, page 3

Public Interest • 1–407, page 3

Electronic Data • 1–408, page 3

Law Enforcement Investigation • 1–409, page 3

Section 5

Policy, page 3

Compliance with the FOIA • 1–500, page 3

Openness with the Public • 1–501, page 3

*This regulation supersedes AR 25-55, 10 January 1990

AR 25–55 • 1 November 1997 i

UNCLASSIFIED
Contents—Continued

Avoidance of Procedural Obstacles • 1–502, page 4

Prompt Action on Requests • 1–503, page 4

Use of Exemptions • 1–504, page 4

Public Domain • 1–505, page 4

Creating a Record • 1–506, page 4

Description of Requested Record • 1–507, page 4

Referrals • 1–508, page 5

Authentication • 1–509, page 6

Unified and Specified Commands • 1–510, page 6

Records Management • 1–511, page 6

Relationship Between the FOIA and the Privacy Act (PA) • 1–512,

page 6

Chapter II

Public Reading Rooms, page 6

Section 1

Requirements, page 6

Reading Room • 2–100, page 6

Material Availability • 2–101, page 6

Section 2

Indexes, page 6

“(a)(2)” Materials • 2–200, page 6

Other Materials • 2–201, page 7

Chapter III

Exemptions, page 7

Section 1

General Provisions, page 7

General • 3–100, page 7

Jeopardy of Government Interest • 3–101, page 7

Section 2

Exemptions, page 7

FOIA Exemptions • 3–200, page 7

Chapter IV

For Official Use Only, page 10

Section 1

General Provisions, page 10

General • 4–100, page 10

Prior FOUO Application • 4–101, page 10

Historical Papers • 4–102, page 10

Time to Mark Records • 4–103, page 10

Distribution Statement • 4–104, page 10

Section 2

Markings, page 10

Location of Markings • 4–200, page 10

Section 3

Dissemination and Transmission, page 10

Release and Transmission Procedures • 4–300, page 10

Transporting FOUO Information • 4–301, page 11

Electrically Transmitted Messages • 4–302, page 11

Telephone usage • 4–303, page 11

Section 4

Safeguarding FOUO Information, page 11

During Duty Hours • 4–400, page 11

During Nonduty Hours • 4–401, page 11

Section 5

Termination, Disposal and Unauthorized Disclosures, page 11

Termination • 4–500, page 11

Disposal • 4–501, page 11

Unauthorized Disclosure • 4–502, page 11

Chapter V

Release and Processing Procedures, page 11

Section 1

General Provisions, page 11

Public Information • 5–100, page 11

Requests from Private Parties • 5–101, page 12

Requests from Government Officials • 5–102, page 14

Privileged Release to Officials • 5–103, page 14

Required coordination • 5–104, page 14

Section 2

Initial Determinations, page 14

Initial Denial Authority • 5–200, page 14

Reasons for Not Releasing a Record • 5–201, page 16

Denial Tests • 5–202, page 16

Reasonably Segregable Portions • 5–203, page 16

Response to Requester • 5–204, page 16

Extension of Time • 5–205, page 17

Misdirected Requests • 5–206, page 17

Records of Non-U.S. Government Source • 5–207, page 17

File of Initial Denials • 5–208, page 17

Special Mail Services • 5–209, page 17

Receipt Accounts • 5–210, page 17

Section 3

Appeals, page 17

General • 5–300, page 17

Time of Receipt • 5–301, page 18

Time Limits • 5–302, page 18

Delay in Responding to an Appeal • 5–303, page 18

Response to the Requester • 5–304, page 18

Consultation • 5–305, page 18

Section 4

Judicial Actions, page 18

General • 5–400, page 18

Jurisdiction • 5–401, page 18

Burden of Proof • 5–402, page 18

Actions by the Court • 5–403, page 19

Non-United States Government Source Information • 5–404,

page 19

Litigation Status Sheet • 5–405, page 19

Chapter VI

Fee Schedule, page 19

Section 1

General Provisions, page 19

Authorities • 6–100, page 19

Application • 6–101, page 19

Fee Restrictions • 6–102, page 20

Fee Waivers • 6–103, page 20

Fee Assessment • 6–104, page 21

Aggregating Requests • 6–105, page 22

Effect of the Debt Collection Act of 1982 (P.L. 97-365) • 6–106,

page 23

Computation of Fees • 6–107, page 23

Section 2

Collection of Fees and Fee Rates, page 23

Collection of Fees • 6–200, page 23

Search Time • 6–201, page 23

Duplication • 6–202, page 23

Review Time (in the case of commercial requesters) • 6–203,

page 23

ii AR 25–55 • 1 November 1997
Contents—Continued

Audiovisual Documentary Materials • 6–204, page 23

Other Records • 6–205, page 23

Costs for Special Services • 6–206, page 23

Section 3

Collection of Fees and Fee Rates for Techical Data, page 23

Fees for Technical Data • 6–300, page 23

Chapter VII

Reports, page 24

Section 1

Reports Control, page 24

General • 7–100, page 24

Reporting Time • 7–200, page 24

Annual Report Content • 7–201, page 25

Chapter VIII

Education and Training, page 30

Section 1

Responsibility and Purpose, page 30

Responsibility • 8–100, page 30

Purpose • 8–101, page 30

Scope and Principles • 8–102, page 30

Implementation • 8–103, page 30

Uniformity of Legal Interpretation • 8–104, page 30

Appendixes

A. Unified Commands—Processing Procedures for FOI Appeals,

page 31

B. Addressing FOIA Requests, page 31

C. Litigation Status Sheet, page 33

D. Other Reason Categories, page 34

E. DD Form 2086, page 34

F. DD Form 2086-1, page 36

G. DOD FREEDOM OF INFORMATION ACT PROGRAM

COMPONENTS, page 38

H. Management Control Evaluation Checklist, page 38

Glossary

Index

AR 25–55 • 1 November 1997 iii
RESERVED

iv AR 25–55 • 1 November 1997
Chapter I

General Provisions

Section 1

References

1–100. References

a. Title 5, United States Code, Section 552.

b. DoD Directive 5400.7, ‘DoD Freedom of Information Act

Program,’ May 13, 1988.

c. Public Law 86-36, ‘National Security Information Exemption.’

d. DoD Directive 5400.11, ‘Department of Defense Privacy Program,’ June 9, 1982.

e. DoD 5400.11-R, ‘Department of Defense Privacy Program,’

August 1983, authorized by DoD Directive 5400.11, June 9, 1982.

f. DoD Directive 5100.3, ‘Support of the Headquarters of Unified, Specified and Subordinate Commands,’ November 1, 1988.

g. Title 5, United States Code, Section 551, ‘Administrative Procedures Act.’

h. DoD 5200.1-R, ‘DoD Information Security Program Regulation,’ January 1987, authorized by DoD Directive 5200.1, June 7,

1982.

i . T i t l e 3 5 , U n i t e d S t a t e s C o d e , S e c t i o n 1 8 1 - 1 8 8 , ‘ P a t e n t

Secrecy.’

j. Title 42, United States Code, Section 2162,‘Restricted Data

and Formerly Restricted Data.’

k . T i t l e 1 8 , U n i t e d S t a t e s C o d e , S e c t i o n 7 9 8 , ‘ C o m m u n i c a t i o n

Intelligence.’

l. Title 18, United States Code, Section 3500, ‘The Jencks Act.’

m. DoD Directive 5230.24, ‘Distribution Statements on Technical

Documents,’ March 18, 1987.

n. DoD Directive 5400.4, ‘Provision of Information to Congress,’

January 30, 1978.

o. DoD Directive 7650.1, ‘General Accounting Office Access to

Records,’ August 26, 1982.

p. ACP-121 (United States Supplement 1).

q . T i t l e 4 4 , U n i t e d S t a t e s C o d e , C h a p t e r 3 3 , ‘ D i s p o s a l o f

Records.’

r. DoD Instruction 7230.7, ‘User Charges,’ January 29, 1985.

s . D o D D i r e c t i v e 5 0 0 0 . 1 1 , ‘ D a t a E l e m e n t s a n d D a t a C o d e s

Standardization Program,’ December 7, 1964.

t. DoD Directive 7750.5, ‘Management and Control of Information Requirements,’ August 7, 1986.

u. DoD 7220.9-M, ‘Department of Defense Accounting Manual,’

October 1983, authorized by DoD Instruction 7220.9, October 22,

1981.

v. DoD Directive 5230.25, ‘Withholding of Unclassified Technical Data From Public Disclosure,’ November 6, 1984.

w. DoD Directive 5230.9, ‘Clearance of DoD Information for

Public Release,’ April 2, 1982.

x. DoD Directive 7650.2, ‘General Accounting Office Audits and

Reports,’ July 19, 1985.

y. Title 10, United States Code, Section 2328, ‘Release of Technical Data under Freedom of Information Act: Recovery of Costs.’

z. Title 10, United States Code, Section 130, ‘Authority to Withhold from Public Disclosure Certain Technical Data.’

aa. Title 10, United States Code, Section 2320-2311, ‘Rights in

Technical Data.’

ab. Title 10, United States Code, Section 1102, ‘Confidentiality

o f M e d i c a l Q u a l i t y A s s u r a n c e R e c o r d s : Q u a l i f i e d I m m u n i t y f o r

Participants.’

ac. DoD Federal Acquisition Regulation Supplement (DFARS),

Subpart 227.4, ‘Technical Data, Other Data, Computer Software and

Copyrights,’August 22, 1988.

ad. Executive Order 12600, ‘Predisclosure Procedures for Confidential Commercial Information,’ June 23, 1987.

ae. Title 31, United States Code, Section 3717, ‘Interest and

Penalty on Claims.’

af. Title 5, United States Code, Section 552a, as amended, ‘The

Privacy Act of 1974.’

ag. DoD 5000.12-M, ‘DoD Manual for Standard Data Elements,’

October 1986, authorized by DoD Instruction 5000.12, July 1989.

a h . D o D I n s t r u c t i o n 5 4 0 0 . 1 0 , ‘ O S D I m p l e m e n t a t i o n o f D o D

Freedom of Information Act Program,’ January 24, 1991.

ai. Title 32, Code of Federal Regulations, Part 518, ‘The Army

Freedom of Information Act Program.’

aj. Title 10, United States Code, Section 128, ‘Physical Protection of Special Nuclear Material Limitation on Dissemination of

Unclassified Information.’

ak. Section 822 of the National Defense Authorization Act for

FY 90 and 91 (P.L. 101-189, November 19, 1989: 103 STAT. 1382,

1503).

1–100.1. References (Army)

a. Required publications.

(1) AR 1-20 (Legislative Liaison) (cited in paras 4-300 and 5-

103).

(2) AR 20-1 (Inspector General Activities and Procedures) (cited

in paras 1-201, 5-200, and app B).

( 3 ) A R 2 5 - 1 ( T h e A r m y I n f o r m a t i o n R e s o u r c e s M a n a g e m e n t

Program) (cited in paras 1-200 and 1-511).

(4) AR 25-9 (Army Data Management and Standards Program)

(cited in para 7-200).

(5) AR 25-11 (Record Communications and the Privacy Communications System) (cited in para 4-302).

( 6 ) A R 2 5 - 4 0 0 - 2 ( T h e M o d e r n A r m y R e c o r d k e e p i n g S y s t e m

(MARKS)) (cited in paras 1-511, 4-501, 5-208, and app B).

(7) AR 27-20 (Claims) (cited in paras 1-201 and 5-101).

(8) AR 36-2 (Audit Reports and Follow-up) (cited in para 1-201).

(9) AR 40-66 (Medical Record Administration) (cited in para 1-

201).

(10) AR 40-400 (Patient Administration) (cited in para 1-201).

(11) AR 195-2 (Criminal Investigation Activities) (cited in paras

1-201 and 5-103).

(12) AR 340-21 (The Army Privacy Program) (cited in paras 1-

503, 3-200, 5-101, and 5-103).

(13) AR 360-5 (Army Public Affairs, Public Information) (cited

in paras 1-201 and 5-101).

(14) AR 380-5 (Department of the Army Information Security

Program) (cited in paras 1-201, 3-200, 5-100, and 5-103).

(15) AR 530-1 (Operations Security (OPSEC)) (cited in paras 1-

501 and 5-100).

(16) AR 600-85 (Alcohol and Drug Abuse Prevention and Control Program) (cited in paras 1-201 and 5-101).

b. Related publications. A related publication is merely a source

of additional information. The user does not have to read it to

understand this regulation.

(1) AR 5-3 (Installation Management and Organization).

(2) AR 10-5 (Organization and Functions, Headquarters, Department of the Army).

( 3 ) A R 2 5 - 3 ( A r m y L i f e C y c l e M a n a g e m e n t o f I n f o r m a t i o n

Systems).

(4) AR 27-10 (Military Justice).

(5) AR 27-40 (Litigation).

(6) AR 27-60 (Intellectual Property).

(7) AR 60-20 (Army and Air Force Exchange Service (AAFES)

Operating Policies) (AFR 147-14).

(8) AR 70-31 (Standards for Technical Reporting).

(9) AR 190-45 (Military Police Law Enforcement Reporting).

(10) AR 380-10 (Technology Transfer for Disclosure of Information and contacts with Foreign Representatives (U)).

(11) AR 381-45 (Investigative Records Repository (IRR)).

(12) AR 385-40 (Accident Reporting and Records).

(13) DA Pam 25-30 (Consolidated Index of Army Publications

and Blank Forms).

(14) DA Pam 25-51 (The Army Privacy Program—Systems Notices and Exemption Rules).

(15) Title 10, United States Code, Section 128, ‘Physical Protection of Special Nuclear Material: Limitation on Dissemination of

Unclassified Information.’

c. Prescribed forms.

AR 25–55 • 1 November 1997 1
(1) DA Form 4948-R (Freedom of Information Act (FOIA/Operations Security) (OPSEC) Desktop Guide) (prescribed in paras 1-

501 and 5-100).

(2) DA Label 87 (For Official Use Only Cover Sheet) (prescribed

in para 4-301 and 4-400).

(3) DD Form 2086 (Record of Freedom of Information (FOI)

Processing Cost) (prescribed in para 6-104).

(4) DD Form 2086-1 (Record of Freedom of Information (FOI)

Processing Cost for Technical Data) (prescribed in para 6-300a).

Section 2

Purpose and Applicability

1–200. Purpose

The purpose of this Regulation is to provide policies and procedures

for the Department of Defense (DoD) implementation of the Freedom of Information Act and DoD Directive 5400.7 (references (a)

and (b)) and to promote uniformity in the DoD Freedom of Information Act (FOIA) Program. This Army regulation implements provis i o n s f o r a c c e s s a n d r e l e a s e o f i n f o r m a t i o n f r o m a l l A r m y

information systems (automated and manual) in support of the Information Resources Management Program (AR 25-1).

1–201. Applicability

a. This regulation applies Army-wide and implements OSD guidance. The OSD Regulation applies to the Office of the Secretary of

Defense (OSD), which includes for the purpose of this Regulation

the Joint Staff, Unified Commands, the Military Departments, the

Defense Agencies, and the DoD Field Activities (hereafter referred

to as ‘DoD Components’), and takes precedence over all Component regulations that supplement the DoD FOIA Program. A list of

DoD Components is at appendix G.

b. The National Security Agency records are subject to the provisions of this Regulation, only to the extent the records are not

exempt under Public Law 86-36 (reference (c)).

c. This AR applies to—

(1) Active Army.

(2) Army National Guard.

(3) U.S. Army Reserve.

(4) Organizations for which the Department of the Army (DA) is

the Executive Agent.

d. This regulation governs written FOIA requests from members

of the public. It does not preclude release of personnel or other

records to agencies or individuals in the Federal Government for use

in official work. Paragraph 5-103a gives procedures for release of

personnel information to Government agencies outside DoD.

e . S o l d i e r s a n d c i v i l i a n e m p l o y e e s o f t h e D e p a r t m e n t o f t h e

Army may, as private citizens, request DA or other agencies’ records under the FOIA. They must prepare requests at their own

expense and on their own time. They may not use Government

equipment, supplies, or postage to prepare personal FOIA requests.

It is not necessary for soldiers or civilian employees to go through

the chain of command to request information under the FOIA.

f. Requests for DA records processed under the FOIA may be

denied only in accordance with the FOIA (5 USC 552(b)), as implemented by this regulation. Guidance on the applicability of the

FOIA is also found in the Federal Acquisition Regulation (FAR)

and in the Federal Personnel Manual (FPM).

g. Release of some records may also be affected by the programs

that created them. They are discussed in the following regulations:

(1) AR 20-1 (Inspector General reports).

(2) AR 27-10 (military justice).

(3) AR 27-20 (claims reports).

(4) AR 27-60 (intellectual property).

(5) AR 27-40 (litigation: release of information and appearance

of witnesses).

(6) AR 36-2 (GAO audits).

(7) AR 40-66 and AR 40-400 (medical records).

(8) AR 70-31 (technical reports).

(9) AR 20-1, AR 385-40, and DA Pam 385-95 (aircraft accident

investigations).

(10) AR 190-45 (Military Police records and reports).

(11) AR 195-2 (criminal investigation activities).

(12) AR 360-5 (Army public affairs: public information, general

policies on release of information to the public).

(13) AR 380-5 and DOD 5200.1-R (national security classified

information).

(14) AR 380-5, paragraph 7-101e (policies and procedures for

allowing persons outside the Executive Branch to do unofficial

historical research in classified Army records).

(15) AR 380-10 (Technology Transfer for disclosure of information and contacts with foreign representatives).

(16) AR 381-45 (U.S. Army Intelligence and Security Command

investigation files).

(17) AR 385-40 (safety reports and records).

(18) AR 600-8-104 (military personnel information management

records).

(19) AR 600-85 (alcohol and drug abuse records).

(20) AR 690 series, FPM chapters 293, 294, and 339 (civilian

personnel records).

(21) Federal Acquisition Regulation (FAR), DOD Federal Acquisition Regulation Supplement (DFARS), and the Army Federal Acquisition Regulation Supplement (AFARS) (procurement matters).

Section 3

DoD Public Information

1–300. Public Information

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 DoD record requested by a member of the public who

follows rules established by proper authority in the Department of

Defense shall be withheld only when it is exempt from mandatory

public disclosure under the FOIA. In the event a requested record is

exempt under the FOIA, it may nonetheless be released when it is

determined that no governmental interest will be jeopardized by the

release of the record. (See para 3-101 for clarification.) In order that

the public may have timely 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 unless the requested records

are in a Privacy Act system of records; such records in a system of

records will not be released absent a written request under the

FOIA, unless otherwise releasable under the Privacy Act. 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

m e m b e r s o f t h e p u b l i c f o r i n f o r m a t i o n s h o u l d c o n t i n u e t o b e

honored through appropriate means even though the request does

not qualify under FOIA requirements.

1–301. Control System

A request for records that invokes the FOIA shall enter a formal

control system designed to ensure compliance with the FOIA. A

release determination must be made and the requester informed

within the time limits specified in this Regulation. 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 paragraph 1-512.

2 AR 25–55 • 1 November 1997
Section 4

Definitions

1–400. Definitions

As used in this Regulation, the following terms and meanings shall

be applicable.

1–401. FOIA Request

A written request for DoD records, made by any person, including a

member of the public (U.S. or foreign citizen), 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. This regulation is the

Department of the Army’s supplementing regulation.

