[Federal Register Volume 64, Number 248 (Tuesday, December 28, 1999)]
[Rules and Regulations]
[Pages 72808-72825]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-29525]



[[Page 72807]]

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Part VIII





Department of Defense





_______________________________________________________________________



Department of the Air Force



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32 CFR Part 806



Freedom of Information Act Program; Final Rule

  Federal Register / Vol. 64, No. 248 / Tuesday, December 28, 1999 / 
Rules and Regulations  

[[Page 72808]]



DEPARTMENT OF DEFENSE

Department of the Air Force

32 CFR Part 806

RIN: 0701-AA-61


Freedom of Information Act Program

AGENCY: Department of the Air Force, DoD.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Department of the Air Force is revising our rules on the 
Freedom of Information Act Program of the Code of Federal Regulations 
(CFRs) to reflect current policies. Part 806 implements Air Force 
Policy Directive (AFPD) 37-1, Air Force Information Management (will 
convert to AFPD 33-3), and applies to all Air Force activities. It 
provides policies and procedures for implementing the Freedom of 
Information Act (FOIA), Title 5 United States Code (U.S.C.) Section 
552, as amended, and ``For Official Use Only (FOUO)'' information 
requirements.

EFFECTIVE DATE: November 1, 1999.

ADDRESSES: Mrs. Anne P. Rollins, HQ AFCIC/ITC, 1250 Air Force Pentagon, 
Washington, DC 20330-1250, 703-588-6187.

FOR FURTHER INFORMATION CONTACT: Mrs. Anne P. Rollins, HQ AFCIC/ITC, 
703-588-6187.

List of Subjects in 32 CFR Part 806

    Freedom of Information.

    For the reasons set forth in the preamble, the Department of the 
Air Force is revising 32 CFR part 806 as follows:

PART 806--AIR FORCE FREEDOM OF INFORMATION ACT PROGRAM

Sec.
806.1  Summary of revisions.
806.2  Applicability.
806.3  Public information.
806.4  Definitions.
806.5  Responsibilities.
806.6  Prompt action on requests.
806.7  Use of exemptions.
806.8  Description of requested record.
806.9  Referrals.
806.10  Records management.
806.11  FOIA reading rooms.
806.12  Record availability.
806.13  5 U.S.C. 552 (a)(2) materials.
806.14  Other materials.
806.15  FOIA exemptions.
806.16  For official use only.
806.17  Release and processing procedures.
806.18  Initial determinations.
806.19  Reasonably segregable portions.
806.20  Records of non-U.S. government source.
806.21  Appeals.
806.22  Time limits.
806.23  Delay in responding to an appeal.
806.24  Fee restrictions.
806.25  Annual report.
806.26  Addressing FOIA requests.
806.27  Samples of Air Force FOIA processing documents.
806.28  Records with special disclosure procedures.
806.29  Administrative processing of Air Force FOIA requests.
806.30  FOIA exempt information examples.
806.31  Requirements of 5 U.S.C. 552(b)(4) to submitters of 
nongovernment contract-related information.
Appendix A To Part 806--References
Appendix B To Part 806--Abbreviations and Acronyms
Appendix C To Part 806--Terms

    Authority: 5 U.S.C. 552.


Sec. 806.1  Summary of revisions.

    This part makes this guidance an Air Force supplement to the DoD 
regulation at 32 CFR part 286. It transfers responsibility for the Air 
Force Freedom of Information Act (FOIA) Program from the Office of the 
Secretary of the Air Force (SAF/AAI) to Headquarters United States Air 
Force (HQ USAF/SC) and Headquarters Air Force Communications and 
Information Center/Corporate Information Division (HQ AFCIC/ITC); 
contains significant changes and additions to implement the Electronic 
Freedom of Information Act (EFOIA) Amendments of 1996; addresses 
electronic records; increases time limits to 20 working days; adds 
procedures for multiple tracking and expedited processing of requests; 
changes annual report date and content; adds major command (MAJCOM) 
inspectors general (IG), MAJCOM Directors of Inquiries (IGQ), and wing 
commanders as initial denial authorities (IDAs).


Sec. 806.2  Applicability.

    A list of Air Force MAJCOMs, field operating agencies (FOAs), and 
Direct Reporting Units (DRUs) is at Sec. 806.26.


Sec. 806.3  Public information.

    (a) Functional requests. Air Force elements may receive requests 
for government information or records from the public that do not refer 
to the FOIA. Often these requests are sent to a public affairs office 
(PAO) or a specific unit. All releases of information from Air Force 
records, whether the requester cites the FOIA or not, must comply with 
the principles of the FOIA and this part. If the requested material 
contains personal privacy information that the Air Force must withhold, 
it is particularly important to handle that ``functional'' request as a 
request under the FOIA and coordinate it with the appropriate FOIA 
office and an Air Force attorney. Regardless of the nature of the 
functional request, if the responding element denies the release of 
information from Air Force records, then control the request as a FOIA 
and follow FOIA denial procedures for records withheld (cite the 
pertinent FOIA exemption and give the requester FOIA appeal rights).
    (b) HQ AFCIC/ITC will make the Air Force handbook and guide for 
requesting records available on the World Wide Web (WWW) from Air 
ForceLINK, at http://www.foia.af.mil/handbook.htm.


Sec. 806.4  Definitions.

    (a) Electronic reading room (ERR). Rooms established on Internet 
web sites for public access to FOIA-processed (a)(2)(D) records.
    (b) FOIA request. This includes FOIA requests made by members of 
Congress either on their own behalf or on behalf of one of their 
constituents. Process FOIA requests from members of Congress in 
accordance with this Air Force supplement. Air Force-affiliated 
requesters, to include military and civilian employees, should not use 
government equipment, supplies, stationery, postage, telephones, or 
official mail channels to make FOIA requests.
    (1) Simple requests can be processed quickly with limited impact on 
the responding units. The request clearly identifies the records with 
no (or few) complicating factors involved. There are few or no 
responsive records. Only one installation is involved and there are no 
outside Office of Primary Responsibility (OPRs). There are no 
classified or nongovernment records. No deliberative process/privileged 
materials are involved. The responsive records contain no (or limited) 
personal privacy information and do not come from a Privacy Act system 
of records. No time extensions are anticipated.
    (2) Complex requests take substantial time and cause significant 
impact on responding units. Complications and delays are likely. 
Records sought are massive in volume. Multiple organizations must 
review/coordinate on requested records. Records are classified; 
originated with a nongovernment source; are part of the Air Force's 
decision-making process; or are privileged.
    (c) Government Information Locator Service (GILS). GILS is an 
automated on-line card catalog of publicly accessible information. The 
Office of Management and Budget (OMB) Bulletin 95-01, December 7, 1994, 
and OMB Memorandum, February 6, 1998, mandates that all federal 
agencies create