1–402. Agency Record

a. The products of data compilation, such as all books, papers,

maps, and photographs, machine readable materials 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 DoD’s possession and control at the time the FOIA

request is made.

b. The following are not included within the definition of the

word ‘record:’

(1) Objects or articles, such as structures, furniture, vehicles and

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

(2) Administrative tools by which records are created, stored, and

retrieved, if not created or used as sources of information about

organizations, policies, functions, decisions, or procedures of a DoD

component. Normally, computer software, including source code,

object code, and listings of source and object codes, regardless of

medium, are not agency records. (This does not include the underlying data which is processed and produced by such software and

which may in some instances be stored with the software.) Exceptions to this position are outlined in subparagraph c, below.

(3) Anything that is not a tangible or documentary record, such

as an individual’s memory or oral communication.

(4) 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.

(5) Information stored within a computer for which there is no

e x i s t i n g c o m p u t e r p r o g r a m f o r r e t r i e v a l o f t h e r e q u e s t e d

information.

c. In some instances, computer software may have to be treated

as an agency record and processed under the FOIA. These situations

are rare, and shall be treated on a case-by-case basis. Examples of

when computer software may have to be treated as an agency record

are:

(1) When the data is embedded within the software and cannot be

extracted without the software. In this situation, both the data and

the software must be reviewed for release or denial under the FOIA.

(2) Where the software itself reveals information about organizations, policies, functions, decisions, or procedures of a DoD component, such as computer models used to forecast budget outlays,

calculate retirement system costs, or optimization models on travel

costs.

(3) See Chapter III for guidance on release determinations of

computer software.

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

DoD 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.

e. If unaltered publications and processed documents, such as

regulations, manuals, maps, charts, and related geophysical materials

are available through an established distribution system with or

without charge, the provisions of 5 USC 552 (a) (3) normally do not

apply and they need not be processed under the FOIA. Normally,

documents disclosed to the public by publication in the Federal

Register also require no processing under the FOIA. In such cases,

Components should direct the requester to the appropriate source to

obtain the record.

1–403. DoD Component

An element of the Department of Defense, as defined in paragraph

1-201 above, authorized to receive and act independently on FOIA

requests. A DoD Component has its own initial denial authority

(IDA) or appellate authority, and general counsel. The Department

of the Army is a DOD Component.

1–404. 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. The Department of the Army’s Initial Denial Authorities

are designated in paragraph 5-200d.

1–405. Appellate Authority

T h e H e a d o f t h e D o D C o m p o n e n t o r t h e C o m p o n e n t h e a d ’ s

designee having jurisdiction of this purpose over the record. The

Department of the Army’s appellate authority is the Office of General Counsel.

1–406. 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 an

IDA decision to withhold all or part of a requested record or to deny

a request for waiver or reduction of fees.

1–407. Public Interest

Public interest is 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 in informing citizens about

what their government is doing. That statutory purpose, however, is

not fostered by disclosure of information about private citizens that

is accumulated in various governmental files that reveals little or

nothing about an agency’s or official’s own conduct.

1–408. Electronic Data

Electronic data are those records and information which are created,

stored, and retrievable by electronic means. This does not include

computer software, which is the tool by which to create, store, or

retrieve electronic data. See paragraph 1-402b2 and c for a discussion of computer software.

1–409. Law Enforcement Investigation

An investigation conducted by a command or agency for law enforcement purposes relating to crime, waste, or fraud or for national

security reasons. Such investigations may include gathering evid e n c e f o r c r i m i n a l p r o s e c u t i o n s a n d f o r c i v i l o r r e g u l a t o r y

proceedings.

Section 5

Policy

1–500. Compliance with the FOIA

DoD personnel are expected to comply with the provisions of the

FOIA and this Regulation 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.

1–501. 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 specifically 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.

AR 25–55 • 1 November 1997 3
a. Operations Security (OPSEC). DA officials who release records under the FOIA must also consider OPSEC. The Army imp l e m e n t i n g d i r e c t i v e i s A R 5 3 0 - 1 . P a r a g r a p h 5 - 1 0 0 o f t h i s

regulation gives the procedure for FOIA personnel and the IDA to

follow when a FOIA request appears to involve OPSEC.

b. DA Form 4948-R. This form lists references and information

frequently used for FOIA requests related to OPSEC. Persons who

routinely deal with the public (by telephone or letter) on such

requests should keep the form on their desks as a guide. DA Form

4948R (Freedom of Information Act (FOIA)/Operations Security

(OPSEC) Desk Top Guide) will be locally reproduced on 8 1/2 X

11-inch paper. A copy for reproduction purposes is located at the

back of this regulation. The name and telephone number of the

command FOIA/OPSEC adviser will be entered on the form.

1–502. 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 Regulat i o n a n d a n y s u p p l e m e n t a l r e g u l a t i o n s p u b l i s h e d b y t h e D o D

Components.

1–503. Prompt Action on Requests

When a member of the public complies with the procedures established in this Regulation for obtaining DoD records, the request

shall receive prompt attention; a reply shall be dispatched within 10

working days, unless a delay is authorized. The FOIA provides for

extensions of initial time limits for three specific situations: (1) the

need to search for and collect records from separate offices; (2) the

need to examine a voluminous amount of records required by the

request; and (3) the need to consult with another agency or agency

component. Further, determinations of administrative appeals are

required to be made within twenty working days. See Chapter 5,

Section 3 paragraph 5-300 for guidance on appeals. When a Component has a significant number of requests, e.g., 10 or more, and the

Component finds it is unable to meet the 10 day requirement, or

meet any granted extension of the initial time limits, the requests

will be processed in order of receipt. In general, a practice of

handling requests on a first-in, first-out basis should be followed,

particularly for backlogged requests. However, this does not preclude a Component from completing action on a request which can

be easily answered, regardless of its ranking within the order of

receipt. A DoD component may expedite action on a request regardless of its ranking within the order of receipt upon a showing by the

requester of exceptional need or urgency. Exceptional need or urgency is determined at the discretion of the Component processing

the request.

a. The 10-day period prescribed for review of initial requests

under the FOIA (5 USC 552(a)(6)) starts only when the request—

(1) Is in writing.

(2) Reasonably describes the record requested.

(3) Is received by the proper official designated to answer the

request. (See app. B.)

(4) Meets the procedural requirements of this regulation. (See

para 6-104b9.)

b. All requests should refer explicitly or implicitly to the Freedom of Information Act, to ensure their prompt recognition as FOIA

actions.

c. Members of the public who make FOIA requests should carefully follow the guidance in this regulation. They should send requests to the office that has the desired record or to a specific

agency FOIA official for referral. The Army Freedom of Information and Privacy Act Office, Suite 201, 1725 Jefferson Davis Highway, Arlington, VA 22202-4102 can supply correct addresses.

d. See AR 340-21 for Privacy Act procedures.

1–504. Use of Exemptions

a. It is the DoD policy to make records publicly available, unless

they qualify for exemption under one or more of the nine exemptions. Components (IDA) may elect to make a discretionary release,

however, a discretionary release is generally not appropriate for

records exempt under exemptions 1, 3, 4, 6 and 7(C). Exemptions 4,

6, and 7(C) cannot be claimed when the requester is the submitter of

the information.

b. Parts of a requested record may be exempt from disclosure

under the FOIA. The proper DA official may delete exempt information and release the remainder to the requester. The proper offic i a l a l s o h a s t h e d i s c r e t i o n u n d e r t h e F O I A t o r e l e a s e e x e m p t

information; he or she must exercise this discretion in a reasonable

manner, within regulations. The excised copies shall clearly reflect

the denied information by means of BLACKENED areas, which are

SUFFICIENTLY BLACKENED so as to reveal no information. The

best means to ensure illegibility is to cut out the information from a

copy of the document and reproduce the appropriate pages. If the

document is classified, all classification markings shall be lined

through with a single black line, which will allow the markings to

be read. The document shall then be stamped “Unclassified.”

1–505. 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 to facilitate public

access. Exempt records released pursuant to this regulation or other

statutory or regulatory authority, however, may be considered to be

in the public domain only when their release constitutes a waiver of

the FOIA exemption. When the release does not constitute such a

waiver, such as when disclosure is made to a properly constituted

advisory committee or to a Congressional committee, the released

records 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.

1–506. Creating a Record

a. 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. Mere possession of a

record does not presume departmental control and such records, or

identifiable portions thereof, would be referred to the originating

agency for direct response to the requester. There is no obligation to

create nor compile 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 VI.

b. With respect to electronic data, the issue of whether records

are actually created or merely extracted from an existing database is

n o t a l w a y s r e a d i l y a p p a r e n t . C o n s e q u e n t l y , w h e n r e s p o n d i n g t o

FOIA requests for electronic data where creation of record, programming, or particular format are questionable, 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 capability to respond does not exist without a significant expenditure of

resources, thus not being a normal business as usual approach.

c. Requested records, or portions thereof, may be located at several Army offices. The official receiving the FOIA request will refer

it to those other offices for a direct reply if —

( 1 ) T h e i n f o r m a t i o n m u s t b e r e v i e w e d f o r r e l e a s e u n d e r t h e

FOIA; and

(2) Assembling the information would interfere materially with

DA operations at the site first receiving the request.

1–507. Description of Requested Record

a. Identification of the record desired is the responsibility of the

4 AR 25–55 • 1 November 1997
member of the public who requests a record. The requester must

provide a description of the desired record, that enables the Government to locate the record with a reasonable amount of effort. The

Act does not authorize ‘fishing expeditions.’ When a DoD Component receives a request that does not ‘reasonably describe’ the requested record, it shall notify the requester of the defect. The defect

should be highlighted in a specificity letter, asking the requester to

provide the type of information outlined below in subparagraph 1-

507 b of this Regulation. Components are not obligated to act on the

request until the requester responds to the specificity letter. When

practicable, 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. DA

officials will reply to unclear requests by letter. The letter will—

(1) Describe the defects in the request.

(2) Explain the types of information in b below, and ask the

requester for such information.

(3) Explain that no action will be taken on the request until the

requester replies to the letter.

b. The following guidelines are provided to deal with ‘fishing

expedition’ requests and are based on the principle of reasonable

effort. Descriptive information about a record may be divided into

two broad categories.

(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.

(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.

c. Generally, a record is not reasonably described unless the

description contains sufficient Category I information to permit the

conduct of an organized, nonrandom search based on the 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.

d. 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 retrievable by personal identifiers need be searched. Search

for such records may be conducted under Privacy Act procedures.

No record may be denied that is releasable under the FOIA.

e. The above 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.

1–508. Referrals

a. 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 Component confirms that it has the requested record, and this belief can be confirmed by the other DoD

Component. In cases where the Component receiving the request

has reason to believe that the existence or nonexistence of the

record may in itself be classified, that Component will consult the

DoD Component having cognizance over the record in question

before referring the request. If the DoD Component that is consulted

determines that the existence or nonexistence of the record is in

itself classified, the requester shall be so notified by the DoD Component originally receiving the request, and no referral shall take

place. Otherwise, the request shall be referred to the other DoD

Component, and the requester shall be notified of any such referral.

Any DoD Component receiving a request that has been misaddressed shall refer the request to the proper address and advise the

requester. Within the Army, referrals will be made directly to offices that may have custody of requested records. If the office

receiving the FOIA request does not know where the requested

records are located, the request and an explanatory cover letter will

be forwarded to The Army Freedom of Information and Privacy Act

Office, Suite 201, 1725 Jefferson Davis Highway, Arlington, VA

22202-4102.

b. Whenever a record or a portion of a record is, after prior

consultation, referred to another DoD Component or to a Government agency outside of the Department of Defense for a release

determination and direct response, the requester shall be informed of

the referral. Referred records shall only be identified to the extent

consistent with security requirements.

c. A DoD Component shall refer a FOIA request for a classified

record that it holds to another DoD Component or agency outside

the Department of Defense, if the record originated in the other

DoD Component or outside agency or if the classification is derivative. In this situation, provide the record and a release recommendation on the record with the referral action.

d. A DoD Component may also refer a request for a record that it

originated to another DoD Component or agency when the record

was created for the use of the other DoD Component or agency. The

DoD Component or agency for which the record was created may

have an equally valid interest in withholding the record as the DoD

Component that created the record. In such situations, provide the

record and a release recommendation on the record with the referral

action. 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 should be at the discretion of the

contracting officer. Any FOIA request shall be referred to the appropriate contracting officer and the requester shall be notified of the

referral.

e. Within the Department of Defense, a Component shall ordinarily refer a FOIA request for a record that it holds, but that was

originated by another DoD Component or that contains substantial

information 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.

f. DoD Components that receive referred requests shall answer

them in accordance with the time limits established by the FOIA

and this Regulation. Those time limits shall begin to run upon

receipt of the referral by the official designated to respond.

g. Agencies outside the Department of Defense that are subject to

the FOIA:

(1) A Component may refer a FOIA request for any record that

originated in an agency outside the DoD 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 Component must

respond to the request.

(2) A DoD Component shall not honor 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. Such

requests shall be referred to the agency that provided the records.

(3) Notwithstanding anything to the contrary in paragraph 1-508,

a C o m p o n e n t s h a l l n o t i f y r e q u e s t e r s s e e k i n g N a t i o n a l S e c u r i t y

Council (NSC) or White House documents that they should write

directly to the NSC or White House for such documents. DoD

documents in which the NSC or White House has a concurrent

reviewing interest shall be forwarded to the Office of the Assistant

Secretary of Defense (Public Affairs) (OASD(PA)), ATTN: Directorate for Freedom of Information and Security Review (DFOISR),

which shall effect coordination with the NSC or White House, and

return the documents to the originating agency after NSC review

and determination. NSC or White House documents discovered in

Components’ files which are responsive to a FOIA request shall be

forwarded to OASD(PA), ATTN: DFOISR, for subsequent coordination with the NSC or White House, and returned to the Component with a release determination.

AR 25–55 • 1 November 1997 5
h. To the extent referrals are consistent with the policies expressed by this paragraph, referrals between offices of the same

DoD Component are authorized.

i. On occasion, the DoD receives FOIA requests for General

Accounting Office (GAO) documents 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, will be processed under the provisions of the FOIA.

(In DA, requests received for GAO documents that contain classified Army information will be handled by the Army Inspector General’s Office.)

1–509. 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.

1–510. Unified and Specified Commands

a. The Unified Commands are placed under the jurisdiction of

the OSD, instead of the administering Military Department, 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 (f)); it authorizes and requires the Unified Commands to process Freedom of Information (FOI) requests in accordance with DoD Directive 5400.7 (reference (b)) and this Regulation.

The Unified Commands shall forward directly to the OASD(PA), 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 A. For Army

components of unified commands, if the requested records are joint

documents, process the FOIA request through unified command

channels. If the requested documents are Army-unique, process the

FOIA request through Army channels.

b. The Specified Commands remain under the jurisdiction of the

administering Military Department. The Commands shall designate

IDAs within their headquarters; however, the appellate authority

shall reside with the Military Department.

1–511. Records Management

FOIA records shall be maintained and disposed of in accordance

with DoD Component Disposition instructions and schedules. (See

AR 25-400-2.)

1–512. Relationship Between the FOIA and the Privacy

Act (PA)

Not all requesters are knowledgeable of the appropriate statutory

authority to cite when requesting records. In some instances, they

may cite neither Act, but will imply one or both Acts. For these

reasons, the following guidelines are provided to ensure that requesters receive the greatest amount of access rights under both Acts:

a. Requesters who seek records about themselves contained in a

PA system of records and who cite or imply the PA, will have their

requests processed under the provisions of the PA.

b. Requesters who seek records about themselves which are not

contained in a PA system of records and who cite or imply the PA,

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

since they have no access under the PA.

c. Requesters who seek records about themselves which are contained in a PA system of records and who cite or imply the FOIA or

both Acts will have their requests processed under the time limits of

the FOIA and the exemptions and fees of the PA. This is appropriate since greater access will be received under the PA.

d. Requesters who seek access to agency records and who cite or

imply the PA and FOIA, will have their requests processed under

the FOIA.

e. Requesters who seek access to agency records and who cite or

imply the FOIA, will have their requests processed under the FOIA.

f. Requesters should be advised in a final response why their

request was processed under a different Act.

Chapter II

Public Reading Rooms

Section 1

Requirements

2–100. Reading Room

Each Component shall provide an appropriate facility or facilities

where the public may inspect and copy or have copied the materials

described below. In addition, to the materials described, Components may elect to place other documents in their reading room as a

means to provide public access to such documents. DoD Components may share reading room facilities if the public is not unduly

inconvenienced. The cost of copying shall be imposed on the person

requesting the material in accordance with the provisions of Chapter

VI of this Regulation. The Army FOIA Public Reading Room is

operated by The Freedom of Information and Privacy Act Office,

S u i t e 2 0 1 , 1 7 2 5 J e f f e r s o n D a v i s H i g h w a y , A r l i n g t o n , V i r g i n i a

22202-4102. It is open from 0800 to 1530, Monday through Friday,

except holidays.

2–101. Material Availability

The FOIA requires that so-called “(a)(2)” materials shall be made

available in the FOIA public reading room for inspection and copying, unless such materials are published and copies are offered for

sale. Identifying details that, if revealed, would create a clearly

u n w a r r a n t e d i n v a s i o n o f p e r s o n a l p r i v a c y m a y b e d e l e t e d f r o m

“(a)(2)” materials made available for inspection and copying. In

every case, justification for the deletion must be fully explained in

writing. 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 documents to avoid clearly unwarr a n t e d i n v a s i o n s o f p r i v a c y . I n a p p r o p r i a t e c a s e s , t h e D o D

Component may refer to this description rather than write a separate

justification for each deletion. So-called “(a)(2)” materials are:

a. Final opinions, including concurring and dissenting opinions,

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

551 (reference (g)), that may be cited, used, or relied upon as

precedents in future adjudications.

b . S t a t e m e n t s o f p o l i c y a n d i n t e r p r e t a t i o n s t h a t h a v e b e e n

adopted by the agency and are not published in the Federal Register.

c . A d m i n i s t r a t i v e s t a f f m a n u a l s a n d i n s t r u c t i o n s , o r p o r t i o n s

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:

(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.

(2) Operations and maintenance manuals and technical information concerning munitions, equipment, systems, and foreign intelligence operations.

Section 2

Indexes

2–200. “(a)(2)” Materials

a. Each DoD Component shall maintain in each facility prescribed in paragraph 2-100, above, an index of materials described

in paragraph 2-101, 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

6 AR 25–55 • 1 November 1997
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.

b. Each DoD Component shall promptly publish quarterly or

more frequently, and distribute, by sale or otherwise, copies of each

i n d e x o f “ ( a ) ( 2 ) ” m a t e r i a l s o r s u p p l e m e n t s t h e r e t o u n l e s s i t

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 VI of this regulation.

c. Each index of “(a)(2)” materials or supplement thereto shall be

arranged topically 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.

2–201. Other Materials

a. 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. Army “(a)(2)” materials are published in DA Pam 25-30.

b. Although not required to be made available in response to

FOIA requests or made available in FOIA Public Reading Rooms,

“(a)(1)” materials shall, when feasible, be made available in FOIA

p u b l i c r e a d i n g r o o m s f o r i n s p e c t i o n a n d c o p y i n g . E x a m p l e s o f

“(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.

Chapter III

Exemptions

Section 1

General Provisions

3–100. General

Records that meet the exemption criteria in Section 2 of this chapter

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.