[[Page 72809]]

a GILS record for information available to the public. The DoD GILS 
resides on DefenseLINK, the official DoD home page, at ``http://
www.defenselink.mil/locator/index.html.''
    (d) Initial denial authority. Only approved IDAs may deny all or 
parts of records. FOIA managers may: initially deny fee category 
claims, requests for expedited processing, and waiver or reduction of 
fees; review fee estimates; and sign ``no records'' responses. IDAs are 
the deputy chiefs of staff and chiefs of comparable offices or higher 
at HQ USAF and Secretary of the Air Force (SAF), and MAJCOM commanders. 
Deputy Chiefs of Staff and chiefs of comparable offices or higher at HQ 
USAF and SAF may name one additional position as denial authority. 
MAJCOM commanders may appoint two additional positions at the 
headquarters and also the wing commander at base level. MAJCOM IGs and 
MAJCOM Directors of Inquiries (IGQ) may act as IDAs for IG records. 
MAJCOM FOIA managers must notify HQ AFCIC/ITC in writing (by facsimile, 
e-mail, or regular mail) of IDA position titles. Send position titles 
only--no names. HQ AFCIC/ITC sends SAF/IGQ a copy of the correspondence 
designating IDA positions for IG records. When the commander changes 
the IDA designee position, MAJCOM FOIA managers will advise HQ AFCIC/
ITC immediately. In the absence of the designated IDA, the individual 
filling/assuming that position acts as an IDA, however; all denial 
documentation must reflect the position title of the approved or 
designated IDA, even if in an acting capacity (for example, Acting 
Director of Communications and Information, Headquarters Air Combat 
Command).
    (e) Office of primary responsibility (OPR). A DoD element that 
either prepared, or is responsible for, records identified as 
responsive to a FOIA request. OPRs coordinate with the office of 
corollary responsibility (OCR) and FOIA managers to assist IDAs in 
making decisions on FOIA requests.
    (f) OCR. A DoD element with an official interest in, and/or 
collateral responsibility for, the contents of records identified as 
responsive to a FOIA request, even though those records were either 
prepared by, or are the primary responsibility of, a different DoD 
element. OCRs coordinate with OPRs and FOIA managers to assist IDAs in 
making decisions on FOIA requests.
    (g) Appellate authority. The SAF has designated the Deputy General 
Counsel, Fiscal, Ethics, and Civilian Personnel (SAF/GCA) as the FOIA 
appellate authority.
    (h) Reading room. Any place where a member of the public may view 
FOIA records.


Sec. 806.5  Responsibilities.

    (a) The Director, Communications and Information (HQ USAF/SC) has 
overall responsibility for the Air Force FOIA Program. The Corporate 
Information Division (HQ AFCIC/ITC) administers the procedures 
necessary to implement the Air Force FOIA Program, submits reports to 
the Director, Freedom of Information and Security Review (DFOISR), and 
provides guidance and instructions to MAJCOMs. Responsibilities of 
other Air Force elements follow.
    (b) SAF/GCA makes final decisions on FOIA administrative appeals.
    (c) Installation commanders will: Comply with FOIA electronic 
reading room (ERR) requirements by establishing a FOIA site on their 
installation public web page and making frequently requested records 
(FOIA-processed (a)(2)(D)) records available through links from that 
site, with a link to the Air Force FOIA web page at http://
www.foia.af.mil. See Sec. 806.12(c).
    (d) MAJCOM commanders implement this instruction and appoint a FOIA 
manager, in writing. Send the name, phone number, office symbol, and e-
mail address to HQ AFCIC/ITC, 1250 Air Force Pentagon, Washington, DC 
20330-1250.
    (e) Air Force attorneys review FOIA responses for legal 
sufficiency, provide legal advice to OPRs, disclosure authorities, 
IDAs, and FOIA managers, and provide written legal opinions when 
responsive records (or portions of responsive records) are withheld. 
Air Force attorneys ensure factual and legal issues raised by 
appellants are considered by IDAs prior to sending the FOIA appeal 
files to the Secretary of the Air Force's designee for final action.
    (f) Disclosure authorities and IDAs apply the policies and guidance 
in this instruction, along with the written recommendations provided by 
staff elements, when considering what decisions to make on pending FOIA 
actions. Where any responsive records are denied, the IDA tells the 
requesters the nature of records or information denied, the FOIA 
exemption supporting the denial, the reasons the records were not 
released, and gives the requester the appeal procedures. In addition, 
on partial releases, IDAs must ensure requesters can see the placement 
and general length of redactions with the applicable exemption 
indicated. This procedure applies to all media, including electronic 
records. Providing placement and general length of redacted information 
is not required if doing so would harm an interest protected by a FOIA 
exemption. When working FOIA appeal actions for the appellate authority 
review:
    (1) IDAs grant or recommend continued denial (in full or in part) 
of the requester's appeal of the earlier withholding of responsive 
records, or adverse determination (for example, IDAs may release some 
or all of the previously denied documents).
    (2) IDAs reassess a request for expedited processing due to 
demonstrated compelling need, overturning or confirming the initial 
determination made by the FOIA manager.
    (3) When an IDA denies any appellate action sought by a FOIA 
requester, the IDA, or MAJCOM FOIA manager (for no record, fee, fee 
estimates, or fee category appeals) will indicate in writing that the 
issues raised in the FOIA appeal were considered and rejected (in full 
or in part). Include this written statement in the file you send to the 
Secretary of the Air Force in the course of a FOIA appeal action. Send 
all appeal actions through the MAJCOM FOIA office.
    (g) OPRs:
    (1) Coordinate the release or denial of records requested under the 
FOIA with OCRs, FOIA offices, and with Air Force attorneys on proposed 
denials.
    (2) Provide requested records. Indicate withheld parts of records 
annotated with FOIA exemption. Ensure requesters can see the placement 
and general length of redactions. This procedure applies to all media, 
including electronic records. Providing placement and general length of 
redacted information is not required if doing so would harm an interest 
protected by a FOIA exemption.
    (3) Provide written recommendations to the disclosure authority to 
determine whether or not to release records, and act as 
declassification authority when appropriate.
    (4) Make frequently requested records (FOIA-processed (a)(2)(D)) 
available to the public in the FOIA ERR via the Internet. As required 
by AFIs 33-129, Transmission of Information Via the Internet, and 35-
205, Air Force Security and Policy Review Program, OPRs request 
clearance of these records with the PAO before posting on the WWW, and 
coordinate with JA and FOIA office prior to posting. The FOIA manager, 
in coordination with the functional OPR or the owner of the records, 
will determine qualifying records, after coordination with any 
interested OCRs.
    (5) Complete the required GILS core record for each FOIA-processed 
(a)(2)(D) record.

[[Page 72810]]

    (6) Manage ERR records posted to the installation public web page 
by updating or removing them when no longer needed. Software for 
tracking number of hits may assist in this effort.
    (h) FOIA managers:
    (1) Ensure administrative correctness of all FOIA actions 
processed.
    (2) Control and process FOIA requests.
    (3) Obtain recommendations from the OPR for records.
    (4) Prepare or coordinate on all proposed replies to the requester. 
FOIA managers may sign replies to requesters when disclosure 
authorities approve the total release of records. If the MAJCOM part 
directs the OPR to prepare the reply, the OPR will coordinate their 
reply with the FOIA office.
    (5) Make determinations as to whether or not the nature of requests 
are simple or complex where multitrack FOIA request processing queues 
exist.
    (6) Approve or initially deny any requests for expedited 
processing.
    (7) Provide interim responses to requesters, as required.
    (8) Provide a reading room for inspecting and copying records.
    (9) Provide training.
    (10) Review publications for compliance with this part.
    (11) Conduct periodic program reviews.
    (12) Approve or deny initial fee waiver requests.
    (13) Make the initial decision on chargeable fees.
    (14) Collect fees.
    (15) Send extension notices.
    (16) Submit reports.
    (17) Sign ``no record'' responses.
    (18) Provide the requester the basis for any adverse determination 
(i.e., no records, fee denials, fee category determinations, etc.) in 
enough detail to permit the requester to make a decision whether or not 
to appeal the actions taken, and provide the requester with appeal 
procedures.
    (i) On appeals, FOIA managers:
    (1) Reassess a fee category claim by a requester, overturning or 
confirming the initial determination.
    (2) Reassess a request for expedited processing due to demonstrated 
compelling need, overturning or confirming the initial determination.
    (3) Reassess a request for a waiver or reduction of fees, 
overturning or confirming the initial determination.
    (4) Review a fee estimate, overturning or confirming the initial 
determination.
    (5) Confirm that no records were located in response to a request.
    (j) The base FOIA manager acts as the FOIA focal point for the FOIA 
site on the installation web page.
    (k) When any appellate action sought by a FOIA requester is denied 
by an IDA or FOIA manager for authorized actions, the IDA or FOIA 
manager will indicate, in writing, that the issues raised in the FOIA 
appeal were considered and rejected (in full or in part). Include this 
written statement in the file you send to the Secretary of the Air 
Force in the course of a FOIA appeal action. Send all appeal actions 
through the MAJCOM FOIA office.


Sec. 806.6  Prompt action on requests.

    (a) Examples of letters to FOIA requesters (e.g., response 
determinations and interim responses) are included in Sec. 806.27.
    (b) Multitrack processing. (1) Examples of letters to FOIA 
requesters (e.g., letters to individuals who have had their FOIA 
request placed in the complex track) are included in Sec. 806.27.
    (2) Simple requests can be processed quickly, with limited impact 
on the responding units. The request clearly identifies the records 
with no (or few) complicating factors involved. There are few or no 
responsive records, only one installation is involved, there are no 
outside OPRs, no classified or nongovernment records, no deliberative 
process/privileged materials are involved, records contain no (or 
limited) personal privacy information/did not come from Privacy Act 
systems of records concerning other individuals, or time extensions not 
anticipated.
    (c) Complex requests will take substantial time, will cause 
significant impact on responding units. Complications and delays are 
likely. Records sought are massive in volume, multiple organizations 
must review/coordinate on records, records are classified, records 
originated with a nongovernment source, records were part of the Air 
Force's decision-making process or are privileged.
    (d) Expedited processing. Examples of letters to individuals whose 
FOIA requests and/or appeals were not expedited are included in 
Sec. 806.27.


Sec. 806.7  Use of exemptions.

    (a) A listing of some AFIs that provide guidance on special 
disclosure procedures for certain types of records is provided in 
Sec. 806.28. Refer to those instructions for specific disclosure 
procedures. Remember, the only reason to deny a request is a FOIA 
exemption.
    (b) Refer requests from foreign government officials that do not 
cite the FOIA to your foreign disclosure office and notify the 
requester.
    (c) If you have a non-U.S. Government record, determine if you need 
to consult with the record's originator before releasing it (see 
Sec. 806.9 and Sec. 806.15(c)). This includes records created by 
foreign governments and organizations such as North Atlantic Treaty 
Organization (NATO) and North American Aerospace Defense (NORAD). You 
may need to coordinate release of foreign government records with 
either the U.S. Department of State or with the specific foreign 
embassy, directly through the MAJCOM FOIA office. Coordinate release or 
denial of letters of offer and acceptance (LOA) with SAF/IA through 11 
CS/SCSR (FOIA), 1000 Air Force Pentagon, Washington DC 20330-1000.


Sec. 806.8  Description of requested record.

    Air Force elements must make reasonable efforts to find the records 
described in FOIA requests. Reasonable efforts means searching all 
activities and locations most likely to have the records, and includes 
staged or retired records, as well as complete and thorough searches of 
relevant electronic records, such as databases, word processing, and 
electronic mail files.


Sec. 806.9  Referrals.

    (a) Send all referrals through the FOIA office. The receiving FOIA 
office must agree to accept the referral before transfer. The FOIA 
office will provide the name, phone number, mailing address, and e-mail 
address of both the FOIA office point of contact and the record OPR 
point of contact in their referral letter. Include the requested 
record. If the requested records are massive, then provide a 
description of them. Referrals to, or consultations with, DFOISR are 
accomplished from the MAJCOM level. Section 806.27 has an example of a 
referral memo.
    (b) In some cases, requested records are available from the GPO and 
NTIS, 5285 Port Royal Road, Springfield VA 22161. These organizations 
offer certain records for sale to the public.     Current standard 
releasable Air Force publications are available
electronically on the WWW at
http://afpubs.hq.af.mil/. For requesters without electronic access, 
NTIS has paper copies for sale. Give requesters the web address or NTIS 
address when appropriate. However, if the requester prefers to pursue 
the FOIA process, consult with HQ AFCIC/ITC through the MAJCOM. Refer 
FOIA requests for Air Force publications that are classified, FOUO, 
rescinded, or superseded to the OPR through the appropriate FOIA 
office.


Sec. 806.10  Records management.

    Keep records that were fully released for 2 years and denied 
records for 6 years. Include in the 6-year record file copies of 
records or parts of records that

[[Page 72811]]

were released in response to the same request. Refer to Air Force 
Manual (AFMAN) 37-139, Records Disposition Schedule (converting to 
AFMAN 33-339, see Sec. 806.9(b)). The functional OPR or FOIA office may 
keep the records released or denied. The FOIA office keeps the FOIA 
case file for each request. The FOIA case file consists of: the initial 
request; tasking to OPRs; OPR's reply; memoranda for record (MFR) of 
phone calls or other actions related to the FOIA request; DD Forms 
2086, Record of Freedom of Information (FOI) Processing Cost, or 2086-
1, Record of Freedom of Information (FOI) Processing Cost for Technical 
Data; final response; and any of the following, if applicable: 
extension letter; legal opinions; submitter notification letters and 
replies; the appeal and required attachments (except for the released 
or denied records if maintained by the OPR); and all other 
correspondence to and from the requester.


Sec. 806.11  FOIA reading rooms.

    Each FOIA office will arrange for a reading room where the public 
may inspect releasable records. You do not need to co-locate the 
reading room with the FOIA office. The FOIA does not require creation 
of a reading room dedicated exclusively to this purpose. A ``reading 
room'' is any location where a requester may review records. For FOIA-
processed (a)(3) records, if requesters meet the criteria for search 
and review costs, they must be paid before inspecting records. Assess 
reproduction costs at the time of inspection, if appropriate.


Sec. 806.12  Record availability.

    (a) HQ AFCIC/ITC will make the traditional FOIA-processed (a)(2) 
materials (5 U.S.C. 552(a)(2)(A), (B), and (C)) available to the 
public. Each Air Force activity must make 5 U.S.C. 552(a)(2)(D) records 
(``FOIA-processed (a)(2)(D) records''--records which they determine 
will, or have become, the subject of frequent or subsequent requests) 
available to the public in a reading room in hard copy and 
electronically by posting it to their appropriate web site. There is no 
requirement to make all FOIA-released records available electronically. 
The FOIA manager, in coordination with the functional OPR, or the owner 
of the records, determines qualifying records, after coordination with 
any interested OCRs. As required by AFIs 33-129 and 35-205, OPRs 
request clearance of these records with the PAO before posting on the 
WWW.
    (b) Normally, if the FOIA office or OPR receives, or anticipates 
receiving, five or more requests for the same record in a quarter, they 
will consider it a frequently requested record (FOIA-processed 
(a)(2)(D) record) and make it publicly available in hard copy and 
electronically as outlined in Sec. 806.12(a). OPRs may elect to make 
other records publicly available if they receive, or expect to receive, 
less than five requests a quarter. The purpose is to make records 
available in an ERR to potential future FOIA requesters instead of 
waiting to receive a FOIA request, and reduce the number of multiple 
FOIA requests for the same records requiring separate responses. In 
making these determinations, recognize there are some situations in 
which a certain type of record becomes the subject of simultaneous FOIA 
requests from all interested parties and then ceases to be of interest. 
Activities may typically receive a ``flurry'' of FOIA requests for 
contract records immediately after a contract is awarded, but do not 
receive any subsequent requests for such bulky records after that 
point. In some cases, activities may decide that placing records in the 
ERR would not serve the statutory purpose of ``diverting some potential 
FOIA requests for previously released records.'' The following types of 
records should be considered for inclusion in the ERR (excluding 
individuals assigned to overseas, sensitive, and routinely deployable 
units): organizational charts and limited staff directories; lists of 
personnel reassigned with gaining base; MAJCOM FOIA supplements; lists 
of International Merchant Purchase Authority Card (IMPAC) card holders. 
Do not post lists of e-mail addresses.
    (c) GILS. Each activity that posts FOIA-processed (a)(2)(D) records 
(records which they determine will, or have become, the subject of 
frequent or subsequent requests) must create a GILS record for each 
FOIA-processed (a)(2)(D) record and post it to DefenseLINK. The OPR 
prepares the GILS record. You can complete and submit a GILS record on-
line using a web browser. Instructions for completing the GILS record, 
and an on-line form are at http://www.defenselink.mil/locator/
index.html. Follow the steps listed on the web page. The GILS site on 
DefenseLINK will serve as the central index of Air Force FOIA-processed 
(a)(2)(D) records.
    (d) In addition, installations will post a list, or index, of 
locally produced FOIA-processed (a)(2)(D) records on their web page at 
their FOIA site. Each listing will point or link to the particular 
record. In addition, MAJCOMs may choose to post their own index of 
MAJCOM specific FOIA-processed (a)(2)(D) records to their appropriate 
web site. Installation web pages will include the following phrase (or 
similar words) on their FOIA site if they do not have any frequently 
requested FOIA records: ``There are no frequently requested FOIA 
records to post at this time.'' Include the following statement, or a 
similar one, on the installation web page with the records: ``Some 
records are released to the public under the FOIA, and may therefore 
reflect deletion of some information in accordance with the FOIA's nine 
statutory exemptions. A consolidated list of such records is on 
DefenseLINK.'' Link the word ``DefenseLINK'' to www.defenselink.mil/
locator/fpr__index.html. Qualifying releasable records with exempt 
information redacted must show on the record the amount of information 
withheld and the exemption reason (for example, (b)(6)). Activities 
with such records should provide the public an index and explanation of 
the FOIA exemptions. All installation FOIA pages will include a link to 
the Air Force page.
    (e) FOIA web pages should be clearly accessed from the main 
installation page, either by a direct link to ``FOIA'' or ``Freedom of 
Information Act'' from the main page, or found under a logical heading 
such as ``Library'' or ``Sites.''