3–101. Jeopardy of Government Interest

An exempted record, other than those being withheld pursuant to

Exemptions 1, 3, or 6, shall be made available upon the request of

any individual when, in the judgment of the releasing DoD Component or higher authority, no jeopardy to government interest would

be served by release. It is appropriate for DoD Components to use

their discretionary authority on a case-by-case basis in the release of

given records. If a DoD Component determines that a record requested under the FOIA meets the Exemption 4 withholding criteria

set forth in this regulation, the DoD Component shall not ordinarily

exercise its discretionary power to release, absent circumstances in

which a compelling public interest will be served by release of that

record. Further guidance on this issue may be found at paragraphs

3-200, Number 4. and 5-207 of this regulation.

Section 2

Exemptions

3–200. FOIA Exemptions

The following types of records may be withheld by the IDA in

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

otherwise prescribed by law. A discretionary release (see also para

1-504) to one requester may preclude the withholding of the same

record under a FOIA exemption if the record is subsequently requested by someone else. 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 privacy interest.

Number 1. 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 (h)). 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 paragraph 5-100c(4) apply.

In addition this exemption shall be invoked when the following

situations are apparent:

a. 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 refusal to confirm or deny response must

be used consistently, not only when a record exists, but also when a

“no record” response itself will disclose national security interest.

b. Information that concerns one or more of the classification

categories established by Executive Order and DoD 5200.1-R (reference (h)) shall be classified if its unauthorized disclosure, either by

itself or in the context of other information, reasonably could be

expected to cause damage to the national security.

Number 2. Those related solely to the internal personnel rules and

practices of DoD or any of its Components. This exemption has two

profiles, high b2 and low b2.

a. Records qualifying under high b2 are those containing or constituting statutes, release, regulations, orders, manuals, directives,

and instructions the release of which would allow circumvention of

these records thereby substantially hindering the effective performance of a significant function of the DoD. Examples include:

(1) Those operating rules, guidelines, and manuals for DoD investigators, inspectors, auditors, or examiners that must remain privi l e g e d i n o r d e r f o r t h e D o D C o m p o n e n t t o f u l f i l l a l e g a l

requirement.

(2) Personnel and other administrative matters, such as examination questions and answers used in training courses or in the determination of the qualification of candidates for employment, entrance

on duty, advancement, or promotion.

(3) Computer software meeting the standards of paragraph 1-

402c, the release of which would allow circumvention of statute or

DoD rules, regulations, orders, directives, or instructions. In this

situation, the use of the software must be closely examined to

ensure a circumvention possibility exists.

b. Records qualifying under the low 2b 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 these records. Examples include: rules of personnel’s use of

parking facilities or regulation of lunch hours, statements of policy

as to sick leave and trivial administrative data such as file numbers,

mail routing stamps, initials, data processing notations, brief references to previous communications, and other like administrative

markings.

c . N e g o t i a t i o n a n d b a r g a i n i n g t e c h n i q u e s , p r a c t i c e s , a n d

limitations.

Number 3. 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. Examples of statutes are:

a. National Security Agency Information Exemption, P.L. 86-36,

Section 6 (reference (c)).

b. Patent Secrecy, 35 USC 181-188 (reference (i)). Any records

containing information relating to inventions that are the subject of

AR 25–55 • 1 November 1997 7
p a t e n t a p p l i c a t i o n s o n w h i c h P a t e n t S e c r e c y O r d e r s h a v e b e e n

issued.

c. Restricted Data and Formerly Restricted Data, 42 USC 2162

(reference (j)).

d. Communication Intelligence, 18 USC 798 (reference (k)).

e. Authority to Withhold From Public Disclosure Certain Technical Data, 10 USC 130 and DoD Directive 5230.25 (reference (w)

and (aa)).

f. Confidentiality of Medical Quality Records: Qualified Immunity Participants, 10 USC 1102 (reference (cc)).

g. Physical Protection of Special Nuclear Material: Limitation on

Dissemination of Unclassified Information, 10 USC 128 (reference

(aj))

h . P r o t e c t i o n o f I n t e l l i g e n c e S o u r c e s a n d M e t h o d s , 5 0 U S C

403(d)(3).

Number 4. 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. Examples include records that contain:

a. Commercial or financial information received in confidence in

connection with loans, bids, contracts, or proposals, as well as other

information received in confidence or privileged, such as trade secrets, inventions, discoveries, or other proprietary data. (See para 1-

100(ak).

b. 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.

c. 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.

d. 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.

e. 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.

f. 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 USC

2320-2321 and DoD Federal Acquisition Regulation Supplement

(DFARS), Subpart 227.4 (references (aa) and (ac)). Technical data

developed exclusively with Federal funds may be withheld under

Exemption Number 3 if it meets the criteria of 10 USC 130 and

DoD Directive 5230.25 (reference (v))(see subpara 3-200, Number

3e).

g. Computer software meeting the conditions of paragraph 1-

402c, which is copyrighted under the Copyright Act of 1976 (17

USC 106), the disclosure of which would have an adverse impact on

the potential market value of a copyrighted work.

Number 5. Except as provided in paragraphs Number 5b through e,

below, internal advice, recommendations, and subjective evaluations, as contrasted with factual matters, that are reflected in records

pertaining to the decision-making process of an agency, whether

within or among agencies (as defined in 5 USC 552(e) (reference

(a)), or within or among DoD Components. Also exempted are

records pertaining to the attorney-client privilege and the attorney

work-product privilege.

a. Examples include:

(1) The nonfactual portions of staff papers, to include after-action

reports and situation reports containing staff evaluations, advice,

opinions or suggestions.

(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.

(3) Those nonfactual portions of evaluations by DoD Component

personnel of contractors and their products.

(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.

(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 interests.

(6) Records that are exchanged among agency personnel and

within and among DoD Components or agencies as part of the

preparation for anticipated administrative proceeding by an agency

or litigation before any Federal, State, or military court, as well as

records that qualify for the attorney-client privilege.

(7) 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.

(8) Computer software meeting the standards of paragraph 1-

402c, which is deliberative in nature, the disclosure of which would

inhibit or chill the decision making process. In this situation, the use

of software must be closely examined to ensure its deliberative

nature.

(9) Planning, programming, and budgetary information which is

involved in the defense planning and resource allocation process

(see reference (ak)).

b. If any such intra or interagency record or reasonably segregated portion of such record hypothetically would be made available

routinely through the “discovery process” in the course of litigation

with the agency, i.e., the process by which litigants obtain information from each other that is relevant to the issues in a trial or

hearing, then it should not be withheld from the general public even

though discovery has not been sought in actual litigation. If, however, the information hypothetically would only be made available

through the discovery process by special order of the court based on

the particular needs of a litigant, balanced against the interest of the

agency in maintaining its confidentiality, then the record or document need not be made available under this Regulation. Consult

w i t h l e g a l c o u n s e l t o d e t e r m i n e w h e t h e r E x e m p t i o n 5 m a t e r i a l

would be routinely made available through the discovery process.

c. Intra or interagency memoranda or letters that are factual, or

those reasonably segregated 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.

d. 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 decisionmaking process.

8 AR 25–55 • 1 November 1997
e. 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.

Number 6. Information in personnel and medical files, as well as

similar personal information in other files, that, if disclosed to the

requester 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.

a. Examples of other files containing personal information similar to that contained in personnel and medical files include:

(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.

(2) Files containing reports, records, and other material pertaining

to personnel matters in which administrative action, including disciplinary action, may be taken.

b. Home addresses are normally not releasable without the consent of the individuals concerned. In addition, the release of lists of

DoD military and civilian personnel’s names and duty addresses

who are assigned to units that are sensitive, routinely deployable, or

stationed in foreign territories may constitute a clearly unwarranted

invasion of personal privacy.

(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.

(2) Telephone directories, organization charts, and/or staff directories published by installations or activities will be released when

requested under FOIA. In all such directories or charts, names of

personnel assigned to sensitive units, routinely deployable units, or

units stationed in foreign territories will be excised and denied under

Exemption 6 of the FOIA. By DOD policy, the names of general

officers (or civilian equivalent) or public affairs officers may be

released at any time. The sanitized copy will be excised by cutting

out or masking the names and reproducing the documents. Initial

Denial Authority for directories is delegated to the Freedom of

Information/Privacy Act Office, Suite 201, 1725 Jefferson Davis

Highway, Arlington, VA 22202-4102.

c. 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. However, particularly sensitive, often graphic, personal details about the circumstances surrounding an individual’s death may be withheld where necessary to

protect the privacy interests of surviving family members, or even

information that is not particularly sensitive in itself may be withheld to protect the privacy of surviving family members if release of

the information would cause a disruption to their peace of mind.

Some examples might include autopsy reports and graphic details of

murder. These examples are not intended to be all inclusive.

d. Individual’s personnel, medical, or similar files may be withheld from them or their designated legal representative only to the

extent consistent with DoD Directive 5400.11, the Privacy Act (5

USC 552a), DoD 5400.11-R, and AR 340-21. (Reference (d)).

e. A clearly unwarranted invasion of the privacy of the person

identified in a personnel, medical, or similar record may constitute a

basis for deleting those reasonably segregated portions of that record, even when providing it to the subject of the record. When

withholding personal information from the subject of the record,

legal counsel should first be consulted.

f. Requests for access to or release of records, before appellate

review, of courts-martial or special courts-martial involving a bad

conduct discharge should be addressed as in appendix B, paragraph

5. This guidance does not preclude furnishing records of a trial to an

accused.

Number 7. 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 also applies to law enforcement investigations such

as Inspector General investigations. This exemption may be invoked

to prevent disclosure of documents not originally created for, but

later gathered for law enforcement purposes.

a. This exemption applies, however, only to the extent that production of such law enforcement records or information could result

in the following:

(1) Could reasonably be expected to interfere with enforcement

proceedings.

(2) Would deprive a person of the right to a fair trial or to an

impartial adjudication.

(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.

(a) 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.

(b) 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.

(c) 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. .

(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 which furnishes the information on a confidential

basis.

( 5 ) C o u l d d i s c l o s e i n f o r m a t i o n f u r n i s h e d f r o m a c o n f i d e n t i a l

source and obtained by a criminal law enforcement authority in a

criminal investigation or by an agency conducting a lawful national

security intelligence investigation.

(6) 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.

(7) Could reasonably be expected to endanger the life or physical

safety of any individual.

b. Examples include:

(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.

(2) The identity of firms or individuals being investigated for

alleged irregularities involving contracting with the Department of

Defense (Army) when no indictment has been obtained nor any civil

action filed against them by the United States.

(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

s e c u r i t y i n t e l l i g e n c e i n v e s t i g a t i o n c o n d u c t e d b y a n a u t h o r i z e d

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.

AR 25–55 • 1 November 1997 9
c. The right of individual litigants to investigative records currently available by law (such as, the Jencks Act, 18 USC 3500,

reference (1)) is not diminished.

d. When the subject of an investigative record is the requester of

the record, it may be withheld only as authorized by DoD Directive

5400.11 (reference (d)). The Army implementing directive is AR

340-21.

e. Exclusions. Excluded from the above exemption are the following two situations applicable to the Department of Defense:

(1) Whenever a request is made which 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, 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.

(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 the FOIA, the response to the requester will state that no records were found.

Number 8. 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.

Number 9. Those containing geological and geophysical information

and data (including maps) concerning wells.

Chapter IV

For Official Use Only

Section 1

General Provisions

4–100. General

Information that has not been given a security classification pursuant to the criteria of an Executive Order, but which may be

withheld from the public for one or more of the reasons cited in

FOIA exemptions 2 through 9, shall be considered as being for

official use only. No other material shall be considered or marked

“For Official Use Only” (FOUO), and FOUO is not authorized as an

anemic form of classification to protect national security interests.

4–101. Prior FOUO Application

The prior application of FOUO markings is not a conclusive basis

for withholding a record that is requested under the FOIA. When

such a record is requested, the information in it shall be evaluated to

determine whether, under current circumstances, FOIA exemptions

apply in withholding the record or portions of it. If any exemption

or exemptions apply or applies, it may nonetheless be released when

it is determined that no governmental interest will be jeopardized by

its release.

4–102. Historical Papers

Records such as notes, working papers, and drafts retained as historical evidence of DoD Component actions enjoy no special status

apart from the exemptions under the FOIA (reference (a)).

4–103. Time to Mark Records

The marking of records at the time of their creation provides notice

of FOUO content and facilitates review when a record is requested

under the FOIA. Records requested under the FOIA that do not bear

such markings, shall not be assumed to be releasable without examination for the presence of information that requires continued protection and qualifies as exempt from public release.

4–104. Distribution Statement

Information in a technical document that requires a distribution

statement pursuant to DoD Directive 5230.24 (reference (m)) shall

bear that statement and may be marked FOUO, as appropriate.

Section 2

Markings

4–200. Location of Markings

a. An unclassified document containing FOUO information shall

be marked “For Official Use Only” in bold letters at least 3/16 of an

inch high at the bottom on the outside of the front cover (if any), on

each page containing FOUO information, and on the outside of the

back cover (if any).

b. Within a classified document, an individual page that contains

both FOUO and classified information shall be marked at the top

and bottom with the highest security classification of information

appearing on the page.

c. Within a classified or unclassified document, an individual

page that contains FOUO information but no classified information

shall be marked “For Official Use Only” at the bottom of the page.

The paragraphs containing the “For Official Use Only” information

should also be marked with the initials FOUO.

d. Other records, such as, photographs, films, tapes, or slides,

shall be marked “For Official Use Only” or “FOUO” in a manner

that ensures that a recipient or viewer is aware of the status of the

information therein. Markings on microform will conform to the

requirements of b and c above. As a minimum, each frame of a

microform containing FOUO information will be marked “FOR

OFFICIAL USE ONLY” at the bottom center of the appropriate

page or frame. Classified or protective markings placed by a software program at both top and bottom of a page or frame of a

computer-generated report are acceptable. Storage media (disk packs

or magnetic tapes) containing personal information subject to the

Privacy Act will be labeled “FOR OFFICIAL USE ONLY—Privacy

Act Information.”

e. FOUO material transmitted outside the Department of Defense

requires application of an expanded marking to explain the significance of the FOUO marking. This may be accomplished by typing

or stamping the following statement on the record prior to transfer:

“This document contains information EXEMPT FROM MANDATORY DISCLOSURE under the FOIA. Exemptions ..... apply.”

f. Permanently bound volumes need to be marked only on the

outside of the front and back covers, title page, and first and last

pages. Volumes stapled by office-type hand or electric staples are

not considered permanently bound.

Section 3

Dissemination and Transmission

4–300. Release and Transmission Procedures

Until FOUO status is terminated, the release and transmission instructions that follow apply:

a. FOUO information may be disseminated within DoD Components and between officials of DoD Components and DoD contractors, consultants, and grantees to conduct official business for the

Department of Defense. Recipients shall be made aware of the

status of such information, and transmission shall be by means that

p r e c l u d e u n a u t h o r i z e d p u b l i c d i s c l o s u r e . T r a n s m i t t a l d o c u m e n t s

shall call attention to the presence of FOUO attachments.

b. DoD holders of FOUO information are authorized to convey

such information to officials in other departments and agencies of

the executive and judicial branches to fulfill a government function,

except to the extent prohibited by the Privacy Act. Records thus

transmitted shall be marked “For Official Use Only,” and the recipient shall be advised that the information has been exempted from

10 AR 25–55 • 1 November 1997
public disclosure, pursuant to the FOIA, and that special handling

instructions do or do not apply.

c. Release of FOUO information to Members of Congress is

g o v e r n e d b y D o D D i r e c t i v e 5 4 0 0 . 4 ( r e f e r e n c e ( n ) ) . A r m y i m -

plementing instructions are in paragraph 5-103 and in AR 1-20.

Release to the GAO is governed by DoD Directive 7650.l (reference

(o)). Records released to the Congress or GAO should be reviewed

to determine whether the information warrants FOUO status. If not,

prior FOUO markings shall be removed or effaced. If withholding

criteria are met, the records shall be marked FOUO and the recipient

provided an explanation for such exemption and marking. Alternatively, the recipient may be requested, without marking the record,

to protect against its public disclosure for reasons that are explained.

4–301. Transporting FOUO Information

Records containing FOUO information shall be transported in a

manner that precludes disclosure of the contents. When not commingled with classified information, FOUO information may be sent

via first-class mail or parcel post. Bulky shipments, such as distributions of FOUO Directives or testing materials, that otherwise qualify

under postal regulations may be sent by fourth-class mail. When

material marked FOUO is removed from storage, attach DA Label

87 (For Official Use Only Cover Sheet).

4–302. Electrically Transmitted Messages

Each part of electrically transmitted messages containing FOUO

information shall be marked appropriately. Unclassified messages

c o n t a i n i n g F O U O i n f o r m a t i o n s h a l l c o n t a i n t h e a b b r e v i a t i o n

“FOUO” before the beginning of the text. Such messages shall be

transmitted in accordance with communications security procedures

in ACP-l2l (US Supp l) (reference (p)) for FOUO information.

Army follows the procedures in AR 25-11.

4–303. Telephone usage

a. FOUO information may be discussed over the telephone lines

with DOD, other Government agencies, and Government support

contractors for official purposes.

b. Facsimile communications marked FOUO may be transmitted

by nonsecure terminals with the FOUO marking intact between

DOD, other U.S. Government agencies, and U.S. Government support contractors for official purposes.

Section 4

Safeguarding FOUO Information

4–400. During Duty Hours

During normal working hours, records determined to be FOUO shall

be placed in an out-of-sight location if the work area is accessible to

non-governmental personnel. When material marked FOUO is removed from storage, attach DA Label 87.

4–401. During Nonduty Hours

At the close of business, FOUO records shall be stored so as to

preclude unauthorized access. Filing such material with other unclassified records in unlocked files or desks, etc., is adequate when

normal U.S. Government or government-contractor internal building

security is provided during nonduty hours. When such internal security control is not exercised, locked buildings or rooms normally

provide adequate after-hours protection. If such protection is not

considered adequate, FOUO material shall be stored in locked receptacles such as file cabinets, desks, or bookcases. FOUO records

that are subject to the provisions of P.L. 86-36 (reference (c)) shall

meet the safeguards outlined for that group of records. Army personnel handling National Security Agency (NSA) records will follow NSA instructions on storing and safeguarding those records.

Section 5

Termination, Disposal and Unauthorized Disclosures

4–500. Termination

The originator or other competent authority, e.g., initial denial and

appellate authorities, shall terminate “For Official Use Only” markings or status when circumstances indicate that the information no

longer requires protection from public disclosure. When FOUO status is terminated, all known holders shall be notified, to the extent

practical. Upon notification, holders shall efface or remove the “For

Official Use Only” markings, but records in file or storage need not

be retrieved solely for that purpose.

4–501. Disposal

a. Nonrecord copies of FOUO materials may be destroyed by

tearing each copy into pieces to preclude reconstructing, and placing

them in regular trash containers. When local circumstances or experience indicates that this destruction method is not sufficiently protective of FOUO information, local authorities may direct other

methods but must give due consideration to the additional expense

balanced against the degree of sensitivity of the type of FOUO

information contained in the records.

b. Record copies of FOUO documents shall be disposed of in

accordance with the disposal standards established under 44 U.S.C.

Chapter 33 (reference (q)), as implemented by DoD Component

instructions concerning records disposal. Army implementing disposition instructions are in AR 25-400-2.

4–502. Unauthorized Disclosure

The unauthorized disclosure of FOUO records does not constitute an

unauthorized disclosure of DoD information classified for security

purposes. Appropriate administrative action shall be taken, however,

to fix responsibility for unauthorized disclosure whenever feasible,

and appropriate disciplinary action shall be taken against those responsible. Unauthorized disclosure of FOUO information that is

protected by the Privacy Act (reference (gg)) may also result in civil

and criminal sanctions against responsible persons. The DoD Component that originated the FOUO information shall be informed of

its unauthorized disclosure.