Sec. 806.13  ``5 U.S.C. 552(a)(2)'' materials.

    The GILS records on DefenseLINK will serve as the index for 5 
U.S.C. 552(a)(2)(D) materials.


Sec. 806.14  Other materials.

    HQ AFCIC/ITC makes the appropriate FOIA-processed (a)(1) materials 
available for the Air Force.


Sec. 806.15  FOIA exemptions.

    (a) Exemption number 1. When a requester seeks records that are 
classified, or should be classified, only an initial classification 
authority, or a declassification authority, can make final 
determinations with respect to classification issues. The fact that a 
record is marked with a security classification is not enough to 
support withholding the document; make sure it is ``properly and 
currently classified.'' Review the record paragraph by paragraph for 
releasable information. Review declassified and unclassified parts 
before release to see if they are exempt by other exemptions. Before 
releasing a reviewed and declassified document, draw a single black 
line through all the classification markings so they are still legible 
and stamp the document unclassified. If the requested records are 
``properly and currently classified,'' and the Air Force withholds

[[Page 72812]]

from release under FOIA exemption (b)(1), and the requester appeals the 
withholding, include a written statement from an initial classification 
authority or declassification authority certifying the data was 
properly classified originally and that it remains properly classified 
per Executive Order. Examples of initial classification and 
declassification authority statements are included in Sec. 806.27. 
Guidance on document declassification reviews is in AFI 31-401, 
Managing the Information Security Program, and DoD 5200.1-R, 
Information Security Program, January 1997.
    (b) Exemption number 3. HQ AFCIC/ITC will provide the current FOIA-
processed (b)(3) statutes list to the MAJCOMs.
    (c) Exemption number 4. The Air Force, in compliance with Executive 
Order 12600, will advise submitters of contractor-submitted records 
when a FOIA requester seeks the release of such records, regardless of 
any initial determination of whether FOIA exemption (b)(4) applies. 
(See Sec. 806.20(a) and Sec. 806.31). Due to a change to Title 48 CFR, 
Federal Acquisition Regulations System, submitter notification is not 
required prior to release of unit prices contained in contracts awarded 
based upon solicitations issued after January 1. 1998. For 
solicitations issued before January 1, 1998, conduct a normal submitter 
notice. Unit prices contained in proposals provided prior to contract 
award are protected from release, as are all portions of unsuccessful 
proposals (before and after contract award) (10 U.S.C. 2305(g), 
Prohibition on Release of Contractor Proposals).
    (d) Exemption number 5. (1) Attorney-client records could include, 
e.g., when a commander expresses concerns in confidence to his or her 
judge advocate and asks for a legal opinion. The legal opinion and 
everything the commander tells the judge advocate in confidence qualify 
under this privilege. Unlike deliberative process privilege, both facts 
and opinions qualify under the attorney work product or attorney-client 
privilege. Attorney work product records are records an attorney 
prepares, or supervises the preparation of, in contemplating or 
preparing for administrative proceedings or litigation.
    (2) Based on court decisions in FOIA litigation, which led to the 
release of results of personnel surveys, FOIA managers and IDAs should 
get advice from an Air Force attorney before withholding survey results 
under FOIA exemption (b)(5).
    (e) Exemption number 6. (1) AFI 37-132, Air Force Privacy Act 
Program (will convert to AFI 33-332) provides guidance on collecting 
and safeguarding social security numbers (SSN). It states: ``SSNs are 
personal and unique to each individual. Protect them as FOUO. Do not 
disclose them to anyone without an official need to know.'' Before 
releasing an Air Force record to a FOIA requester, delete SSNs that 
belong to anyone other than the requester. In any subsequent FOIA 
release to a different requester of those same records, make sure SSNs 
are deleted. When feasible, notify Air Force employees when someone 
submits a FOIA request for information about them. The notification 
letter should include a brief description of the records requested. 
Also include a statement that only releasable records will be provided 
and we will protect personal information as required by the FOIA and 
Privacy laws.
    (2) Personal information may not be posted at publicly accessible 
DoD web sites unless to do so is clearly authorized by law and 
implementing regulation and policy. Personal information should not be 
posted at nonpublicly accessible web sites unless it is mission 
essential and appropriate safeguards have been established. See also 
AFIs 33-129 and 35-205.
    (3) Withhold names and duty addresses of personnel serving overseas 
or in sensitive or routinely deployable units. Routinely deployable 
units normally leave their permanent home stations on a periodic or 
rotating basis for peacetime operations or for scheduled training 
exercises conducted outside the United States or United States 
territories. Units based in the United States for a long time, such as 
those in extensive training or maintenance activities, do not qualify 
during that period. Units designated for deployment on contingency 
plans not yet executed and units that seldom leave the United States or 
United States territories (e.g., annually or semiannually) are not 
routinely deployable units. However, units alerted for deployment 
outside the United States or United States territories during actual 
execution of a contingency plan or in support of a crisis operation 
qualify. The way the Air Force deploys units makes it difficult to 
determine when a unit that has part of its personnel deployed becomes 
eligible for denial. The Air Force may consider a unit deployed on a 
routine basis or deployed fully overseas when 30 percent of its 
personnel have been either alerted or actually deployed. In this 
context, alerted means that a unit has received an official written 
warning of an impending operational mission outside the United States 
or United States territories. Sensitive units are those involved in 
special activities or classified missions, including, for example, 
intelligence-gathering units that collect, handle, dispose of, or store 
classified information and materials, as well as units that train or 
advise foreign personnel.
    (i) Each MAJCOM and FOA will establish a system and assign OPRs to 
identify United States-based units in their command qualifying for the 
``sensitive or routinely deployable unit'' designation, under this 
exemption. Appropriate OPRs could include directors of operations, 
plans and programs, and personnel.
    (ii) MAJCOM FOIA managers will ensure the list of sensitive and 
routinely deployable units is reviewed in January and July, and will 
follow that review with a memo to the Air Force Personnel Center (HQ 
AFPC/MSIMD), 550 C Street West, Suite 48, Randolph AFB, TX 78150-4750, 
either validating the current list or providing a revised listing based 
on the current status of deployed units at that time. This listing is 
in American Standard Code for Information Interchange (ASCII) format on 
a 3\1/2\'' (double-sided, high-density) diskette, which contains the 
unit's eight-position personnel accounting symbol (PAS) code, with one 
PAS code per line (record) (8-byte record). The MAJCOM FOIA manager 
will send an electronic copy of the list of nonreleasable units to HQ 
AFPC/MSIMD which is included in the personnel data system. The MAJCOM 
and HQ AFPC FOIA offices will use it to determine releasable lists of 
names and duty addresses. This reporting requirement is exempt from 
licensing with a reports control symbol (RCS) in accordance with AFI 
37-124, The Information Collections and Reports Management Program; 
Controlling Internal, Public, and Interagency Air Force Information 
Collections (will convert to AFI 33-324).
    (f) Exemption number 7. Guidance provided in Sec. 806.15(e)(1) also 
applies to SSNs in records compiled for law enforcement purposes. Do 
not disclose SSNs to anyone without an official need to know.