Chapter V

Release and Processing Procedures

Section 1

General Provisions

5–100. Public Information

a. 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 or Department of the Army record made under the FOIA may be denied only

when:

(1) The record is subject to one or more of the exemptions in

Chapter III of this Regulation.

(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.

(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 his attorney, notarization of

the request may be required.

b . I n d i v i d u a l s s e e k i n g D o D i n f o r m a t i o n s h o u l d a d d r e s s t h e i r

FOIA requests to one of the addresses listed in Appendix B.

c. Release of information under the FOIA can have an adverse

impact on OPSEC. The Army implementing directive for OPSEC is

AR 530-1. It requires that OPSEC points of contact be named for all

HQDA staff agencies and for all commands down to battalion level.

The FOIA official for the staff agency or command will use DA

Form 4948R to announce the OPSEC/FOIA advisor for the command. Persons named as OPSEC points of contact will be OPSEC/

FOIA advisors. Command OPSEC/FOIA advisors should implement

AR 25–55 • 1 November 1997 11
the policies and procedures in AR 530-1, consistent with this regulation and with the following considerations:

(1) Documents or parts of documents properly classified in the

interest of national security must be protected. Classified documents

may be released in response to a FOIA request only under AR 380-

5, chapter III. AR 380-5 provides that if parts of a document are not

classified and can be segregated with reasonable ease, they may be

released, but parts requiring continued protection must be clearly

identified.

(2) The release of unclassified documents could violate national

security. When this appears possible, OPSEC/FOIA advisors should

request a classification evaluation of the document by its proponent

under AR 380-5, paragraphs 2-204, 2-600, 2-800, and 2-801. In

such cases, other FOIA exemptions (para 3-200) may also apply.

(3) A combination of unclassified documents, or parts of them,

could combine to supply information that might violate national

security if released. When this appears possible, OPSEC/FOIA advisors should consider classifying the combined information per AR

380-5, paragraph 2-211.

(4) A document or information may not be properly or currently

classified when a FOIA request for it is received. In this case, the

request may not be denied on the grounds that the document or

information is classified except in accordance with Executive Order

12958, Section 1.6(d), and AR 380-5, paragraph 2-204, and with

approval of the Army General Counsel.

d. OPSEC/FOIA advisors will—

(1) Advise persons processing FOIA requests on related OPSEC

requirements.

(2) Help custodians of requested documents prepare requests for

classification evaluations.

(3) Help custodians of requested documents identify the parts of

documents that must remain classified under this paragraph and AR

380-5.

e. OPSEC/FOIA advisors do not, by their actions, relieve FOIA

personnel and custodians processing FOIA requests of their responsibility to protect classified or exempted information.

5–101. Requests from Private Parties

The provisions of the FOIA are reserved for persons with private

interests as opposed to federal or foreign governments seeking official information. Requests from private persons will be made in

writing, and will clearly show all other addressees within the Federal Government to whom the request was also sent. This procedure

will reduce processing time requirements, and ensure better inter

and intra-agency coordination. Components are under no obligation

to establish procedures to receive hand delivered requests. Foreign

governments seeking information from DoD Components should use

established official channels for obtaining information. Release of

records to individuals under the FOIA is considered public release

of information, except as provided for in paragraph 1-505 and 3-

200. DA officials will release the following records, upon request,

to the persons specified below, even though these records are exempt from release to the general public. The 10-day limit (para 1-

503) applies.

a. Medical records. Commanders or chiefs of medical treatment

facilities will release information—

(1) On the condition of sick or injured patients to the patient’s

relatives.

(2) That a patient’s condition has become critical to the nearest

known relative or to the person the patient has named to be informed in an emergency.

(3) That a diagnosis of psychosis has been made to the nearest

known relative or to the person named by the patient.

(4) On births, deaths, and cases of communicable diseases to

local officials (if required by local laws).

(5) Copies of records of present or former soldiers, dependents,

civilian employees, or patients in DA medical facilities will be

released to the patient or to the patient’s representative on written

request. The attending physician can withhold records if he or she

thinks that release may injure the patient’s mental or physical health; in that case, copies of records will be released to the patient’s

next of kin or legal representative or to the doctor assuming the

patient’s treatment. If the patient is adjudged insane, or dies, the

copies will be released, on written request, to the patient’s next of

kin or legal representative.

(6) Copies of records may be given to a Federal or State hospital

or penal institution if the person concerned is an inmate or patient

there.

(7) Copies of records or information from them may be given to

authorized representatives of certain agencies. The National Academy of Sciences, the National Research Council, and other accredited agencies are eligible to receive such information when they are

engaged in cooperative studies, with the approval of The Surgeon

General of the Army. However, certain information on drug and

alcohol use cannot be released. AR 600-85 covers the Army’s alcohol and drug abuse prevention and control program.

(8) Copies of pertinent parts of a patient’s records can be furnished to the staff judge advocate or legal officer of the command in

connection with the Government’s collection of a claim. If proper,

the legal officer can release this information to the tortfeasor’s

insurer without the patient’s consent.

Note. Information released to third parties under (5), (6), and (7) above must

be accompanied by a statement of the conditions of release. The statement

will specify that the information not be disclosed to other persons except as

privileged communication between doctor and patient.

b. Military personnel records. Military personnel records will be

released under these conditions:

(1) DA must provide specific information about a person’s military service (statement of military service) in response to a request

by that person or with that person’s written consent to his or her

legal representative.

(2) Papers relating to applications for, designation of beneficiaries under, and allotments to pay premiums for, National Service Life

Insurance or Serviceman’s Group Life Insurance will be released to

the applicant or to the insured. If the insured is adjudged insane

(evidence of an insanity judgment must be included) or dies, the

records will be released, on request, to designated beneficiaries or to

the next of kin.

(3) Copies of DA documents that record the death of a soldier, a

dependent, or a civilian employee will be released, on request, to

that person’s next of kin, life insurance carrier, and legal representative. A person acting on behalf of someone else concerned with the

death (e.g., the executor of a will) may also obtain copies by

submitting a written request that includes evidence of his or her

representative capacity. That representative may give written consent for release to others.

(4) Papers relating to the pay and allowances or allotments of a

present or former soldier will be released to the soldier or his or her

authorized representative. If the soldier is deceased, these papers

will be released to the next of kin or legal representatives.

c. Civilian personnel records. Civilian Personnel Officers (CPOs)

with custody of papers relating to the pay and allowances or allotments of current or former civilian employees will release them to

the employee or his or her authorized representative. If the employee is deceased, these records will be released to the next of kin

or legal representative. However, A CPO cannot release statements

of witnesses, medical records, or other reports or documents pertaining to compensation for injuries or death of a DA civilian employee

(Federal Personnel Manual, chap 294). Only officials listed in paragraph 5-200d(4) and (18) can release such information.

d. Release of information to the public concerning accused persons before determination of the case. Such release may prejudice

the accused’s opportunity for a fair and impartial determination of

the case. The following procedures apply:

(1) Information that can be released. Subject to (2) below, the

following information concerning persons accused of an offense

may be released by the convening authority to public news agencies

or media.

(a) The accused’s name, grade or rank, unit, regular assigned

12 AR 25–55 • 1 November 1997
duties, and other information as allowed by AR 340-21, paragraph

3-3a.

(b) The substance or text of the offense of which the person is

accused.

(c) The identity of the apprehending or investigating agency and

the length or scope of the investigation before apprehension.

(d) The factual circumstances immediately surrounding the apprehension, including the time and place of apprehension, resistance,

or pursuit.

(e) The type and place of custody, if any.

(2) Information that will not be released. Before evidence has

been presented in open court, subjective observations or any information not incontrovertibly factual will not be released. Background

information or information relating to the circumstances of an apprehension may be prejudicial to the best interests of the accused,

and will not be released except under (3)(c) below, unless it serves a

law enforcement function. The following kinds of information will

not be released:

(a) Observations or comments on an accused’s character and

demeanor, including those at the time of apprehension and arrest or

during pretrial custody.

(b) Statements, admissions, confessions, or alibis attributable to

an accused, or the fact of refusal or failure of the accused to make a

statement.

( c ) R e f e r e n c e t o c o n f i d e n t i a l s o u r c e s , i n v e s t i g a t i v e t e c h n i q u e s

and procedures, investigator notes, and activity files. This includes

reference to fingerprint tests, polygraph examinations, blood tests,

f i r e a r m s i d e n t i f i c a t i o n t e s t s , o r s i m i l a r l a b o r a t o r y t e s t s o r

examinations.

(d) Statements as to the identity, credibility, or testimony of prospective witnesses.

( e ) S t a t e m e n t s c o n c e r n i n g e v i d e n c e o r a r g u m e n t i n t h e c a s e ,

whether or not that evidence or argument may be used at the trial.

(f) Any opinion on the accused’s guilt.

(g) Any opinion on the possibility of a plea of guilty to the

offense charged, or of a plea to a lesser offense.

(3) Other considerations.

( a ) P h o t o g r a p h i n g o r t e l e v i s i n g t h e a c c u s e d . D A p e r s o n n e l

should not encourage or volunteer assistance to news media in

photographing or televising an accused or suspected person being

held or transported in military custody. DA representatives should

not make photographs of an accused or suspect available unless a

law enforcement function is served. Requests from news media to

take photographs during courts-martial are governed by AR 360-5.

(b) Fugitives from justice. This paragraph does not restrict the

release of information to enlist public aid in apprehending a fugitive

from justice.

(c) Exceptional cases. Permission to release information from

military personnel records other than as outlined in (b) above to

public news agencies or media may be requested from The Judge

Advocate General (TJAG). Requests for information from military

personnel records other than as outlined in (b) above will be processed according to this regulation.

e. Litigation, tort claims, and contract disputes. Release of information or records under this paragraph is subject to the time limitations prescribed in paragraph 520-4. The requester must be advised

of the reasons for nonrelease or referral.

(1) Litigation.

(a) Each request for a record related to pending litigation involving the United States will be referred to the staff judge advocate or

legal officer of the command. He or she will promptly inform the

Litigation Division, Office of the Judge Advocate General (OTJAG), of the substance of the request and the content of the record

requested. (Mailing address: HQDA (DAJA-T), WASH DC 20310-

2210; telephone, DSN 227-3462 or commercial (703 697-3462.)

(b) If information is released for use in litigation involving the

United States, the official responsible for investigative reports (AR

27-40, para 24) must be advised of the release. He or she will note

the release in such investigative reports.

(c) Information or records normally exempted from release (i.e.,

personnel and medical records) may be releasable to the judge or

court concerned, for use in litigation to which the United States is

not a party. Refer such requests to the local staff judge advocate or

legal officer, who will coordinate it with the Litigation Division,

OTJAG ((a)above).

(2) Tort claims.

(a) A claimant or a claimant’s attorney may request a record that

relates to a pending administrative tort claim filed against the DA.

Refer such requests promptly to the claims approving or settlement

authority that has monetary jurisdiction over the pending claim.

These authorities will follow AR 27-20. The request may concern

an incident in which the pending claim is not as large as a potential

claim; in such a case, refer the request to the authority that has

monetary jurisdiction over the potential claim.

(b) A potential claimant or his or her attorney may request information under circumstances clearly indicating that it will be used to

file a tort claim, though none has yet been filed. Refer such requests

to the staff judge advocate or legal officer of the command. That

authority, when subordinate, will promptly inform the Chief, U.S.

Army Claims Service, of the substance of the request and the content of the record. (Mailing address: U.S. Army Claims Service,

ATTN: JACS-TCC, Fort George G. Meade, MD 20755-5360; telephone, DSN 923-7860 or commercial (301) 677-7860.)

(c) IDA officials listed in paragraph 5-200d who receive requests

under (a) or (b) above will refer them directly to the Chief, U.S.

Army Claims Service. They will also advise the requesters of the

referral and the basis for it.

(d) The Chief, U.S. Army Claims Service, will process requests

according to this regulation and AR 27-20, paragraph 110.

(3) Contract disputes. Each request for a record that relates to a

potential contract dispute or a dispute that has not reached final

decision by the contracting officer will be treated as a request for

procurement records and not as litigation. However, the officials

listed in paragraphs 510-1a and 520d will consider the effect of

release on the potential dispute. Those officials may consult with the

U.S. Army Legal Services Agency. (Mailing address: U.S. Army

Legal Services Agency, ATTN: JALSCA, Nassif Building, 5611

Columbia Pike, Falls Church, VA 22041-5013; telephone, DSN

289-2023 or commercial (703) 756-2023.) If the request is for a

record that relates to a pending contract appeal to the Armed Services Board of Contract Appeals or to a final decision that is still

subject to appeal (i.e., 90 days have not lapsed after receipt of the

final decision by the contractor), then the request will be—

(a) Treated as involving a contract dispute; and

(b) Referred to the U.S. Army Legal Services Agency. (For address and phone number, see (3) above.)

f. Dissemination of unclassified information concerning physical

protection of special nuclear material.

(1) Unauthorized dissemination of unclassified information pertaining to security measures, including security plans, procedures,

and equipment for the physical protection of special nuclear material, is prohibited under 10 USC 128 and para 3-200, exemption

number 3.

(2) This prohibition shall be applied by the Deputy Chief of Staff

for Operations and Plans as the IDA, to prohibit the dissemination

of any such information only if and to the extent that it is determ i n e d t h a t t h e u n a u t h o r i z e d d i s s e m i n a t i o n o f s u c h i n f o r m a t i o n

could reasonably be expected to have a significant adverse effect on

the health and safety of the public or the common defense and

security by significantly increasing the likelihood of—

(a) Illegal production of nuclear weapons; or

(b) Theft, diversion, or sabotage of special nuclear materials,

equipment, or facilities.

(3) In making such a determination, DOD personnel may consider what the likelihood of an illegal production, theft, diversion, or

sabotage would be if the information proposed to be prohibited from

dissemination were at no time available for dissemination.

(4) DOD personnel shall exercise the foregoing authority to prohibit the dissemination of any information described:

(a) So as to apply the minimum restrictions needed to protect the

AR 25–55 • 1 November 1997 13
health and safety of the public or the common defense and security;

and

(b) Upon a determination that the unauthorized dissemination of

such information could reasonably be expected to result in a significant adverse effect on the health and safety of the public or the

common defense and security by significantly increasing the likelihood of—

1. llegal production of nuclear weapons; or

2 . T h e f t , d i v e r s i o n , o r s a b o t a g e o f s p e c i a l n u c l e a r m a t e r i a l s ,

equipment, or facilities.

(5) DOD employees shall not use this authority to withhold information from the appropriate committees of Congress.

g. Release of names and duty addresses.

(1) Telephone directories, organizational charts, and/or staff directories published by installations or activities will be released

when requested under FOIA. In all such directories or charts, names

of personnel assigned to sensitive units, routinely deployable units,

or units stationed in foreign territories will be redacted and denied

under Exemption 6 of the FOIA. By DoD policy, the names of

general officers (or civilian equivalent) or public affairs officers

may be released at any time. The sanitized copy will be redacted by

cutting out or masking the names and reproducing the document.

The IDA for telephone directories is delegated to the U.S. Army

Freedom of Information/Privacy Act Office, Suite 201, 1725 Jefferson Davis Highway, Arlington, Virginia 22202-4102.

(2) Public Affairs Offices may release information determined to

have legitimate news value, such as notices of personnel reassignments to new units or installations within the continental United

States, results of selection/promotion boards, school graduations/

completions, and awards and similar personal achievements. They

may release the names and duty addresses of key officials, if such

release is determined to be in the interests of advancing official

community relations functions.

5–102. 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 paragraphs 1-

505 and 5-103). 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.

5–103. Privileged Release to Officials

a. Subject to DoD 5200.l-R (reference (h)), and AR 380-5, applicable to classified information, DoD Directive 5400.11 (reference

(d)), and AR 340-21, applicable to personal privacy, or other applicable law, records exempt from release under Chapter III, Section 2

of this Regulation may be authenticated and released, without requiring release to other FOIA requesters, in accordance with DoD

Component regulations, to U.S. Government officials requesting

them on behalf of Federal governmental bodies, whether legislative,

executive, administrative, or judicial, as follows:

(1) To a Committee or Subcommittee of Congress, or to either

House sitting as a whole in accordance with DoD Directive 5400.4

(reference (n)). The Army implementing directive is AR 1-20. Commanders or chiefs will notify the Chief of Legislative Liaison of all

releases of information to members of Congress or staffs of congressional committees. Organizations that in the normal course of busin e s s a r e r e q u i r e d t o p r o v i d e i n f o r m a t i o n t o C o n g r e s s m a y b e

excepted. Handle requests by members of Congress (or staffs of

congressional committees) for inspection of copies of official records as follows:

(a) National security classified records. Follow AR 380-5.

(b) Civilian personnel records. Members of Congress may examine official personnel folders as permitted by 5 CFR 297.503(i).

(c) Information related to disciplinary action. This subparagraph

refers to records of trial by courts-martial; nonjudicial punishment

of military personnel under the Uniform Code of Military Justice,

Article 15; nonpunitive measures such as administrative reprimands

and admonitions; suspensions of civilian employees; and similar

documents. If the Department of the Army has specific instructions

on the request, the following instructions will apply. Subordinate

commanders will not release any information without securing the

consent of the proper installation commander. The installation commander may release the information unless the request is for a

classified or “For Official Use Only” document. In that case the

commander will refer the request promptly to the Chief of Legislative Liaison (see (d) below) for action, including the recommendations of the transmitting agency and copies of the requested records

with the referral.

(d) Military personnel records. Only HQDA can release information from these records. Custodians will refer all requests from

Congress directly and promptly to the Chief of Legislative Liaison,

Department of the Army, HQDA (SALL) WASH DC 20310-1600.

(e) Criminal investigation records. Only the Commanding General, U.S. Army Criminal Investigation Command (USACIDC), can

release any USACIDC-originated criminal investigation file. For

further information, see AR 195-2.

(f) Other exempt records. Commanders or chiefs will refer requests for all other categories of exempt information under paragraph 3-200 directly to the Chief of Legislative Liaison per (d)

above. They will include a copy of the material requested and, as

appropriate, recommendations concerning release or denial.

(g) All other records. The commander or chief with custody of

the records will furnish all other information promptly.

(2) To the Federal courts, whenever ordered by officers of the

court as necessary for the proper administration of justice.

(3) To other Federal Agencies, both executive and administrative,

as determined by the head of a DoD Component or designee.

(a) Disciplinary actions and criminal investigations. Requests for

access to, or information from, the records of disciplinary actions or

criminal investigations will be honored if proper credentials are

presented. Representatives of the Office of Personnel Management

may be given information from personnel files of employees actually employed at organizations or activities. Each such request will

be considered on its merits. The information released will be the

m i n i m u m r e q u i r e d i n c o n n e c t i o n w i t h t h e i n v e s t i g a t i o n b e i n g

conducted.

(b) Other types of requests. All other official requests received by

DA elements from agencies of the executive branch (including other

military departments) will be honored, if there are no compelling

reasons to the contrary. If there are reasons to withhold the records,

the requests will be submitted for determination of the propriety of

release to the appropriate addresses shown in appendix B.

(4) To State and local officials, as determined by the head of a

DoD Component or designee.

b . D o D C o m p o n e n t s s h a l l i n f o r m o f f i c i a l s r e c e i v i n g r e c o r d s

under the provisions of subparagraph 5-103a that those records are

exempt from public release under the FOIA and are privileged.

DOD Components shall also advise officials of any special handling

instructions.

5–104. Required coordination

Before forwarding a FOIA request to an IDA for action, records

custodians will obtain an opinion from their servicing judge advocate concerning the releasability of the requested records. A copy of

that legal review, the original FOIA request, two copies of the

requested information (with one copy clearly indicating which portions are recommended for withholding, which FOIA exemptions

support such withholding, and which portions, if any, have already

been released), a copy of the interim response acknowledging receipt and notifying the requester of the referral to the IDA, and a

cover letter containing a telephone point of contact will be forwarded to the IDA with the command’s recommendation to deny a

request in whole or in part.

14 AR 25–55 • 1 November 1997
Section 2

Initial Determinations

5–200. Initial Denial Authority

a. 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. The DA officials in paragraph d below are

designated as the Army’s only IDAs. Only an IDA, his or her

delegate, or the Secretary of the Army can deny FOIA requests for

DA records. Each IDA will act on direct and referred requests for

records within his or her area of functional responsibility. (See the

proper AR in the 10 series for full discussions of these areas; they

are outlined in d below.) Included are records created or kept within

the IDA’s area of responsibility; records retired by, or referred to,

the IDA’s headquarters or office; and records of predecessor organizations. If a request involves the areas of more than one IDA, the

IDA to whom the request was originally addressed will normally

respond to it; however, the affected IDAs may consult on such

requests and agree on responsibility for them. IDAs will complete

all required coordination at initial denial level. This includes classified records retired to the National Archives and Records Administration when a mandatory declassification review is necessary.

b. The initial determination of whether to make a record available or grant a fee waiver 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 this regulation is applicable and should be invoked. IDAs

may delegate all or part of their authority to an office chief or

subordinate commander. Such delegations must not slow FOIA actions. If an IDA’s delegate denies a FOIA or fee waiver request, the

delegate must clearly state that he or she is acting for the IDA and

identify the IDA by name and position in the written response to the

requester. IDAs will send the names, offices, and telephone numbers

of their delegates to the U.S. Army Freedom of Information/Privacy

Act (FOIA/PA) Office, Suite 201, 1725 Jefferson Davis Highway,

Arlington, Virginia, 22202-4102. IDAs will keep this information

current.

c. 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

appears that the withholding action may be challenged in the media.

A FOIA release or denial action, appeal, or court review may generate public or press interest. In such case, the IDA (or delegate)

should consult the Chief of Public Affairs or the command or

organization PAO. The IDA should inform the PAO contacted of

the issue and obtain advice and recommendations on handling its

public affairs aspect. Any advice or recommendations requested or

obtained should be limited to this aspect. Coordination must be

completed within the 10 day FOIA response limit. (The point of

contact for the Army Chief of Public Affairs is HQDA (SAPAOSR), WASH DC 20310-1500; telephone, DSN 227- 4122 or commercial (703) 697-4122.) If the request involves actual or potential

litigation against the United States, release must be coordinated with

The Judge Advocate General. (See para 5-101e.)

d. The following officials are designated IDAs for the areas of

responsibility outlined below:

(1) The Administrative Assistant to the Secretary of the Army is

authorized to act for the Secretary of the Army on requests for all

records maintained by the Office of the Secretary of the Army and

its serviced activities, except those specified in (2) through (6)

below, as well as requests requiring the personal attention of the

Secretary of the Army.

(2) The Assistant Secretary of the Army (Financial Management

and Comptroller) is authorized to act on requests for finance and

accounting records.

Note. Requests for CONUS finance and accounting records should be referred to the Defense Finance and Accounting Service (DFAS).

(3) The Assistant Secretary of the Army (Research, Development, and Acquisition) is authorized to act on requests for procurement records other than those under the purview of the Chief of

Engineers and the Commander, U.S. Army Materiel Command.

(4) The Deputy Assistant Secretary of the Army (Civilian Personnel Policy)/Director of Civilian Personnel, Office of the Assista n t S e c r e t a r y o f t h e A r m y ( M a n p o w e r a n d R e s e r v e A f f a i r s ) i s

authorized to act on requests for civilian personnel records, personnel administration and other civilian personnel matters. The Deputy

Assistant Secretary of the Army (Civilian Personnel Policy)/Director

of Civilian Personnel has delegated this authority to the Chief,

Policy and Program Development Division.

(5) The Director of Information Systems for Command, Control,

Communications, and Computers (DISC4) is authorized to act on

requests for records pertaining to the Army Information Resources

Management Program.

(6) The Inspector General is authorized to act on requests for all

Inspector General Records.

(7) The Auditor General is authorized to act on requests for

records relating to audits done by the U.S. Army Audit Agency

under AR 10-2. This includes requests for related records developed

by the Audit Agency.

(8) The Deputy Chief of Staff for Operations and Plans is authorized to act on requests for records relating to strategy formulation;

force development; individual and unit training policy; strategic and

tactical command and control systems; nuclear and chemical matters; use of DA forces; and military police records and reports,

prisoner confinement, and correctional records.

(9) The Deputy Chief of Staff for Personnel is authorized to act

on requests for case summaries, letters of instruction to boards,

behavioral science records, general education records, and alcohol

and drug prevention and control records. Excluded are individual

treatment/test records, which are a responsibility of The Surgeon

General.

(10) The Deputy Chief of Staff for Logistics is authorized to act

on requests for records relating to DA logistical requirements and

determinations, policy concerning materiel maintenance and use,

equipment standards, and logistical readiness.

(11) The Chief of Engineers is authorized to act on requests for

records involving civil works, military construction, engineer procurement, and ecology; and the records of the U.S. Army Engineer

divisions, districts, laboratories, and field operating agencies.

(12) The Surgeon General is authorized to act on requests for

medical research and development records, and the medical records

of active duty military personnel, dependents, and persons given

physical examination or treatment at DA medical facilities, to include alcohol and drug treatment/test records.

(13) The Chief of Chaplains is authorized to act on requests for

records involving ecclesiastical relationships, rites performed by DA

chaplains, and nonprivileged communications relating to clergy and

active duty chaplains’ military personnel files.

(14) The Judge Advocate General (TJAG) is authorized to act on

requests for records relating to claims, courts-martial, legal services,

and similar legal records. TJAG is also authorized to act on requests

for records described elsewhere in this regulation, if those records

relate to litigation in which the United States has an interest. In

addition, TJAG is authorized to act on requests for records that are

not within the functional areas of responsibility of any other IDA.

(15) The Chief, National Guard Bureau, is authorized to act on

requests for all personnel and medical records of retired, separated,

discharged, deceased, and active Army National Guard military personnel, including technician personnel, unless such records clearly

fall within another IDA’s responsibility. This authority includes, but

is not limited to, National Guard organization and training files;

plans, operations, and readiness files; policy files; historical files;

files relating to National Guard military support, drug interdiction,

AR 25–55 • 1 November 1997 15
and civil disturbances; construction, civil works, and ecology records dealing with armories, facilities within the States, ranges, etc.;

Equal Opportunity investigative records; aviation program records

and financial records dealing with personnel, operation and maintenance, and equipment budgets.

(16) The Chief of Army Reserve is authorized to act on requests

for all personnel and medical records of retired, separated, discharged, deceased, and reserve component military personnel, and

all U.S. Army Reserve (USAR) records, unless such records clearly

fall within another IDA’s responsibility. Records under the responsibility of the Chief of Army Reserve include records relating to

USAR plans, policies, and operations; changes in the organizational

status of USAR units; mobilization and demobilization policies;

active duty tours; and the Individual Mobilization Augmentation

program.

(17) The Commander, United States Army Materiel Command

(AMC) is authorized to act on requests for the records of AMC

headquarters and to subordinate commands, units, and activities that

relate to procurement, logistics, research and development, and supply and maintenance operations.

(18) The Commander, USACIDC, is authorized to act on requests for criminal investigative records of USACIDC headquarters

and its subordinate activities. This includes criminal investigation

r e c o r d s , i n v e s t i g a t i o n - i n - p r o g r e s s r e c o r d s , a n d m i l i t a r y p o l i c e

reports that result in criminal investigation reports.

(19) The Commander, United States Total Army Personnel Command, is authorized to act on requests for military personnel files

relating to active duty (other than those of reserve and retired personnel) military personnel matters, personnel locator, physical disability determinations, and other military personnel administration

records; records relating to military casualty and memorialization

activities; heraldic activities; voting; records relating to identification cards; naturalization and citizenship; commercial solicitation;

Military Postal Service Agency and Army postal and unofficial mail

service.

(20) The Assistant Chief of Staff for Installation Management

(ACSIM) is authorized to act on requests for records relating to

planning, programming, execution and operation of Army installations. This includes base realignment and closure activities; environm e n t a l a c t i v i t i e s o t h e r t h a n l i t i g a t i o n ; f a c i l i t i e s a n d h o u s i n g

activities; and installation management support activities. The ACSIM has delegated to the Commander, Community and Family Support Center, authority to act on requests for records relating to

morale, welfare, and recreation activities; non-appropriated funds,

child development centers, community life programs, family action

programs; retired activities; club management; Army Emergency

Relief; consumer protection; retiree survival benefits; and records

dealing with DA relationships with Social Security, Veterans Aff a i r s , U n i t e d S e r v i c e O r g a n i z a t i o n , U . S . S o l d i e r s a n d A i r m e n s

Home, and American Red Cross.

(21) The Commander, United States Army Intelligence and Security Command, is authorized to act on requests for intelligence

investigation and security records, foreign scientific and technological information, intelligence training, mapping and geodesy information, ground surveillance records, intelligence threat assessment, and

missile intelligence data relating to tactical land warfare systems.

(22) The Commander, U.S. Army Safety Center, is authorized to

act on requests for Army safety records.

(23) The General Counsel, Army and Air Force Exchange Service (AAFES), is authorized to act on requests for AAFES records,

under AR 60-20/AFR 147-14.

(24) The Commander, Forces Command (FORSCOM), as a specified commander, is authorized to act on requests for specified

command records that are unique to FORSCOM under paragraph 1-

510.

(25) Special IDA authority for time-event related records may be

designated on a case-by-case basis. These will be published in the

Federal Register. Current information on special delegations may be

obtained from the U.S. Army Freedom of Information/Privacy Act

Office, Suite 201, 1725 Jefferson Davis Highway, Arlington, VA

22202-4102.

5–201. Reasons for Not Releasing a Record

There are seven reasons for not complying with a request for a

record:

a. The request is transferred to another DoD Component, or to

another federal agency.

b. The DOD component determines through knowledge of its

files and reasonable search efforts that it neither controls nor otherwise possesses the requested record.

c. A record has not been described with sufficient particularity to

enable the DoD Component to locate it by conducting a reasonable

search.

d. The requester has failed unreasonably to comply with procedural requirements, including payment of fees, imposed by this

regulation or DoD Component supplementing regulations.

e. The request is withdrawn by the requester.

f. The information requested is not a record within the meaning

of the FOIA and this Regulation.

g. The record is denied in accordance with procedures set forth in

the FOIA and this Regulation.

5–202. Denial Tests

To deny a requested record that is in the possession or control of a

DoD Component, it must be determined that the record is included

in one or more of the nine categories of records exempt from

mandatory disclosure as provided by the FOIA and outlined in

Chapter III of this regulation.

5–203. 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. When a

record is denied in whole, the response advising the requester of that

determination will specifically state that it is not possible to reasonably segregate portions of the records for release. (See para 1-504b

for excising guidance.)

5–204. Response to Requester

a. Initial determinations to release or deny a record normally

shall be made and the decision reported to the requester within l0

working days after receipt of the request by the official designated

to respond. The action office/command holding the records will date

and time-stamp each request on receipt. The 10-day limit will start

from the date stamped.

b. 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.

c. 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. When the

initial denial is based in whole or in part on a security classification,

the explanation should include a summary of the applicable 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. The IDA will inform the

requester of his or her right to appeal, in whole or part, the denial of

the FOIA or fee waiver request and that the appeal must be sent

through the IDA to the Secretary of the Army (ATTN: General

Counsel). (See para 5-300.)

d. The response to the requester should contain information concerning the fee status of the request, consistent with the provisions

16 AR 25–55 • 1 November 1997
of Chapter VI, this Regulation. Generally, the information shall

reflect one or more of the following conditions:

(1) All fees due have been received.

(2) Fees have been waived because they fall below the automatic

fee waiver threshold.

(3) Fees have been waived or reduced from a specified amount to

another specified amount because the rationale provided in support

of a request for waiver was accepted.

(4) A request for waiver has been denied.

(5) Fees due in a specified amount have not been received.

e. The explanation of the substantive basis for a denial shall

include specific citation of the statutory exemption applied under

provisions of this regulation. Merely referring to a classification or

to a “For Official Use Only” marking on the requested record does

not constitute a proper citation or explanation of the basis for invoking an exemption.

f. 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.

5–205. Extension of Time

a. In unusual circumstances, when additional time is needed to

respond, the DoD Component shall acknowledge the request in

writing within the 10 day period, describe the circumstances requiring the delay, and indicate the anticipated date for substantive response that may not exceed 10 additional working days. Unusual

circumstances that may justify delay are:

(1) The requested record is located in whole or in part at places

other than the office processing the request.

(2) The request requires the collection and evaluation of a substantial number of records.

( 3 ) C o n s u l t a t i o n i s r e q u i r e d w i t h o t h e r D o D C o m p o n e n t s o r

agencies having substantial interest in the subject matter to determine whether the records requested are exempt from disclosure in

whole or in part under provisions of this regulation or should be

released as a matter of discretion.

b. The statutory extension of time for responding to an initial

request must be approved on a case-by-case basis by the final

appellate authority for the DoD Component, or in accordance with

regulations of the DoD Component, or in accordance with regulations of the DoD Component that establish guidance governing the

circumstances in which such extensions may be granted. The time

may be extended only once during the initial consideration period.

Only the responsible IDA can extend it, and the IDA must first

coordinate with the Office of the Army General Counsel.

c. In these unusual 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 notification that he or she

may treat the delay as an initial denial with a right to appeal, or

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. Components are reminded that the requester still retains the right to treat this delay as a defacto denial with

full administrative remedies.

d. As an alternative to the taking of formal extensions of time as

described in subparagraphs 5-205, a., b., and c., above, the negotiation by the cognizant FOIA coordinating office of informal extensions in time with requesters is encouraged where appropriate.

5–206. Misdirected Requests

Misdirected requests shall be forwarded promptly to the DoD Component 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.

5–207. Records of Non-U.S. Government Source

a. When a request is received for a record 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

USC 552 (reference (a)) Exemption (b) (4)) (Chapter III, section 2,

paragraph 3-200, Number 4., and reference (ee), this Regulation)

will 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 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).

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

s h a l l b e e v a l u a t e d . T h e f i n a l d e c i s i o n t o d i s c l o s e i n f o r m a t i o n

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.

b. The coordination provisions of this paragraph also apply to

any non-U.S. Government record in the possession and control of

the Department of Defense from multi-national organizations, such

as the North American Treaty Organization (NATO) and North

American Aerospace Defense Command (NORAD), or foreign governments. Coordination with foreign governments under the provisions of this paragraph shall be made through Department of State.

5–208. 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 will be maintained in accordance with AR 25-400-2.

5–209. Special Mail Services

DoD 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.

5–210. Receipt Accounts

The Treasurer of the United States has established two accounts for

FOIA receipts. These accounts, which are described below, shall be

u s e d f o r d e p o s i t i n g a l l F O I A r e c e i p t s , e x c e p t r e c e i p t s f o r i n -

dustrially funded and non-appropriated funded activities. Compon e n t s a r e r e m i n d e d t h a t t h e b e l o w a c c o u n t n u m b e r s m u s t b e

preceded by the appropriate disbursing office two digit prefix. Industrially-funded and nonappropriated funded activity FOIA receipts

shall be deposited to the applicable fund.

a. Receipt Account 3210 Sale of Publications and Reproductions,

Freedom of Information Act. 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. Deliver collections within 30

calendar days to the servicing finance and accounting office.

b. Receipt Account 3210 Fees and Other Charges for Services,

Freedom of Information Act. 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.

AR 25–55 • 1 November 1997 17
Section 3

Appeals

5–300. General

a. If the Initial Denial Authority (IDA) declines to provide a

record because the IDA considers it exempt, 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 request for waiver or reduction of fees, and

for no record determinations when the requester considers such a

response adverse in nature. A requester must be advised that a “no

record” response may be considered to be adverse, and if so interpreted, may be appealed using normal appeal procedures. An additional records search shall be conducted and certified, based on the

receipt of an appeal to a “no record” response. Should the second

search still not produce any records responsive to the request, a fee

may be assessed based on compliance with fee assessment rules in

paragraph 6-104. Appeals of denials of Office of the Secretary of

Defense and Joint Staff documents or fee waivers may be sent to the

address in Appendix B, paragraph 2a.

b. Appeals of adverse determinations from denial of records or

“no record” determination, received by Army IDAs must be forwarded through the denying IDA to the Secretary of the Army

(ATTN: General Counsel). On receipt of an appeal, the IDA will—

(1) Send the appeal to the Office of the Secretary of the Army,

Office of the General Counsel, together with a copy of the documents that are the subject of the appeal, marked to show the port i o n s w i t h h e l d ; t h e i n i t i a l d e n i a l l e t t e r ; a n d a n y o t h e r r e l e v a n t

material.

(2) Assist the General Counsel as requested during his or her

consideration of the appeal.

c. Appeals of denial of records made by the General Counsel,

AAFES, shall be made to the Secretary of the Army when the

Commander, AAFES, is an Army officer.

5–301. 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.

5–302. Time Limits

a. The requester shall be advised to file an appeal so that it

reaches the appellate authority no later than 60 calendar days after

the date of the initial denial letter. At the conclusion of this period,

the case may be considered closed; however, such closure does not

preclude the requester from filing litigation. In cases where the

requester is provided several incremental determinations for a single

request, the time for the appeal shall not begin until the requester

receives the last such notification. Records which are denied shall

be retained for a period of 6 years to meet the statute of limitations

of claims requirement.

b. Final determinations on appeals normally shall be made within

20 working days after receipt.

5–303. Delay in Responding to an Appeal

a. If additional time is needed due to the unusual circumstances

described in 5-205, 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.

b. 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 paragraph 5-205, 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, whether or not the requester seeks a court

order for release of the records, but a copy of any response provided

subsequent to filing of a complaint shall be forwarded to the Department of Justice.

5–304. Response to the Requester

a. When an appellate authority makes a determination to release

all or a portion of records withheld by an IDA, a copy of the records

so released should be forwarded promptly to the requester after

compliance with any preliminary procedural requirements, such as

payment of fees.

b. Final refusal to provide a requested record or to approve a

request for waiver or reduction of fees must be made in writing by

the head of the DoD Component or by a designated representative.

The response, at a minimum, shall include the following:

(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 this Regulation.

(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.

(3) The final denial shall include the name and title or position of

the official responsible for the denial.

(4) The response shall advise the requester that the material being

denied does not contain meaningful portions that are reasonably

segregable.

(5) The response shall advise the requester of the right to judicial

review.

5–305. Consultation

a. 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 Office of the General Counsel of the Department of

Defense.

b. Tentative decisions to deny records that raise new or significant legal issues of potential significance to other agencies of the

government shall be provided to the Department of Justice, ATTN:

Office of Legal Policy, Office of Information and Policy, Washington, DC 20530.

Section 4

Judicial Actions

5–400. General

a. 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

D e p a r t m e n t o f D e f e n s e t o p a r t i c u l a r j u d i c i a l i n t e r p r e t a t i o n s o r

procedures.

b. A requester may seek an order from a United States 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.