Sec. 806.16  For official use only.

    (a) Markings. Record owners may also add the following sentence to 
the statement above: ``(Further distribution is prohibited without the 
approval of (owner's organization, office symbol, phone).)''
    (b) Dissemination and transmission. (1) When deciding whether to 
send FOUO records over facsimile equipment, balance the sensitivity of 
the

[[Page 72813]]

records against the risk of disclosure. When faxing, use cover sheets 
to indicate FOUO attachments (i.e., AF Form 3227, Privacy Act Cover 
Sheet, for Privacy Act information). Consider the location of sending 
and receiving machines and ensure authorized personnel are available to 
receive FOUO information as soon as it is transmitted.
    (2) For Privacy Act records, refer to AFI 33-332 for specific 
disclosure rules. For releases to GAO and Congress, refer to AFI 90-
401, Air Force Relations With Congress and AFI 65-401, Relations With 
the General Accounting Office. See Sec. 806.9(b) for availability.
    (c) Termination, disposal and unauthorized disclosures. You may 
recycle FOUO material. Safeguard the FOUO documents or information to 
prevent unauthorized disclosure until recycling. Recycling contracts 
must include specific responsibilities and requirements on protecting 
and destroying FOUO and Privacy Act materials.


Sec. 806.17  Release and processing procedures.

    (a) Individuals seeking Air Force information should address 
requests to an address listed in Sec. 806.26. MAJCOM FOIA office phone 
numbers and mailing addresses are available on the Air Force FOIA Web 
Page at http://www.foia.af.mil.
    (1) A list of Air Force FOIA processing steps, from receipt of the 
request through the final disposition of an administrative appeal is at 
Sec. 806.29, which also includes guidance on preparing and processing 
an Air Force FOIA appeal package.
    (2) Air Force host tenant relationships. The Air Force host base 
FOIA manager may log, process, and report FOIA requests for Air Force 
tenant units. In such cases, the host base FOIA office refers all 
recommended denials and ``no records'' appeals to the Air Force tenant 
MAJCOM FOIA manager. This does not apply to the Air National Guard 
(ANG), Air Force Reserves, or to disclosure authorities for specialized 
records.
    (b) Use FOIA procedures in this part to process any congressional 
request citing FOIA, or covering a constituent letter citing FOIA. This 
does not apply to requests from a Congressional Committee or 
Subcommittee Chair on behalf of the committee or subcommittee.


Sec. 806.18  Initial determinations.

    (a) Disclosure authorities make final decisions on providing 
releasable records within the time limits and provide recommendations 
to the IDA on proposed denials and partial denials after coordination 
with the appropriate FOIA and JA office. Normally, disclosure 
authorities are division chiefs or higher at Air Staff level. MAJCOMs 
will designate their disclosure authority levels. The level should be 
high enough so a responsible authority makes the disclosure according 
to the policies outlined in this part. At out sourced units or 
functions, the disclosure authority must be a government official. 
Contractors who are functional OPRs for official government records are 
not authorized to make the decision to disclose government records.
    (b) On receipt, Air Force FOIA offices will promptly inform Air 
Force PAOs of all FOIA requests that are potentially newsworthy, or 
that are submitted by news media requesters. FOIA offices will 
coordinate final replies for such cases with public affairs.


Sec. 806.19  Reasonably segregable portions.

    Delete information exempt from release under the FOIA from copies 
of otherwise releasable records. Do not release copies that would 
permit the requester to ``read through the marking.'' Examples of 
records with deletions of exempted data are in Sec. 806.30.


Sec. 806.20  Records of non-U.S. government source.

    (a) The Air Force, in compliance with Executive Order 12600, will 
advise submitters of contractor-submitted records when a FOIA requester 
seeks the release of such records, regardless of any initial 
determination as to whether FOIA exemption (b)(4) applies. See 
Sec. 806.15(c) and Sec. 806.31. Due to a change to 48 CFR, submitter 
notification is not required prior to release of unit prices contained 
in contracts awarded based upon solicitations issued after January 1, 
1998. For solicitations issued before January 1, 1998, conduct a normal 
submitter notice. Unit prices contained in proposals provided prior to 
contract award are protected from release, as are all portions of 
unsuccessful proposals (before and after contract award) (10 U.S.C. 
2305(g)).
    (b) Department of State involvement. Air Force FOIA managers will 
notify their MAJCOM (or equivalent) FOIA office, in writing, via fax or 
e-mail when the Department of State becomes involved in any Air Force 
FOIA actions. The MAJCOM FOIA office will provide 11 CS/SCSR, via fax 
or e-mail, a summary of the issues involved, and the name, phone 
number, mailing address and e-mail address of: their own FOIA office 
point of contact; the Air Force record OPR point of contact, the DoD 
component FOIA office point of contact (if any), and the Department of 
State point of contact. 11 CS/SCSR will inform SAF/IA of any State 
Department involvement in Air Force FOIA actions. (See Sec. 806.7(b).) 
An example of a memo advising 11 CS/SCSR of State Department 
involvement in an Air Force FOIA action is provided in Sec. 806.27.


Sec. 806.21  Appeals.

    (a) FOIA requesters seeking Air Force records must address appeals 
to the Office of the Secretary of the Air Force, through the FOIA 
office of the IDA that denied the request. Requesters should attach a 
copy of the denial letter to their appeal and give reasons for 
appealing. Air Force IDAs may reconsider any prior denials and may 
grant all or part of a requester's appeal. When any appellate action 
sought by a FOIA requester is denied by an IDA, the IDA will include a 
statement that the issues raised in the appeal were considered and 
rejected (in full or in part) in any file sent to the Secretary of the 
Air Force in the course of a FOIA appeal action. Send all appeals to 
IDA decisions at the wing level through the MAJCOM FOIA office for 
sending to the Secretary of the Air Force's designated appellate 
authority, SAF/GCA (and Air Force Legal Services Agency (AFLSA/JACL)). 
(See Secs. 806.4(g), 806.5(b), and Sec. 806.5(k).) Additional steps are 
required prior to sending an appeal file.
    (1) MAJCOM FOIA offices and record OPRs are responsible for 
ensuring adequate preparation of the FOIA appeal package for 
reconsideration by the IDA. FOIA offices and records OPRs will 
coordinate with Air Force attorneys, who will provide written opinions 
on substantive issues raised in the appeal.
    (2) If a requester appeals an Air Force ``no records'' 
determination, Air Force elements must search again or verify the 
adequacy of their first search. The package must include documents that 
show the Air Force element systematically tried to find responsive 
records. Tell, for example, what areas or offices were searched and how 
the search was conducted--manually, by computer, by telephone, and so 
forth. In the event a requester sues the Air Force to contest a 
determination that no responsive records exist, formal affidavits are 
required to support the adequacy of any searches conducted.
    (3) FOIA requesters seeking to appeal denials involving Office of 
Personnel Management's controlled civilian personnel records must 
appeal to the Office of the General Counsel, Office of Personnel 
Management, 1900 E Street NW, Washington, DC 20415.