5–401. Jurisdiction

The requester may bring suit in the United States District Court in

the district in which the requester resides or is the requester’s place

of business, in the district in which the record is located, or in the

District of Columbia.

5–402. 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

18 AR 25–55 • 1 November 1997
(anew) and may elect to examine any requested record in camera (in

private) to determine whether the denial was justified.

5–403. Actions by the Court

a. When a DoD Component has failed to make a determination

within the statutory time limits but can demonstrate due diligence in

exceptional circumstances, the court may retain jurisdiction and

allow the Component additional time to complete its review of the

records.

b. 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.

c. When the court orders the release of denied records, it may

also 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 Systems 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.

d. 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.

5–404. 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 non-government 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.

5–405. Litigation Status Sheet

FOIA managers at 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. The Litigation Status Sheet at Appendix C provides a standard

format for recording information concerning FOIA litigation and

forwarding that information to the Office of the Secretary of Defense. Whenever a complaint under the FOIA is filed in a U.S.

District Court, the DoD Component named in the complaint shall

forward a Litigation Status Sheet, with items l through 6 completed,

and a copy of the complaint to the OASD(PA), ATTN: DFOISR,

with an information copy to the General Counsel, Department of

Defense, ATTN: Office of Legal Counsel. A revised Litigation

Status Sheet shall be provided at each stage of the litigation. In the

Department of the Army, HQDA TJAG (DAJA-LT), WASH D.C.

20310-2210 is responsible for preparing this report.

Chapter VI

Fee Schedule

Section 1

General Provisions

6–100. Authorities

The Freedom of Information Act (5 USC 552), as amended; by the

Freedom of Information Reform Act of 1986; the Paperwork Reduction Act (44 USC 35); the Privacy Act of 1974 (5 USC 552a); the

Budget and Accounting Act of 1921 (31 USC 1 et. seq.); the Budget

and Accounting Procedures Act (31 USC 67 et. seq.); the Defense

A u t h o r i z a t i o n A c t f o r F Y 8 7 , S e c t i o n 9 5 4 , ( P . L . 9 9 - 6 6 1 ) , a s

amended by the Defense Technical Corrections Act of 1987 (P.L.

100-26).

6–101. Application

a. 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. 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 Instruction 7230.7 (reference (r)) (AR 37-60), 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

USC 552 (a)(4)(A)(vi)) 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.

b. 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 Section 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.

c. The term “search” includes all time spent looking 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 document 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 subparagraph 6-101e, for the

definition of review, and subparagraph 6-201b, for information pertaining to computer searches.

d. The term “duplication” refers to the process of making a copy

of a document in response to an FOIA request. Such copies can take

the form of paper copy, microfiche, audiovisual, or machine readab l e d o c u m e n t a t i o n ( e . g . , m a g n e t i c t a p e o r d i s c ) , a m o n g o t h e r s .

Every effort will be made to ensure that the copy provided is in a

form that is reasonably usable by requesters. If it is not possible to

provide copies which are clearly usable, the requester shall be notified that their copy 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.

e. 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

AR 25–55 • 1 November 1997 19
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 withheld in full under an exemption which 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.

6–102. Fee Restrictions

a. 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.

b. 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 Compon e n t s h a l l i n f o r m t h e r e c i p i e n t o f t h e r e f e r r a l o f t h e e x p e n d e d

amount of search time and duplication cost to date.

c. 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.

d. 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.

e. 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 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.

6–103. Fee Waivers

a. Documents shall be furnished without charge, or at a charge

reduced below fees assessed to the categories of requesters in paragraph 6-104 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.

b. When assessable costs for a FOIA request total $15.00 or less,

fees shall be waived automatically for all requesters, regardless of

category.

c. 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:

(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.”

( i ) T h e s u b j e c t o f t h e r e q u e s t . C o m p o n e n t s s h o u l d a n a l y z e

whether the subject matter of the request involves issues which 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. 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.

(ii) 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 which 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 heavily redacted

record, 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.

(iii) 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 indigency are insufficient without demonstrating the capacity to further disclose the information in a manner

which 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.

(iv) 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 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

t h e i s s u e . C o m p o n e n t s s h a l l n o t m a k e v a l u e j u d g m e n t s a s t o

whether the information is important enough to be made public.

(2) Disclosure of the information “is not primarily in the commercial interest of the requester.”

(i) The existence and magnitude of a commercial interest. If the

request is determined to be of a commercial interest, Components

20 AR 25–55 • 1 November 1997
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 paragraph 6-104, below, apply. Components are reminded

that in order to apply the commercial standards of the FOIA, the

requester’s commercial benefits must clearly override any personal

or non-profit interest.

(ii) 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.

d. Components are reminded that the above factors and examples

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.

e. In addition, the following additional circumstances describe

situations where waiver or reduction of fees are most likely to be

warranted:

(1) A record is voluntarily created to preclude an otherwise burdensome effort to provide voluminous amounts of available records,

including additional information not requested.

(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).

6–104. Fee Assessment

a. Fees may not be used to discourage requesters, and to this end,

FOIA fees are limited to standard charges for direct document

s e a r c h , r e v i e w ( i n t h e c a s e o f c o m m e r c i a l r e q u e s t e r s ) a n d

duplication.

b. 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:

(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 will:

(i) Notify the requester that he should 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 determinat i o n , t o i n c l u d e n o r m a l a d m i n i s t r a t i v e a p p e a l r i g h t s o f t h e

determination.

( i i ) A d v i s e t h e r e q u e s t e r t h a t , n o t w i t h s t a n d i n g a n y a p p e a l , a

search for responsive records will not be initiated until the requester

indicates a willingness to pay assessable costs appropriate for the

category determined by the Component.

(2) Requesters must submit a fee declaration appropriate for the

below categories.

(i) Commercial. Requesters must indicate a willingness to pay all

search, review and duplication costs.

(ii) Educational or Noncommercial Scientific Institution or News

Media. Requesters must indicate a willingness to pay duplication

charges in excess of 100 pages if more than 100 pages of records

are desired.

(iii) All Others. Requesters must 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.

(3) If the above conditions are not met, then the request need not

be processed and the requester shall be so informed.

(4) In the situations described by subparagraphs 6-104, b.1. and

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 Component estimates exceed the actual

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.

(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.

(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 of

requesters with no history of payment.

(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

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 USC 3717 (reference (ff)), and confirmed with

respective Finance and Accounting Offices.

(8) After all work is completed on a request, and the documents

are ready for release, Components may request payment prior to

forwarding the documents if there is no payment history on the

requester, or if the requester has previously failed 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 provisions of subparagraph 6-

104, b.7., above, apply. Components may not hold documents ready

f o r r e l e a s e p e n d i n g p a y m e n t f r o m r e q u e s t e r s w i t h a h i s t o r y o f

prompt payment.

(9) When Components act under subparagraphs 6-104, 1 through

7, above, the administrative time limits of the FOIA (i.e., 10 working days from receipt of initial requests, and 20 working days from

receipt of appeals, plus permissible extensions of these time limits)

will begin only after the Component has received a willingness to

pay fees and satisfaction as to category determination, or fee payments (if appropriate).

(10) Components may charge for time spent searching for records, even if that search fails to locate records responsive to the

AR 25–55 • 1 November 1997 21
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.

c. 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 para 1-507).

(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 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.

(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.

d. 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 record sought (see para 1-507).

The term “educational institution” refers to a pre-school, a public or

private elementary or secondary school, an institution of graduate

higher 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.

e. 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 para 1-507). The term “non-commercial scientific institution” refers to an institution that is not operated on a “commercial” basis as defined in subparagraph 6-104c, above, and which is

operated solely for the purpose of conducting scientific research, the

results of which are not intended to promote any particular product

or industry.

f . C o m p o n e n t s s h a l l p r o v i d e d o c u m e n t s t o r e q u e s t e r s i n s u b -

paragraphs 6-104, d. and e., 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 noncommercial scientific institution) research.

g. 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 para 1-507).

(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 through that organization, even though 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.

(2) To be eligible for inclusion in this category, a requester must

meet the criteria in subparagraph 6-104g(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, and entitled to records at the cost of

reproduction alone (excluding charges for the first 100 pages).

(3) The phrase “representatives of the news media” does not

include private libraries, private repositories of Government records,

or middlemen, such as information vendors or data brokers.

h. All Other Requesters. Components shall charge requesters who

do not fit into any of the above categories, 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 para 1-507). Requests from subjects

about themselves will continue to be treated under the fee provisions

of the Privacy Act of 1974 (reference (gg)), 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 subparagraph 6-103, a., above. (See also subparagraph 6-104,

c . 2 . ) D D F o r m 2 0 8 6 ( R e c o r d o f F r e e d o m o f I n f o r m a t i o n ( F O I )

Processing Cost) will be used to annotate fees for processing FOIA

i n f o r m a t i o n . T h e f o r m i s a v a i l a b l e t h r o u g h n o r m a l p u b l i c a t i o n s

channels.

6–105. 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

22 AR 25–55 • 1 November 1997
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.

6–106. Effect of the Debt Collection Act of 1982 (P.L. 97-

365)

The Debt Collection Act of 1982 (P.L. 97-365) 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 USC

3717 (reference (ff)). 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 the Debt Collection Act of 1982.

6–107. 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.

Section 2

Collection of Fees and Fee Rates

6–200. 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 para 6-104).

6–201. Search Time

a. Manual Search

Table 6–1

Hourly

Type Grade Rate

Clerical E9/GS8 and below $12

Professional 01-06/GS9-GS/GM15 $25

Executive 07/GS/GM16/ES1 and above $45

b. Computer Search. Computer search is based on direct cost of

the central processing unit, input-output devices, and memory capacity of the actual computer configuration. The salary scale (equati n g t o p a r a a . a b o v e ) f o r t h e c o m p u t e r o p e r a t o r / p r o g r a m m e r

determining how to conduct and subsequently executing the search

will be recorded as part of the computer search.

6–202. Duplication

Table 6–2

Type Cost per Page

Pre-Printed material 2 cents

Office copy 15 cents

Table 6–2

—Continued

Type Cost per Page

Microfiche 25 cents

Computer copies (tapes or print- Actual cost of duplicating the tape

outs) or printout (includes operator’s

time and cost of the tape)

6–203. Review Time (in the case of commercial

requesters)

Table 6–3

Hourly

Type Grade Rate

Clerical E9/GS8 and below $12

Professional 01-06/GS9-GS15 $25

Executive 07/GS16/ES1 and above $45

6–204. 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. Army

audiovisual materials are referred to as “visual information.”

6–205. Other Records

Direct search and duplication cost for any record not described

above shall be computed in the manner described for audiovisual

documentary material.

6–206. 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:

a. Certifying that records are true copies.

b. Sending records by special methods such as express mail, etc.

Section 3

Collection of Fees and Fee Rates for Techical Data

6–300. Fees for Technical Data

a. 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 the 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

AR 25–55 • 1 November 1997 23
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 cost 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 2 of this Chapter for

other types of information released under the FOIA. DD Form

2086-1 (Record of Freedom of Information (FOI) Processing Cost

for Technical Data) will be used to annotate fees for technical data.

The form is available through normal publications channels.

b. Waiver. Components shall waive the payment of costs required in subparagraph 6-300a, above, which are greater than the

costs that would be required for release of this same information

under Section 2 of this Chapter if:

(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;

(2) The release of technical data is requested in order to comply

with the terms of an international agreement; or,

(3) The Component determines in accordance with subparagraph

6-103a., that such a waiver is in the interest of the United States.

c. Fee Rates.

(1) Search Time

(i) Manual Search

Table 6–4

Hourly

Type Grade Rate

Clerical E9/GS8 and below $13.25

(Minimum $8.30

Charge)

Notes:

1 Professional and Executive (To be established at actual hourly rate prior to

search. A minimum charge will be established at 1/2 hourly rates.)

(ii) 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 6-300, c.1.(i), 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.

(2) Duplication

Table 6–5

Type Cost

Aerial photographs, specifications, permits, charts, $2.50

blueprints, and other technical documents.

Engineering data (microfilm)

a. Aperture cards

(i) Silver duplicate negative, per card $.75

When key punched and verified, per card $.85

(ii) Diazo duplicate negative, per card $.65

When key punched and verified, per card $.75

Table 6–5

—Continued

Type Cost

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

(3) Review Time

Table 6–6

Hourly

Type Grade Rate

Clerical E9/GS8 and below $13.25

(Minimum $8.30

Charge)

Notes:

1 Professional and Executive (To be established at actual hourly rate prior to review. A minimum charge will be established at 1/2 hourly rates.)

d. Other Technical Data Records. Charges for any additional

services not specifically provided in subparagraph 6-300, c., above,

consistent with DoD Instruction 7230.7 (reference (r)), shall be

made by Components at the following rates:

Table 6–7

Type Cost

1. Minimum charge for office copy (up to six im- $3.50

ages)

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 $12.00

fraction thereof

Chapter VII

Reports

Section 1

Reports Control

7–100. General

T h e r e p o r t i n g r e q u i r e m e n t o u t l i n e d i n t h i s C h a p t e r i s a s s i g n e d

Report Control Symbol DD-PA(A)1365. Prepare the annual report

using DD Form 2564 (see fig 7-1).

7–200. Reporting Time

Each DA IDA shall prepare statistics and accumulate paperwork for

the preceding calendar year on those items prescribed for the annual

report. The IDAs will follow guidelines below and submit the information to the Department of the Army, Freedom of Information and

Privacy Acts Office, 1725 Jefferson Davis Highway, Suite 201,

Arlington, VA 22202-4102 by the fifteenth day of each January.

a. Each reporting activity will submit the information requested

24 AR 25–55 • 1 November 1997
in figure 7-1 to its IDA. Data will be collected throughout the year

on DD Form 2086.

b. Each IDA will submit the information requested in figure 7-1,

excluding items 4 through 8.

c. The Judge Advocate General (DAJA) will submit the information requested in figure 7-1, item 7.

d. The General Counsel (SAGC) will submit the information

requested in figure 7-1, items 4 through 6.

e. The Department of the Army, Freedom of Information/Privacy

Acts Office will compile the data submitted in the Department of

the Army’s Annual Report. This report will be submitted to the

Office of the Assistant Secretary of Defense (Public Affairs) on or

before the 1st day of each February.

7–201. Annual Report Content

The following instructions and attached format shall be used in

preparing the annual report (see fig 7-1):

1. ITEM 1

a. Total requests. Enter the total number of FOIA responses completed during the calendar year. This number will be less than or

equal to 1f below.

b. Granted in Full. Enter the total number of FOIA requests

responded to and granted in full during the calendar year. (This may

include requests granted by your office, yet still requiring action by

another office).

c. Denied in Part. Enter the number of FOIA requests responded

to and denied in part based on one or more of the nine FOIA

exemptions. (Do not report denial of fee waivers).

d. Denied in Full. Enter the total number of FOIA requests responded to and denied in full based on one or more of the nine

FOIA exemptions. (Do not report denial of fee waivers).

e. “Other Reason” Responses. Enter the total number of FOIA

requests in which you were unable to provide all or part of the

requested information based on an “Other Reason” response. Item

2.c. below explains the six possible “Other Reasons” .

f. Total Actions. Enter the total number of FOIA actions taken

during the calendar year. This number will be the sum of 1b through

1e above and greater than or equal to 1a, above since more than one

action may be taken on a single request.

2. ITEM 2

a. Exemptions Invoked on Initial Determinations. Identify 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 1c and 1d above.

b. Statutes Invoked on Initial Determinations. Identify the statute(s) cited and number of times invoked when you claimed a

“(b)(3)” exemption. The total number of instances will be equal to

the total in 2a above. Cite the specific sections when invoking the

Atomic Energy Act of 1954, or the National Security Act of 1947.

To qualify as a b(3) exemption, the statute must contain clear

wording that the information covered will not be disclosed. The

following examples are not b(3) statutes:

(1) 5 USC 552a - Privacy Act.

(2) 17 USC 101 et. seq. - Copyright Act.

(3) 18 USC 793 - Gathering, Transmitting or Losing Defense

Information.

(4) 18 USC 794 - Gathering or Delivering Defense Information

to Aid Foreign Governments.

(5) 18 USC 1905 - Trade Secrets Act.

(6) 18 USC 1498 - Patent and Copyright Cases.

c. “Other Reasons” Cited on Initial Determinations. Identify the

“Other reason” response cited when responding to an FOIA request

and enter the number of times each was claimed.

(1) Transferred Request. Enter the number of times a request was

t r a n s f e r r e d t o a n o t h e r D o D C o m p o n e n t o r F e d e r a l A g e n c y f o r

action.

(2) Lack of Records. Enter the number of times a search of files

failed to identify records responsive to subject request and there was

no statutory obligation to create a record.

(3) Failure of Requester to Reasonably Describe Record: Enter

the number of times an FOIA request could not be acted on since

t h e r e q u e s t e r f a i l e d t o r e a s o n a b l y d e s c r i b e t h e r e c o r d ( s ) b e i n g

sought.

(4) Other Failures by Requester to Comply with Published Rules

and/or Directives. Enter the number of times a requester failed to

follow published rules concerning time, place, fees, and procedures.

(5) Request Withdrawn by Requester. Enter the number of times

a requester withdrew a request and/or appeal.

(6) Not an Agency Record. Enter the number of times a requester

was provided a response indicating the requested information was

not an agency record.

(7) Total. Enter the sum of columns 1 through 6 above. The total

will be equal to or greater than Item 1.e., above, since more than

one reason may be claimed for each “Other Reason” response.

3. ITEM 3.

Initial Denial Authorities by Participation. Enter the name, rank (if

military), title, and activity of each individual who signed a partial

or total denial response and give the number of instances of participation. The total number of instances will equal the sum of 1c and

1d above. Show the individual’s full title and complete organization

(do not use acronyms or abbreviations, other than U.S. (See example in Figure 7-1.)

4. ITEM 4.

a. Total Requests. Enter the total number of FOIA appeals responded to during the calendar year. This number will be less than

or equal to 4f, below.

b. Granted in Full. Enter the total number of FOIA appeals responded to and granted in full during the year.

c. Denied in Part. Enter the total number of FOIA appeals responded to and denied in part based on one or more of the nine

exemptions.

d. Denied in Full. Enter the total number of FOIA appeals responded to and denied in full based on one or more of the nine

exemptions.

e. “Other Reason” Responses. Enter the total number of FOIA

appeals in which you were unable to provide the requested information based on Other Reason response. Item 2c above explains the six

possible Other Reasons.

f. Total Actions. Enter the total number of FOIA appeal actions

taken during the calendar year. This number will be the sum of 4b

and 4e above, and greater than or equal to 4a above, since more

than one action may be taken on a single appeal.

5. ITEM 5

a. Exemptions Invoked on Appeal Determinations: Identify 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 4c and 4d above.

b. Statutes Invoked on Appeal Determinations: Identify the statutes cited when you claimed a “(b)(3)” exemption. The total number

of instances will be equal to the total in 5(a) above. Cite the specific

sections when invoking the Atomic Energy Act of 1954 or the

National Security Act of 1947. To qualify as a b(3) exemption, the

statute must contain clear wording that the information covered will

not be disclosed. Examples which are not b(3) statutes are listed in

2b above.

c. Other Reasons Cited on Appeal Determinations: Identify the

“Other Reason” response cited when responding to an appeal and

enter the number of times each was claimed. See 2c above for

description of Other Reasons. This number will be the same as 4e

above.

6. ITEM 6

Appeal Denial Authorities by Participation.

Enter the name, rank (if military), title, and activity of each individual who signed a partial or total denial response and give the

number of instances of participation. The total number of instances

will equal the sum of 4c and 4d above. Show the full title and

complete organization (do not use acronyms or abbreviations, other

than U.S.). See Figure 7-1 for example.

7. ITEM 7

AR 25–55 • 1 November 1997 25
Court Opinions and Actions Taken. Briefly describe the results of

each suit The Judge Advocate General and/or the General Counsel

participated in during the calendar year. See example below:

Armed Forces Relief and Benefit Association v. Department of

Defense, Department of the Army, Department of the Air Force, and

Department of the Navy. C.A. 89-0689, U.S.D.C.D.C., March 15,

1 9 8 9 . P l a i n t i f f f i l e d s u i t f o r d e f e n d a n t ’ s r e f u s a l t o r e l e a s e s e r -

vicemen’s names and duty addresses. Information was held pursuant

to 5 USC 552(b)(2) and (b)(6). Plaintiff voluntarily dismissed suit

June 19, 1989.

8. ITEM

FOIA Implementation Rules or Regulations.

List all changes or revisions of FOIA rules or regulations affecting

the implementation of the FOIA Program, followed by the Federal

Register reference (volume number, date, and page) that announces

the change or revision to the public. Append a copy of each. See

example below:

DOD Regulation 5400.7-R “DOD Freedom of Information Act Program” - 32 CFR 286, Vol 54, No. 155, page 33190, 14 August

1989.

9. ITEM 9

Fees Collected from the Public. Enter the total amount of fees

received from the public during the calendar year. This includes

search, review, and reproduction costs only.

10. ITEM 10

a . A v a i l a b i l i t y o f R e c o r d s . R e p o r t a l l n e w c a t e g o r i e s o r

segregable positions of records now being released upon request.

b. FOIA Program Costs.

(1) Personnel Costs. Items (a) and (b) below are used to capture

manyears and salary costs of personnel primarily involved in planning, program management and/or administrative handling of FOIA

requests. Determine salaries for military personnel by using the

Composite Standard Pay Rates (DOD 7220.9-M, Department of

Defense Accounting Manual). For civilian personnel use Office of

Personnel Management (OPM) salary table and add 16% for benefits. A sample computation is shown below. Table 7-1 shows how

the cost computation is made.

Table 7–1

Sample Computation

Number of Percent

Grade personnel Salary of time Costs

0-5 1 $88.463 10 $ 8,846

0-1 1 $37,219 30 $11,165

GS-12 1 $41,557 50 $20,779

Notes:

1 To determine the manyear computation: Add the total percentages of time and

divide the percentage by 100.

2 Sample Computation: Manyears = 140% divided by 100 = 1.4 manyears.

(a) Estimated Manyears. Add the total percentages of time for

personnel involved in administering the FOIA program and divide

by 100. In the example shown above, (10x30x50)/100=.9 manyears.

(b) Manyear Costs. Total costs associated with salaries of individuals involved in administering the FOIA program. In the example shown above, the total cost is $40,790.

(c) Estimated Manhour Costs by Category. This section accounts

for all other personnel not reported in (a) and (b) above who are

involved in processing FOIA requests. Enter the total hourly cost for

each of the five areas described below.

(1) Search Time. This includes only those direct costs associated

with time spent looking for material that is responsive to a request,

including line-by-line identification of material within a document

to determine if it is responsive to the request. Searches may be done

manually or by computer using existing programming.

(2) Review and Excising. This includes all direct costs incurred

during the process of examining documents located in response to a

request to determine whether any portion of any document located is

permitted to be withheld. It also includes excising documents to

prepare them for release. It does not include time spent resolving

g e n e r a l l e g a l o r p o l i c y i s s u e s r e g a r d i n g t h e a p p l i c a t i o n o f

exemptions.

(3) Coordination and Approval. This includes all costs involved

in coordinating the release/denial of documents requested under the

FOIA.

(4) Correspondence/Form Preparation. This includes all costs involved in typing responses, filling out forms, etc., to respond to a

FOIA request.

(5) Other Activities. This includes all processing costs not covered above, such as processing time by the mail room.

(6) Total. Enter the sum of (1) through (5) above.

(d) Overhead. This is the cost of supervision, space, and administrative support. It is computed as 25% of the sum of (b) and (c)

above.

(e) Total. Enter the sum of (b), (c), and (d) above.

(2) Other Case-Related Costs. Using the fee schedule, enter the

total amounts incurred in each of the areas below.

(a) Computer Search Time. This includes cost of central processing unit, input/output devices, memory, etc., of the computer system

used, as well as the wage of the machine’s operator/programmer.

( b ) O f f i c e C o p y R e p r o d u c t i o n . T h i s i n c l u d e s t h e c o s t o f

reproducing normal documents with office copying equipment.

(c) Microfiche Reproduction. This is the cost of reproducing records and providing microfiche.

(d) Printed Records. This is the cost of providing reproduced

copies of forms, publications, or reports.

(e) Computer Copy. This is the actual cost of duplicating magnetic tapes, floppy disks, computer printouts, etc.

(f) Audiovisual Materials. This is the actual cost of duplicating

audio or video tapes or like materials, to include the wage of the

person doing the work.

(g) Other. Report all other costs which are easily identifiable,

such as per diem, operation of courier vehicles, training courses,

printing (indexes and forms), long distance telephone calls, special

mail services, use of indicia, etc.

(h) Subtotal. Enter the sum of (a) through (g) above.

(i) Overhead. This is the cost of supervision, space and administrative support. It is computed as 25% of (h) above.

(j) Total. Enter the sum of (h) and (i) above.

(3) Cost of Routine Requests Processed. This item is optional.

Some reporting activities may find it economical to develop an

average cost factor for processing repetitive routine requests rather

than tracking costs on each request as it is being processed. Care

should be exercised so that costs are comprehensive, to include a

25% overhead, yet not duplicated elsewhere in the report. Multiply

the number of routine requests processed times the cost factor to

compute this amount.

(4) Total Costs. Enter the sum of (1) through (3) above.

c. Formal Time Limit Extension. Enter the total number of instances in which it was necessary to seek a formal 10 working day

time extension for one of the reasons explained below.

(1) Location. The need to search for and collect the requested

records from another activity that was separate from the office

processing the request.

(2) Volume. The need to search for, collect, and appropriately

examine a voluminous amount of separate and distinct records indicated in a single request.

(3) Consultation. The need for consultation with another agency

having a substantial interest in the material requested.

(4) Court Involvement. Where court actions were taken on the

basis of exhaustion of administrative procedures because the department/activity was unable to comply with the request within the

applicable time limits, and in which a court allowed additional time

upon a showing of exceptional circumstances, provide a copy of

26 AR 25–55 • 1 November 1997
each court opinion and court order containing such an extension of

time.

(5) Total. Enter the sum of (1) through (4) above.

AR 25–55 • 1 November 1997 27
Figure 7-1. Annual report format

28 AR 25–55 • 1 November 1997
Figure 7-1. Annual report format— Continued

AR 25–55 • 1 November 1997 29
Chapter VIII

Education and Training

Section 1

Responsibility and Purpose

8–100. 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.

8–101. 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 Department of Defense.

8–102. 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:

a. Familiarize personnel with the requirements of the FOIA and

its implementation by this Regulation.

b. 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.

c. 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.

d. Advise personnel of the penalties for noncompliance with the

FOIA.

8–103. Implementation

To ensure uniformity of interpretation, all major educational and

training programs concerning the implementation of this Regulation

should be coordinated with the Director, Freedom of Information

and Security Review, OASD(PA).

8–104. Uniformity of Legal Interpretation

In accordance with DoD Directive 5400.7 (reference (b)), the General Counsel of the Department of Defense shall ensure uniformity

in the legal position and interpretation of the DoD FOIA Program.

This regulation provides procedures for contacting the DOD General

Counsel where required.

30 AR 25–55 • 1 November 1997
Appendix A

Unified Commands—Processing Procedures for FOI

Appeals

1. General

a. In accordance with DoD Directive 5400.7 (reference (b)) and

this Regulation, the Unified 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 (FOI) Program.</title>

This policy represents an exception to the policies in DoD Directive

5100.3 (reference(f)).

b. The policy change above authorizes and requires the Unified

Commands to process FOI requests in accordance with DoD Directive 5400.7 (reference (b)) and DoD Instruction 5400.10 (reference

(ii)) and to forward directly to the OASD(PA) all correspondence

associated with the appeal of an initial denial for information under

the provisions of the FOIA.

2. Responsibilities of Commands

Unified Commanders in Chief shall:

a. Designate the officials authorized to deny initial FOIA requests for records.

b. Designate an office as the point-of-contact for FOIA matters.

c. Refer FOIA cases to the ASD(PA) for review and evaluation

when the issues raised are of unusual significance, precedent setting,

or otherwise require special attention or guidance.

d. 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.

e. Coordinate proposed denials of records with the appropriate

Unified Command’s Office of the Staff Judge Advocate.

f. Answer any request for a record within 10 working days of

receipt. The requester shall be notified that his request has been

granted or denied. In unusual circumstances, such notification may

state that additional time, not to exceed 10 working days, is required

to make a determination.

g. Provide to the ASD(PA) when the request for a record is

denied in whole or in part, a copy of the response to the requester or

his representative, and any internal memoranda that provide background information or rationale for the denial.

h. 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 Assistant Secretary of Defense (Public Affairs), the Pentagon,

Washington, DC 20301-1400.

i. Upon request, submit to ASD(PA) a copy of the records that

were denied. ASD(PA) shall make such requests when adjudicating

appeals.

3. Fees for FOI Requests

The fees charged for requested records shall be in accordance with

Chapter VI, above.

4. Communications

Excellent communication capabilities currently exist between the

OASD(PA) and the Public Affairs Offices of the Unified Commands. This communication capability shall be used for FOIA cases

that are time sensitive.

5. Reporting Requirements

a. The Unified Commands shall submit to the ASD(PA) an annual report. The instructions for the report are outlined in Chapter

VII, above.

b . T h e a n n u a l r e p o r t s h a l l b e s u b m i t t e d i n d u p l i c a t e t o t h e

ASD(PA) not later than each February 1. This reporting requirement

is assigned Report Control Symbol DD-PA(A)1365.

Appendix B

Addressing FOIA Requests

1. General

a. The Department of Defense includes the Office of the Secretary of Defense and the Joint Staff, the Military Departments, the

U n i f i e d C o m m a n d s , t h e D e f e n s e A g e n c i e s , a n d t h e D o D F i e l d

Activities.

b. 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.

2. Listing of DoD Component Addresses for FOIA

Requests

a. Office of the Secretary of Defense and the Joint Staff. Send all

requests for records from the below listed offices to: Office of the

Assistant Secretary of Defense (Public Affairs), ATTN: Directorate

for Freedom of Information and Security Review, Room 2C757,

The Pentagon, Washington, DC 20301-1400.

(1) Executive Secretariat.

(2) Under Secretary of Defense (Policy).

( a ) A s s i s t a n t S e c r e t a r y o f D e f e n s e ( I n t e r n a t i o n a l S e c u r i t y

Affairs).

(b) Assistant Secretary of Defense (International Security Policy).

(c) Assistant Secretary of Defense (Special Operations/Low Intensity Conflict).

(d) Principal Deputy Under Secretary of Defense (Strategy and

Resources).

(e) Deputy Under Secretary of Defense (Trade Security Policy).

(f) Deputy Under Secretary of Defense (Security Policy).

(g) Director of Net Assessment.

(h) Director Defense Security Assistance Agency.

(i) Defense Technology Security Administration.

(3) Under Secretary of Defense (Acquisition).

(a) Assistant Secretary of Defense (Production & Logistics).

(b) Assistant Secretary of Defense (Command, Control, Communications, and Intelligence).

(c) Assistant to the Secretary of Defense (Atomic Energy).

(d) Director of Defense Research and Engineering.

(e) Director of Small and Disadvantaged Business Utilization.

(4) Comptroller of the Department of Defense.

( 5 ) A s s i s t a n t S e c r e t a r y o f D e f e n s e ( F o r c e M a n a g e m e n t &

Personnel).

(6) Assistant Secretary of Defense (Health Affairs).

(7) Assistant Secretary of Defense (Legislative Affairs).

(8) Assistant Secretary of Defense (Public Affairs).

( 9 ) A s s i s t a n t S e c r e t a r y o f D e f e n s e ( P r o g r a m A n a l y s i s a n d

Evaluation).

(10) Assistant Secretary of Defense (Reserve Affairs).

(11) General Counsel, Department of Defense.

(12) Director, Operational Test and Evaluation.

( 1 3 ) A s s i s t a n t t o t h e S e c r e t a r y o f D e f e n s e ( I n t e l l i g e n c e

Oversight).

(14) Assistant to the Secretary of Defense (Intelligence Policy).

(15) Defense Advanced Research Projects Agency.

(16) Strategic Defense Initiative Organization.

(17) Defense Systems Management College.

(18) National Defense University.

(19) Armed Forces Staff College.

(20) Department of Defense Dependents Schools.

(21) Uniformed Services University of the Health Sciences.

AR 25–55 • 1 November 1997 31
b. Department of the Army. Army records may be requested

from those Army officials who are listed in 32 CFR 518 (reference

(ai), Appendix B. Send requests to the U.S. Army Freedom of

Information and Privacy Acts Office, Suite 201, 1725 Jefferson

Davis Highway, Arlington, Virginia 22202-4102 for records of the

Headquarters, U.S. Army, or if there is uncertainty as to which

Army activity may have the records. Send requests to particular

installations or organizations as follows:

(1) Current publications and records of DA field commands, installations, and organizations.

(a) Send the request to the commander of the command, installation, or organization, to the attention of the Freedom of Information

Act Official.

(b) Consult AR 25-400-2 for more detailed listings of all record

categories kept in DA offices.

(c) Contact the installation or organization public affairs officer

for help if you cannot determine the official within a specific organization to whom your request should be addressed.

(2) Department of the Army publications.

(a) Write to the U.S. Government Printing Office, which has

many DA publications for sale. Address: Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402-

0001.

(b) Use the facilities of about 1,000 Government publication depository libraries throughout the United States. These libraries have

copies of many DA publications. Obtain a list of these libraries from

the Superintendent of Documents at the above address.

(c) Send requests for current administrative, training, technical,

and supply publications to the National Technical Information Service, U.S. Department of Commerce, ATTN: Order Preprocessing

Section, 5285 Port Royal Road, Springfield, VA 22151-2171; commercial telephone, (703) 487-4600. The National Technical Informat i o n S e r v i c e h a n d l e s g e n e r a l p u b l i c r e q u e s t s f o r u n c l a s s i f i e d ,

uncopyrighted, and nondistribution-restricted Army publications not

sold through the Superintendent of Documents.

(3) Military personnel records. Send requests for military personnel records of information as follows:

(a) Army Reserve personnel not on active duty and retired personnel—Commander, U.S. Army Reserve Personnel Center, 9700

Page Ave., St. Louis, MO 63132-5200; commercial telephone, (314)

263-7600.

(b) Army officer personnel discharged or deceased after 1 July

1917 and Army enlisted personnel discharged or deceased after 1

N o v e m b e r 1 9 1 2 — D i r e c t o r , N a t i o n a l P e r s o n n e l R e c o r d s C e n t e r ,

9700 Page Ave., St. Louis, MO 63132-5100.

(c) Army personnel separated before the dates specified in (ii)

above—Textual Reference Division, Military Reference Branch, Nat i o n a l A r c h i v e s a n d R e c o r d s A d m i n i s t r a t i o n , W a s h i n g t o n , D C

20408-0001.

( d ) A r m y N a t i o n a l G u a r d o f f i c e r p e r s o n n e l — C h i e f , N a t i o n a l

Guard Bureau. Army National Guard enlisted personnel—Adjutant

General of the proper State.

(e) Active duty commissioned and warrant officer personnel--

Commander, U.S. Total Army Personnel Command, ATTN: TAPCALS, Alexandria, VA 22332-0405; commercial telephone, (703)

325-4053. Active duty enlisted personnel—Commander, U.S. Army

Enlisted Records and Evaluation Center, ATTN: PCRE-RF, Fort

Benjamin Harrison, IN 46249-4701; commercial telephone, (317)

542-3643.

(4) Medical records.

(a) Medical records of non-active duty military personnel. Use

the same addresses as for military personnel records.

(b) Medical records of military personnel on active duty. Address

the medical treatment facility where the records are kept. If necessary, request locator service per (e) above.

(c) Medical records of civilian employees and all dependents.

Address the medical treatment facility where the records are kept. If

the records have been retired, send requests to the Director, National

P e r s o n n e l R e c o r d s C e n t e r , 1 1 1 W i n n e b a g o S t . , S t . L o u i s , M O

63118-4199.

(5) Legal records.

(a) Records of general courts-martial and special courts-martial

in which a bad conduct discharge was approved. For cases not yet

forwarded for appellate review, apply to the staff judge advocate of

the command having jurisdiction over the case. For cases forwarded

for appellate review and for old cases, apply to the U. S. Army

Legal Service Agency, ATTN: JALS-CC, Nassif Building, Falls

Church, VA 22041-5013; DSN 289-1888, commercial telephone,

(202) 756-1888.

(b) Records of special courts-martial not involving a bad conduct

discharge. These records are kept for 10 years after completion of

the case. If the case was completed within the past 3 years, apply to

the staff judge advocate of the headquarters where it was reviewed.

If the case was completed from 3 to 10 years ago, apply to the

National Personnel Records Center (Military Records), 9700 Page

Ave., St. Louis, MO 63132-5100. If the case was completed more

than 10 years ago, the only evidence of conviction is the special

courts-martial order in the person’s permanent records. Request as

in (3) above.

(c) Records of summary courts-martial. Locally maintained records are retired 3 years after action of the supervisory authority.

Request records of cases less than 3 years old from the staff judge

advocate of the headquarters where the case was reviewed. After 10

years, the only evidence of conviction is the summary courts-martial

order in the person’s permanent records. Request as in (3) above.

(d) Requests submitted under (b) and (c) above. These requests

will be processed in accordance with chapter V. The IDA is The

Judge Advocate General, HQDA (DAJA-CL), WASH DC 20310-

2213; DSN 225-1891, commercial telephone, (703) 695-1891.

(e) Administrative settlement of claims. Apply to the Chief, U.S.

Army Claims Service, ATTN: JACS-TCC, Fort George G. Meade,

MD 20755-5360; DSN 923-7860, commercial telephone, (301) 677-

7860.

(f) Records involving debarred or suspended contractors. Apply

to HQDA (JALS-PF), WASH DC 20310-2217; DSN 285-4278,

commercial telephone, (703) 504-4278.

(g) Records of all other legal matters (other than records kept by

a command, installation, or organization staff judge advocate). Apply to HQDA (DAJA-AL), WASH DC 20310-2212; DSN 224-

4316, commercial telephone, (703) 694-4316.

(6) Civil works program records. Civil works records include

those relating to construction, operation, and maintenance for the

improvement of rivers, harbors, and waterways for navigation, flood

control, and related purposes, including shore protection work by

the Army. Apply to the proper division or district office of the

Corps of Engineer. If necessary to determine the proper office,

contact the Commander, U.S. Army Corps of Engineers, ATTN:

CECC-K, WASH DC 20314-1000; commercial telephone, (703)

272-0028.

(7) Civilian personnel records. Send requests for personnel records of current civilian employees to the employing installation.

Send requests for personnel records of former civilian employees to

the Director, National Personnel Records Center, 111 Winnebago

St., St. Louis, MO 63118-4199.