[[Page 72814]]

    (4) If a requester appeals a denial of a fee waiver, fee estimate, 
or fee reduction request, FOIA offices and record OPRs must account for 
actual and estimated costs of processing a request, and will include 
copies of the DD Forms 2086 or 2086-1 in the appeal package.
    (5) When any appellate action sought by a FOIA requester is denied 
by an IDA, prepare the FOIA appeal package as specified in Sec. 806.29, 
and then the MAJCOM FOIA office forwards the appeal file to the 
Secretary of the Air Force's designated appellate authority, SAF/GCA 
(through AFLSA/JACL), for a final administrative determination.
    (b) Air Force activities will process appeal actions expeditiously 
to ensure they reach the Office of the Secretary of the Air Force in a 
timely manner.


Sec. 806.22  Time limits.

    Any FOIA appeals received after the 60-day time limit are not 
processed, unless the requester provides adequate justification for 
failing to comply with the time limit. If a late appeal is received, 
and there is no adequate justification for failing to comply with the 
time limit, the FOIA office will advise the FOIA requester their appeal 
has been closed. An example of a closure letter is included in 
Sec. 806.27.


Sec. 806.23  Delay in responding to an appeal.

    For an appeal in process and not yet forwarded to AFLSA/JACL, the 
MAJCOM FOIA office is responsible for advising the requester of the 
status of the appeal. For an appeal in process at AFLSA/JACL, that 
office will advise the requester regarding status of the appeal.


Sec. 806.24  Fee restrictions.

    For FOIA purposes, Air Force activities will consider the cost of 
collecting a fee to be $15 and will not assess requesters' fees for any 
amount less than $15.


Sec. 806.25  Annual report.

    (a) MAJCOM FOIA managers and AFLSA/JACL send a consolidated report 
for the fiscal year on DD Form 2564, Annual Report Freedom of 
Information Act, to HQ AFCIC/ITC by October 30 via regular mail, e-
mail, or facsimile. AFLSA/JACL will prepare the appeals and litigation 
costs sections of the report. HQ AFCIC/ITC will make the Air Force 
report available on the WWW.
    (b) Total requests processed. ``Processed'' includes responses that 
give an estimated cost for providing the records, even if the requester 
has not paid.
    (c) Denied in full. Do not report ``no record'' responses as 
denials.
    (d) Other reasons.
    (1) Referrals. Also include referrals within Air Force in this 
category.
    (2) Not an agency record. The ``not an agency record'' other reason 
category only applies to requests for: objects or articles such as 
structures, furniture, vehicles and equipment, whatever their 
historical value, or value as evidence; anything that is not a tangible 
or documentary record such as an individual's memory or oral 
communication; and 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. This category does 
not include ``no record'' responses.
    (e) Other. The ``Other (Specify)'' block must contain the reason 
with the total number for the reason. For example: ``FOIA request had 
no return address-4.''
    (f) 5 U.S.C. 552(b)(3) statutes invoked on initial determinations. 
A corresponding statute is required for each instance entered in the 
Exemption 3 block. List the statute by number, not title. For any 
statute on the report that is not on DoD's list of commonly used 5 
U.S.C. 552(b)(3) statutes, attach a copy of the pertinent page of the 
statute that states information must be withheld from public 
disclosure. HQ AFCIC/ITC makes the DoD list available to FOIA managers 
electronically. Statutes on the DoD list with an asterisk indicate they 
are valid 5 U.S.C. 552(b)(3) statutes from litigation. Do not enter any 
of the following as 5 U.S.C. 552(b)(3) statutes:

5 U.S.C. 552
5 U.S.C. 552a
28 U.S.C. 1498
17 U.S.C. 101
18 U.S.C. 1905.

    (g) Appeal determinations. Enter the total number of FOIA appeals 
received and total number of FOIA appeals completed during the fiscal 
year.
    (h) Average. Air Force will use the ``median age'' and will not 
collect or report averages.
    (i) Number of initial requests received during the fiscal year. 
This number includes open and closed cases.
    (j) Total number of initial requests. ``Processed'' includes 
responses which give an estimated cost for providing the records, even 
if the requester has not paid.
    (k) Total program cost. This figure includes all costs from the DD 
Forms 2086 and 2086-1, as well as personnel costs for individuals 
primarily involved in administering the FOIA program. To figure 
personnel costs, multiply the annual salary of each person by the 
percentage of time spent on FOIA.
    (l) MAJCOMs and bases do not include the 25 percent. HQ AFCIC/ITC 
will add to the final Air Force report to DoD.
    (m) Authentication. MAJCOM SCs will sign as approving official (or 
two-letter functional equivalent for FOIA offices in other functional 
areas).


Sec. 806.26  Addressing FOIA requests.

    (a) FOIA requests concerning Air National Guard Inspector General 
records should be sent to 11 CS/SCSR (FOIA), 1000 Air Force Pentagon, 
Washington, DC 20330-1000.
    (b) Addressing Air Force Freedom of Information Act requests. The 
Department of the Air Force, a component of the DoD, includes the 
Office of the Secretary of the Air Force, the Chief of Staff of the Air 
Force (who is supported by Headquarters Air Force or ``Air Staff'' 
elements), the MAJCOMs, the FOAs, and DRUs. This section lists the FOIA 
office addresses. A selected subordinate unit is also included in this 
section. Realignment of Air Force elements is frequent; addresses 
listed below are subject to change.
    (c) The Department of the Air Force does not have a central 
repository for Air Force records. FOIA requests are addressed to the 
Air Force element that has custody of the record desired. In answering 
inquiries regarding FOIA requests, Air Force personnel will assist 
requesters in determining the correct Air Force element to address 
their requests. If there is uncertainty as to the ownership of the 
record desired, refer the requester to the Air Force element that is 
most likely to have the record. Two organizations that include Air 
Force elements, and hold some Air Force-related records, are also 
included in the addresses listed below.
    (d) MAJCOMs:

(1) Air Combat Command (ACC): HQ ACC/SCTC, 230 East Flight Line Road, 
Langley AFB VA 23665-2781.
(2) Air Education and Training Command (AETC): HQ AETC/SCTS, 61 Main 
Circle Suite 2, Randolph AFB TX 78150-4545.
(3) Air Force Materiel Command (AFMC): HQ AFMC/SCDP, 4225 Logistics 
Avenue, Suite 6, Wright-Patterson AFB, OH 45433-5745.
(4) Air Force Reserve Command (AFRC): HQ AFRC/SCSM, 155 2nd Street, 
Robins AFB, GA 31098-1635.
(5) Air Force Special Operations Command (AFSOC): HQ AFSOC/SCMN, 100 
Bartley Street, Suite 201, Hurlburt Field, FL 32544-5273.
(6) Air Force Space Command (AFSPC): HQ AFSPC/SCMA, 150 Vandenberg

[[Page 72815]]

Street, Suite 1105, Peterson AFB, CO 80914-4400.
(7) Air Mobility Command (AMC): HQ AMC/SCYNR, 203 West Losey Street, 
Room 3180, Scott AFB, IL 62225-5223.
(8) Pacific Air Forces (PACAF): HQ PACAF/SCT, 25 E Street, Suite C220, 
Hickam AFB, HI 96853-5409.
(9) United States Air Forces in Europe (USAFE): HQ USAFE/SCMI, Unit 
3050, Box 125, APO AE 09094-0125.

    (e) FOAs:
    (1) Air Force Audit Agency (AFAA): HQ AFAA/IMP, 1126 Air Force 
Pentagon, Washington, DC 20330-1126.
    (2) Air Force Base Conversion Agency (AFBCA): AFBCA/ESA, 1700 North 
Moore Street, Suite 2300, Arlington, VA 22209-2802.
    (3) Air Force Center for Environmental Excellence (AFCEE): HQ 
AFCEE/MSI, 3207 North Road, Brooks AFB, TX 78235-5363.
    (4) Air Force Civil Engineering Support Agency (AFCESA): HQ AFCESA/
IMD, 139 Barnes Drive Suite 1, Tyndall AFB, FL 32403-5319.
    (5) Air Force Historical Research Agency (AFHRA): AFHRA/RSA, 600 
Chennault Circle, Maxwell AFB, AL 36112-6424.
    (6) Air Force Inspection Agency (AFIA): (Shared FOIA office/
function, AFIA and Air Force Safety Agency) AFSA/JAR, 9700 Avenue G SE, 
Suite 236B, Kirtland AFB, NM 87117-5670.
    (7) Air Force Medical Support Agency (AFMSA): AFMSA/CCEA, 2510 
Kennedy Circle, Suite 208, Brooks AFB, TX 78235-5121.
    (8) Air Force News Agency (AFNEWS): HQ AFNEWS/SCB, 203 Norton 
Street, Kelly AFB, TX 78241-6105.
    (9) Air Force Office of Special Investigations (AFOSI): HQ AFOSI/
SCR, P. O. Box 2218, Waldorf, MD 20604-2218.
    (10) Air Force Personnel Center (AFPC): HQ AFPC/MSIMD, 550 C Street 
West, Suite 48, Randolph AFB, TX 78150-4750.
    (11) Air Force Center for Quality and Innovation (AFCQMI): AFCQMI/
CSP, 550 E Street East, Randolph AFB, TX 78150-4451.
    (12) Air Force Safety Agency (AFSA): (Shared FOIA office/function, 
AFIA, and AFSA) AFSA/JARF, 9700 Avenue G SE, Suite 236B, Kirtland AFB, 
NM 87117-5670.
    (13) Air Force Security Forces Center (AFSFC): AFSFC/CCQ 1720 
Patrick Street, Lackland AFB, TX 78236-5226.
    (14) Air Force Services Agency (AFSVA): AFSVA/SVSR, 9504 1H-35 
North, Suite 250, San Antonio, TX 78233-6635.
    (15) Air Force Technical Applications Center (AFTAC): AFTAC/LSCS, 
1030 South Highway, Suite A1A, Patrick AFB, FL 32925-6001.
    (16) Air Intelligence Agency (AIA): AIA/DOOI, 102 Hall Boulevard, 
Suite 229, San Antonio, TX 78243-7029.
    (17) Air Reserve Personnel Center (ARPC): ARPC/SCS, 6760 East 
Irvington Place, #6600, Denver, CO 80280-6600.
    (18) Air Force Weather Agency (AFWA): HQ AFWA/SCI, 106 Peacekeeper 
Drive Suite 2N3, Offutt AFB, NE 68113-4039.
    (19) Air Force History Support Office (AFHSO): AFHSO, 500 Duncan 
Avenue Box 94, Bolling AFB, DC 20332-1111.
    (f) DRUs:
    (1) Air Force Operational Test and Evaluation Center (AFOTEC): 
AFOTEC/SCM, 8500 Gibson Boulevard SE, Kirtland AFB, NM 87117-5558.
    (2) 11th Wing: 11 CS/SCSR (FOIA), 1000 Air Force Pentagon, 
Washington, DC 20330-1000 (if a person is unsure where to send a FOIA 
request for Air Force records, or is seeking records from the Office of 
the Secretary of the Air Force, or other Headquarters Air Force 
records, use this address).
    (3) United States Air Force Academy (USAFA): 10 CS/SCBD, 2304 Cadet 
Drive, Suite 232, USAFA, CO 80840-5060.
    (g) Selected subordinate units: Air Force Communications Agency 
(AFCA): HQ AFCA/CCQI, 203 West Losey Street, Room 1022, Scott AFB, IL 
62225-5203.
    (h) Organizations which include air force elements:
    (1) Army and Air Force Exchange Service (AAFES): HQ AAFES/GC-E, 
P.O. Box 660202, Dallas, TX 75266-0202.
    (2) National Guard Bureau (NGB)/Air National Guard: NGB-AD, 2500 
Army Pentagon, Washington, DC 20310-2500. (FOIA requests concerning Air 
National Guard IG records should be sent to 11 CS/SCSR (FOIA), 1000 Air 
Force Pentagon, Washington, DC 20330-1000.)


Sec. 806.27  Samples of Air Force FOIA processing documents.

    (a) This section includes suggested language in paragraph format 
that tracks Air Force and DoD FOIA guidance. The rest of the body of 
letters and memorandums should comply with Air Force administrative 
guidance. Each MAJCOM may elect to prepare their own verbiage to meet 
their specific needs, so long as FOIA processing actions are consistent 
with guidance in DoD 5400.7-R and this part. In this section, language 
in parentheses is for explanatory purposes only. Do not include any of 
the parenthetical language of this section in your FOIA correspondence. 
When optional language must be selected, the optional language will be 
presented within parentheses. Use only the portions that apply to the 
specific request or response.
    (b) Initial receipt of Freedom of Information Act request.

    We received your Freedom of Information Act (FOIA) request dated 
## Month year, for (summarize the request) on ## Month year (date 
received). We will provide you our release determination by (enter 
date that is 20 workdays from date you received the request). (Based 
on our initial review, we believe we cannot process your request 
within 20 workdays.) (If ``cannot'' is used, add appropriate 
explanation; examples follow.) Please contact (name and commercial 
telephone number) if you have any questions and refer to case number 
#######.

    (c) Interim response:

    Your request will be delayed because: all or part of the 
responsive records are not located at this installation; (and/or) 
Processing this FOIA request will require us to collect and review a 
substantial number of records (and/or) Other Air Force activities or 
other agencies (if applicable) to include the submitter of the 
information, need to be involved in deciding whether or not to 
release the responsive records. We expect to reply to your request 
not later than (give a date that is not more than 30 workdays from 
the initial receipt of the request); (or) If processing the FOIA 
request will take more than the allowed time limits to respond). We 
find we are unable to meet the time limits imposed by the FOIA in 
this instance because (tell the requester the reason for the delay) 
(example: the records are classified and must be reviewed for 
possible declassification by other activities or agencies). We 
anticipate completing your request by (date).
    (When charging fees is appropriate.) The FOIA provides for the 
collection of fees based on the costs of processing a FOIA request 
and your fee category. Based on the information in your request, we 
have determined your fee category is (commercial/educational or 
noncommercial scientific institution or news media/all others). As a 
result, you (if commercial category) are required to pay all 
document search, review and duplication costs over $15.00. (or) As a 
result, you (if educational or noncommercial scientific institution 
or news media) will be provided the first 100 pages free of charge; 
you are required to pay any duplication costs over and above those 
amounts. (or) As a result, you will be provided the first 2 hours of 
search time and the first 100 pages free of charge; you are required 
to pay any search and duplication costs over and above those 
amounts.

    (d) Request for a more specific description:

    Your request does not sufficiently describe the desired records. 
The FOIA applies to existing Air Force records; without more 
specific information from you, we cannot

[[Page 72816]]

identify what documents might be responsive to your request. Please 
give us whatever additional details you may have on the Air Force 
records you want. Can you tell us when the records were created, and 
what Air Force element may have created the records? If this request 
involves an Air Force contract, do you know the contract number and 
dates it covered? Our address is (include name and complete mailing 
address), our fax number is (give fax number), our e-mail address is 
(optional--give complete e-mail address). Based on the original 
request you sent us, we are unable to respond.

    (e) Single letter acknowledging receipt of request and giving final 
response. (If you can complete a FOIA request within the statutory 20-
workday processing period, Air Force elements may elect to send a 
single letter to the requester, along with responsive records which are 
released to the requester in full).