(8) Procurement records. Send requests for information about

procurement activities to the contracting officer concerned or, if not

feasible, to the procuring activity. If the contracting officer or procuring activity is not known, send inquiries as follows:

( a ) A r m y M a t e r i e l C o m m a n d p r o c u r e m e n t : C o m m a n d e r , U . S .

Army Materiel Command, ATTN: AMCPA, 5001 Eisenhower Ave.,

Alexandria, VA 22333-0001.

(b) Corps of Engineers procurement: Commander, U.S. Army

Corps of Engineers, ATTN: CECC-K, WASH DC 20314-1000;

commercial telephone, (202) 272-0028.

( c ) A l l o t h e r p r o c u r e m e n t : H Q D A ( D A J A - K L ) , W A S H D C

2 0 3 1 0 - 2 2 0 8 ; D S N 2 2 5 - 6 2 0 9 , c o m m e r c i a l t e l e p h o n e , ( 2 0 2 ) 6 9 5 -

6209.

(9) Criminal investigation files. Send requests involving criminal

investigation files to the Commander, U.S. Army Criminal Investigation Command, ATTN: CICR-FP, commercial telephone, (703)

806-0468, 6010 6th St., Bldg #1465, Ft. Belvoir, VA 22060-5585.

32 AR 25–55 • 1 November 1997
O n l y t h e C o m m a n d i n g G e n e r a l , U S A C I D C , c a n r e l e a s e a n y

USACIDC-originated criminal investigation file.

(10) Personnel security investigation files and general Army intelligence records. Send requests for personnel security investigation

files, intelligence investigation and security records, and records of

other Army intelligence matters to the Commander, U.S. Army

Intelligence and Security Command, ATTN: IACSF-FI, Fort George

G. Meade, MD 20755-5995.

(11) Inspector General records. Send requests involving records

within the Inspector General system to HQDA (SAIG-ZXL), WASH

DC 20310-1714. AR 20-1 governs such records.

(12) Army records in Government records depositories.

(a) Noncurrent Army records are in the National Archives of the

United States, WASH DC 20408-0001; in Federal Records Centers

of the National Archives and Records Administration; and in other

records depositories. Requesters must write directly to the heads of

these depositories for copies of such records.

(b) A list of pertinent records depositories is published in AR 25-

400-2, table 6-1.

(13) 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, Code OP09B30, Room 5E521, Pentagon, Washington, DC

20350-2000, for records of the Headquarters, Department of the

Navy, and to Freedom of Information and Privacy Act Office, Code

MI-3, HQMC, Room 4327, Washington, DC 20308-0001, for records of the U.S. Marine Corps, or if there is uncertainty as to

which Navy or Marine activities may have the records.

d. Department of the Air Force. Air Force records may be requested from the Commander of any Air Force installation, major

command, or separate 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 Secretary of the Air Force, ATTN: SAF/

AADS(FOIA), Washington, DC 20330-1000.

e. 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, for records of its headquarters or if there is uncertainty as to which DCAA region may have the records sought.

f. 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, Code H104, Washington, DC 20305-2000.

g. Defense Intelligence Agency (DIA). FOIA requests for DIA

records may be addressed to Defense Intelligence Agency, ATTN:

RTS-1B, Washington, DC 20340-3299.

h. Defense Investigative Service (DIS). All FOIA requests for

DIS records should be sent to the Defense Investigative Service,

ATTN: V0020, 1900 Half St., SW, Washington, DC 20324-1700.

i. Defense Logistics Agency (DLA). DLA records may be requested from its headquarters or from any of its field activities.

Requesters should send FOIA requests to Defense Logistics Agency,

8725 John J. Kingman Rd., Suite 2533, Ft. Belvoir, VA 22060-

6221.

j. Defense Mapping Agency (DMA). FOIA requests for DMA

records may be sent to the Defense Mapping Agency, 8613 Lee

Highway, Fairfax, VA 22031-2137.

k. Defense Nuclear Agency (DNA). FOIA requests for DNA records may be sent to the Defense Nuclear Agency, Public Affairs

Office, Room 113, 6801 Telegraph Road, Alexandria, VA 22310-

3398.

l. National Security Agency (NSA). FOIA requests for NSA records may be sent to the National Security Agency/Central Security

Service, ATTN: Q43, Fort George G. Meade, MD 20755-6000.

m. Office of the Inspector General, Department of Defense (IG,

DoD). FOIA requests for IG, DoD records may be sent to the

Department of Defense, Office of the Inspector General, Assistant

Inspector General for Investigations, ATTN: Deputy Director FOIA/

PA Division, 400 Army Navy Drive, Arlington, Virginia 22202-

2884.

n. 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, Crystal Mall 3, Room 416, Washington, DC 20376-5001 for records of its headquarters, or if there is

uncertainty as to which DFAS region may have the records sought.

3. Other Addressees

Although the below organizations are OSD and Joint Staff Components for the purposes of the FOIA, requests may be sent directly to

the addresses indicated.

a. Office of Civilian Health and Medical Program of the Uniformed Services (OCHAMPUS). Director, OCHAMPUS, ATTN:

Freedom of Information Officer, Aurora, CO 80045-6900.

b . C h a i r m a n , A r m e d S e r v i c e s B o a r d o f C o n t r a c t A p p e a l s

(ASBCA). Chairman, Armed Services Board of Contract Appeals,

Skyline Six, 5109 Leesburg Pike, Falls Church, VA 22041-3208.

c . U . S . C e n t r a l C o m m a n d . U . S . C e n t r a l C o m m a n d / C C J I / A G ,

MacDill Air Force Base, FL 33608-7001.

d. U.S. European Command. Records Administrator, Headquart e r s , U . S . E u r o p e a n C o m m a n d / E C J - A R ( F O I A ) , A P O N e w Y o r k

09128-4209.

e . U . S . S o u t h e r n C o m m a n d . A t t o r n e y - A d v i s o r ( I n t e r n a t i o n a l ) ,

Headquarters U.S. Southern Command/SCSJA, APO Miami 34003-

0007.

f. U.S. Pacific Command. Administrative & Security Programs

Division (J147A), Joint Secretariat, CINCPAC, Box 28, Camp H.

M. Smith, HI 96861-5025.

g. U.S. Special Operations Command. Freedom of Information

Officer, ATTN: U.S. Special Operations Command, MacDill Air

Force Base, FL 33608.

h. U.S. Atlantic Command. Commander-in-Chief, Atlantic Command, Code J002P6, Norfolk, VA 23511-5100.

i. U.S. Space Command. Chief, Records Management Division,

D i r e c t o r a t e o f A d m i n i s t r a t i o n , U n i t e d S t a t e s S p a c e C o m m a n d ,

Peterson Air Force Base, CO 80914-5001.

4. National Guard Bureau

FOIA requests for National Guard Bureau records may be sent to

the Chief, National Guard Bureau, (NGB-DAI), Pentagon, Room

2C362, Washington, D.C. 20310-2500.

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 Office of the Assistant Secretary of Defense

(Public Affairs), ATTN: Directorate for Freedom of Information and

Security Review, Room 2C757, The Pentagon, Washington, DC

20301-1400.

Appendix C

Litigation Status Sheet

1. Case Number*

*Number used by Component for references. (for DA, use case

name)

2. Requester

3. Document Title or Description

4. Litigation

a. Date Complaint Filed

b. Court

c. Case File Number*

AR 25–55 • 1 November 1997 33
5. Defendants (agency and individual)

6. Remarks: (brief explanation of what the case is about)

7. Court Action

a. Court’s Finding

b. Disciplinary Action (as appropriate)

8. Appeal (as appropriate)

a. Date Complaint Filed

b. Court

c. Case File Number*

d. Court’s Finding

e. Disciplinary Action (as appropriate)

Appendix D

Other Reason Categories

1. Transferred Requests

This category applies when responsibility for making a determination or a decision on categories 2, 3, or 4 below is shifted from one

Component to another, or to another Federal Agency.

2. Lack of Records

This category covers those situations wherein the requester is advised the DoD Component has no record or has no statutory obligation to create a record.

3. Failure of Requester to Reasonably Describe Record

This category is specifically based on Section 552(a) (3)(a) of the

FOIA (reference (a)).

4. Other Failures by Requesters to Comply with Published

Rules or Directives

This category is based on Section 552(a)(3)(b) of the FOIA (reference (a)) and includes instances of failure to follow published rules

concerning time, place, fees, and procedures.

5. Request Withdrawn by Requester

This category covers those situations wherein the requester asks an

agency to disregard the request (or appeal) or pursues the request

outside FOIA channels.

6. Not an Agency Record

This category covers situations where the information requested is

not an agency record within the meaning of the FOIA and this

Regulation.

Appendix E

DD Form 2086

34 AR 25–55 • 1 November 1997
Figure E-1. Record of Freedom of Information (FOI) Processing Cost

AR 25–55 • 1 November 1997 35
Appendix F

DD Form 2086-1

36 AR 25–55 • 1 November 1997
Figure F-1. Record of Freedom of Information (FOI) Processing Cost for Technical Data: DoD Freedom of Information Act Program

Components

AR 25–55 • 1 November 1997 37
Appendix G

DOD FREEDOM OF INFORMATION ACT PROGRAM

COMPONENTS

Office of the Secretary of Defense/Joint Staff/Unified Commands,

Defense Agencies, and the DOD Field Activities

Department of the Army

Department of the Navy

Department of the Air Force

Defense Contract Audit Agency

Defense Finance and Accounting Service

Defense Information Systems Agency

Defense Intelligence Agency

Defense Investigative Service

Defense Logistics Agency

Defense Mapping Agency

Defense Nuclear Agency

National Security Agency

Office of the Inspector General, Department of Defense

Appendix H

Management Control Evaluation Checklist

H–1. Function.

The function covered by this checklist is the Freedom of Information Act Program.</title>

H–2. Purpose.

To ensure that prescribed policies, procedures, and responsibilities

contained in 5 USC 552 are followed to allow access and release of

Army records to the public. The document used to accomplish the

control objective is AR 25-55. This checklist ensures that a Freedom

of Information Act Program is established and implemented. Appoints an individual with Freedom of Information Act Program

responsibilities and ensures designation of appropriate staff to assist

him/her.</title>

H–3. Test Questions.

a. Is a Freedom of Information Act Program established and

implemented in your organization:

Response: Yes No NA

Remarks:

b. Is an individual appointed to implement Freedom of Information Act responsibilities:

Response: Yes No NA

Remarks:

c. Are provisions of AR 25-55 concerning protection of OPSEC

sensitive information regularly brought to the attention of managers

responsible for responding to FOIA requests and those responsible

for control of Army records?

Response: Yes No NA

Remarks:

d. Is the ten working day time limit met when replying to FOIA

requests?

Response: Yes No NA

Remarks:

e. When more than ten working days are required to respond, is

the FOIA requester informed, explaining the circumstance requiring

the delay and provided an appropriate date for completion?

Response: Yes No NA

Remarks:

H–4. Supersession.

This checklist replaces the checklist for the Freedom of Information

Act Program previously published.

H–5. Comments.

Help make this a better tool for evaluating management controls.

Submit comments to HQDA (SAIS-IA-R), 107 ARMY PENTAGON, WASH DC 20310-0107.

38 AR 25–55 • 1 November 1997
Glossary

Section I

Abbreviations

AAFES

Army and Air Force Exchange Service

AMC

U.S. Army Materiel Command

ASBCA

Armed Services Board of Contract Appeals

ASD(PA)

A s s i s t a n t S e c r e t a r y o f D e f e n s e f o r P u b l i c

Affairs

CPO

civilian personnel officer

CPR

civilian personnel record

DA

Department of the Army

DCAA

Defense Contract Audit Agency

DFARS

Department of Defense Federal Acquisition

Regulation Supplement

DIS

Defense Investigative Service

DISA

Defense Information Systems Agency

DISC4

Director of Information Systems for Comm a n d , C o n t r o l , C o m m u n i c a t i o n s , a n d

Computers

DLA

Defense Logistics Agency

DMA

Defense Mapping Agency

DNA

Defense Nuclear Agency

DOD

Department of Defense

FAR

Federal Acquisition Regulation

FOIA

Freedom of Information Act

FORSCOM

Forces Command

FOUO

For Official Use Only

FPM

Federal Personnel Manual

GAO

Government Accounting Office

GPO

Government Printing Office

HQDA

Headquarters, Department of the Army

IDA

initial denial authority

MDR

Mandatory Declassification Review

NATO

North Atlantic Treaty Organization

NSA

National Security Agency

NSC

National Security Council

NTIS

National Technical Information Service

OCHAMPUS

Office of Civilian Health and Medical Program of the Uniformed Services

OMB

Office of Management and Budget

OPSEC

Operations Security

OSD

Office of the Secretary of Defense

OTJAG

Office of The Judge Advocate General

PAO

Public affairs officer

SIO

standard installation organization

TJAG

The Judge Advocate General

TOE

table of organization and equipment

USACIDC

U.S. Army Criminal Investigation Command

USAR

United States Army Reserve

Section II

Terms

This section contains no entries.

Section III

Special Abbreviations and Terms

This section contains no entries.

AR 25–55 • 1 November 1997 39
Index

T h i s i n d e x i s o r g a n i z e d a l p h a b e t i c a l l y b y

topic and subtopic. Topics and subtopics are

identified by paragraph number.

’(a)(2)’ materials, 2-101, 2-200

A c c u s e d p e r s o n s , r e l e a s i n g i n f o r m a t i o n

about, 5-101

Administrative appeal, defined, 1-406

Administrative material, 3-200

Annual reports Content, 7-201

Format, 7-202

Reporting time, 7-200

Worksheet, 7-203

Appeals to denials of requests for information, and no record findings 5-300

Delay in responding to, 5-303

Final refusal, 5-305

Response to requester, 5-304

Time limits, 5-302

Time of receipt, 5-301

Appellate authority, 1-405, 5-304

Army Chief of Public Affairs, U.S., 5-200

Army Claims Service, U.S., 5-101

A r m y C r i m i n a l I n v e s t i g a t i o n C o m m a n d ,

U.S., 5-103

Army Legal Services Agency, U.S., 5-101

Authentication policy, 1-509

A u t h o r i t y f o r d e n y i n g i n f o r m a t i o n r e -

quests, 5-200

Bargaining techniques information, 3-200

Commands, Unified and Specified, policy,

1-510

Commercial information, 3-200

Communication intelligence, 18 USC 798,

3-200

Compliance policy, 1-500

C o n f i d e n t i a l i t y o f M e d i c a l Q u a l i t y R e -

cords:

Qualified Immunity Participants, 10 USC

1102, 3-200

Congress, U.S., release of FOUO information to, 4-300

Contract disputes, 5-101

Correspondence, 3-200

Costs, reporting of, 7-201

Criminal investigation records, 5-103

Death, releasing information about, 5-101

Debt Collection Act of 1982 (PL 9 7-365),

6-106

Definition of terms, 1-400

Denial test, 5-202

Denying requests for information, 5-201.

See also Initial denial authority

Appeals to, 5-300

File of initial denial, 5-208

Reasonably segregable portions, 5-203

Receipt accounts, 5-210

Special mail services, 5-209

D e p a r t m e n t o f D e f e n s e c o m p o n e n t , d e -

fined, 1-403

Department of Defense Freedom of Information Act (FOIA) Program. See also

Freedom of Information Act Compliance

policy, 1-500

General references, 1-100

Openness policy, 1-501

Purpose, 1-200

Department of the Army records, 1-201

Directories, 5-101

Disciplinary action information, 5-103

Disclosure, unauthorized, of FOUO material, 4-502

District Court, U.S., judicial actions, 5-403

Exempted materiel, 3-100, 3-101, 3-200

Exemptions, use of, 1-504

Federal Register records, 2-201

F e e s c h e d u l e a n d f e e s A g g r e g a t i o n r e -

quests, 6-105

Application of, 6-101

Assessment, 6-104

Authorities, 6-100

Collection, 6-200

Costs for special services, 6-206

Waivers, 6-103, 6-300

Financial information, 3-200

For Official Use Only (FOUO) Defined, 4-

100

Disposal of, 4-501

Electrically transmitted messages, 4-302

Marking records, 4-103, 4-104, 4-105

Prior application, 4-101

R e l e a s e a n d t r a n s m i s s i o n p r o c e d u r e s , 4 -

300

Safeguarding information, 4-400, 4-401

Termination, 4-500

Transporting information, 4-301

Unauthorized disclosure, 4-502

Freedom of Information Act (FOIA). See

also Department of Defense Freedom of

Information Act (FOIA) Program

Definition of request, 1-401

DOD educational and training programs, 8-

100, 8-101, 8-102

Exemptions, 3-200

Implementation of, 8-103

Uniformity of legal interpretation of, 8-104

Fugitives from justice information, 5-101

General Accounting Office (GAO) Release

of FOUO information to, 4-300

Requests for documents of, 1-508

Government requests for information, 5-

102, 5-103

Historical papers, 4-102

Information control system, 1-301

I n i t i a l d e n i a l a u t h o r i t y ( I D A ) , 5 - 2 0 0 . S e e

also Denying requests for information

Definition, 1-404

Judicial actions, 5-400

Burden of proof, 5-402

Jurisdiction, 5-401

Non-U.S. Government source information,

5-404

Law enforcement investigation, defined, 1-

407

Litigation status sheet, 5-405

Manufacturing information, 3-200

Materiel availability, 2-101, 2-201

Medical files, 3-200, 5-101

Memoranda, 3-200

M o d e r n A r m y R e c o r d k e e p i n g S y s t e m

(MARKS), 1-511

National Security Agency Information Exemption, PL 8 6-36, Section 6, 3-200

National Security Agency records, 1-201

Negotiating techniques information, 3-200

Non-U.S. Government source information,

5-207, 5-404

Office of General Counsel, 1-405

Office of the Secretary of Defense (OSD),

applicability of program to, 1-201

Operations security (OPSEC), 1-501

Orders as exempted material, 3-200

Organization charts, 5-101

Patent Secrecy, 35 USC 18 1-188, 3-200

Personal information, 3-200

Personnel information, 3-200, 5-101, 5-103

Physical Protection of Special Nuclear Mat e r i a l : L i m i t a t i o n o f D i s s e m i n a t i o n o f

Unclassified Information, 10 USC 128, 3-

200

Privacy Act of 1974, 1-301

Public domain records, 1-505

Public information, 1-300, 5-100

Reading room, 2-100

Receipt Account 3-210,5-210

Records Definition of, 1-402

Management of, 1-511

Referrals of requests, 1-508

Release of public information, 5-100

Requests for information

Definition of, 1-401

DOD procedural policy, 1-502, 1-503

From Government officials, 5-102

From private parties, 5-101

Time to respond, 1-503

Requirements for requesting information,

1-507, 3-200, 5-100, 5-204

Research and research grant information,

3-200

Responding to request for information, 5-

204

Extension of time, 5-205

Misdirected requests, 5-206

Restricted Data and Formerly Restricted

Data, 42 USC 2162, 3-200

Scientific data and processes information,

3-200

Segregable portions, defined, 1-407

Technical data, 3-200

Telephone directories, 5-101

Tort claims, 5-101

Trade secrets, 3-200

Unclassified documents, 5-100

Unclassified information concerning physical protection of special nuclear material, 5-101

Wage information, 3-200

40 AR 25–55 • 1 November 1997

42 AR 25–55 • 1 November 1997 • R-Forms

44 AR 25–55 • 1 November 1997 • R-Forms
UNCLASSIFIED PIN 067186–000