    We received your Freedom of Information Act (FOIA) request dated 
## Month year, for (summarize the request) on ## Month year (date 
received). A copy (or) Copies of (describe the record(s) being 
released) (is/are) releasable and (is/are) attached.

    (f) Collection of fees:

    The FOIA provides for the collection of fees based on the costs 
of processing a FOIA request and your fee category. We have placed 
you in the (enter the fee category) fee category. In your case, we 
have assessed a charge of $____ for processing your request. The fee 
was calculated in the following manner: (Give a detailed cost 
breakdown: for example, 15 pages of reproduction at $0.15 per page; 
5 minutes of computer search time at $43.50 per minute, 2 hours of 
professional level search at $25 per hour.) Please make your check 
payable to (appropriate payee) and send it to (give your complete 
mailing address) by (date 30 days after the letter is signed). (or) 
The FOIA provides for the collection of fees based on the costs of 
processing a FOIA request and your fee category. We have placed you 
in the (enter the fee category); however, in this case, we have 
waived collecting fees.

    (g) Multitrack processing letters to FOIA requesters. (When using 
the multitrack FOIA processing system, determine which of the following 
paragraphs to include in your letters to the requester. To the extent 
it may apply, include language from paragraph 2 of the sample. If a 
requester asks for expedited processing, answer carefully if you decide 
not to provide expedited processing, because requesters may appeal 
denial of their request for expedited processing. Advise requesters 
placed into the complex track in writing how they can simplify their 
request to qualify for the simple track.)

    We received your Freedom of Information Act (FOIA) request dated 
## Month year, for (summarize the request) on ## Month year (date 
received). Because our organization has a significant number of 
pending FOIA requests, which prevents us from making a response 
determination within 20 workdays, we have instituted multitrack 
processing of requests. Based on the information you provided, we 
have placed your request in the (simple or complex) track. We have 
assigned number ##### to identify your request; should you need to 
contact us about your request, please write or call (name and 
telephone) and use this number to assist us in responding more 
promptly.
    Based on our current backlog, we expect to respond to your 
request not later than (give an estimated date). Our policy is to 
process requests within their respective tracks in the order in 
which we receive them. We do process each FOIA request as quickly as 
we can.

    (h) If the request is placed in the complex track:

    In your case, processing your request is complex because (give 
basic reasons this is a complex case: request was vague or 
complicated; the records sought are voluminous; multiple 
organizations will have to work on this request; records are 
classified; responsive records came from another command/another 
service/a nongovernment source; responsive records were part of the 
Air Force's decision-making process, and the prerelease review will 
require policy determinations from different Air Force elements; 
records describe law enforcement activities; records involve foreign 
policy issues; due to the nature of your request and/or the nature 
of our computer system, responding to your request or providing a 
response in the electronic format you requested will be technically 
complex, etc.). Simplifying your request might permit quicker 
processing in the following ways: (describe ways the search could be 
narrowed to fewer records, or ways policy issues could be avoided, 
etc.) Can you tell us when the records were created, and what Air 
Force element may have created the records? If this request involves 
an Air Force contract, do you know the contract number? Please give 
us whatever additional details you may have on the Air Force records 
you are seeking, so we can attempt to streamline the processing of 
your request. Our address is (give complete mailing address), our 
fax number is (give fax number), our e-mail address is (optional--
give complete e-mail address).

    (i) If the requester asks that you expedite their request:

    Because individuals receiving expedited processing may receive a 
response before other earlier requesters, there are administrative 
requirements you must meet before we can expedite a request. In your 
request, you asked that we expedite processing. In order for us to 
expedite a request, the requester must provide a statement 
certifying the reasons supporting their request are true and correct 
to the best of their knowledge.
    In the second category, ``urgently needed'' means the 
information itself has a particular value that it will lose if it is 
not disseminated quickly. Ordinarily this means the information 
concerns a breaking news story of general public interest. Historic 
information, or information sought for litigation or commercial 
activities usually would not qualify for expedited processing in the 
second category. Also, the fact that a news organization has an 
internal broadcast or publication deadline, so long as the deadline 
was unrelated to the nature of the information itself (for example, 
the information was not a breaking news story of general public 
interest) would not make the information ``urgently needed.''
    In this case, we have determined your FOIA request (will/will 
not) receive expedited processing. We came to this conclusion 
because you (did/did not) demonstrate you need the information 
because failure to obtain the records on an expedited basis (could 
or could not) reasonably expect to pose an imminent threat to life 
or physical safety of an individual (or) the information (is or is 
not) urgently needed in order to inform the public about actual or 
alleged Federal Government activity (or) failure to obtain the 
records on an expedited basis (could or could not) reasonably expect 
to lead to an imminent loss of substantial due process rights, (or) 
release (would or would not) serve a humanitarian need by promoting 
the welfare and interests of mankind (and/or) your request for 
expedited processing did not meet the statutory requirements of the 
FOIA; you did not provide enough information to make a determination 
of compelling need for the information you requested (and/or) you 
did not properly certify your request.

    (j) If you deny a request for expedited processing:

    If you consider our decision not to expedite your request 
incorrect, you may appeal our decision. Include in your appeal 
letter the reasons for reconsidering your request for expedited 
processing, and attach a copy of this letter. Address your appeal to 
Secretary of the Air Force through (address of MAJCOM FOIA office). 
In the meantime, we will continue to process your request in the 
(simple/complex) processing track.

    (k) Certification, computer systems manager (electronic records or 
format requested).

    (When answering a request for electronic records, based on the 
configuration of your hardware and/or software, certain factors may 
make a particular request complex. Have your computer system manager 
advise you whether or not they can create the new record/format on a 
``business as usual'' basis. If producing the record/format would 
entail a significant expenditure of resources in time and manpower 
that would cause significant interference with the operation of the 
information system and adversely affect mission accomplishment, you 
do not need to process the request. The FOIA office needs to get a 
certification from the computer systems manager to document this 
determination to support their response. Possible language for this 
certification is provided below.)
    I, (rank/grade and name) am the computer systems manager for 
(organization with electronic records responsive to FOIA request). 
In consultation with (FOIA office), I have considered the FOIA 
request of

[[Page 72817]]

(requester's name), our ##### (FOIA identifier), which asked for 
(describe electronic record or format). We (do/do not) have 
electronic records that are responsive to this request (or) data 
that we (can/cannot) configure into the requested format. (If there 
are electronic records) The existing electronic records (do/do not) 
contain nonreleasable data that we (can/cannot) remove from the 
electronic record. Because of the way our (computer system/database/
software) (use all that apply, specify hardware and/or software 
nomenclature if possible; for example, IBM ###, Microsoft Excel) is 
configured, creating the electronic record (or) modifying the 
existing record/format would entail a significant expenditure of 
resources in time and manpower that would cause significant 
interference with the operation of the information system and 
adversely affect mission accomplishment (describe how responding 
would interfere and time/manpower resources required, give estimated 
reprogramming time, if possible). I have applied the DoD ``standard 
of reasonableness'' in considering this request. I understand that 
when the capability exists to respond to a FOIA request that would 
require only a ``business as usual'' approach to electronically 
extract the data and compile an electronic record or reformat data 
to satisfy a FOIA request, then creation of the electronic record or 
reformatting the data would be appropriate. In this case, a 
significant expenditure of resources and manpower would be required 
to compile the electronic record (or) reformat existing data. This 
activity would cause a significant interference with the operation 
of our automated information system. I certify creation of the 
electronic record (or) reformatting existing data in order to 
respond to this request would not be reasonable, under the 
circumstances.

Signature

(Date Signed)    (Signature Block)

    (Note: Some electronic data requests may include a request for 
software. You may have to release government-developed software that 
is not otherwise exempt, if requested under the FOIA. Exemptions 1--
classified software, 2--testing, evaluation, or similar software, 
3--exempt by statute, 5--deliberative process/privileged software, 
and 7--law enforcement operations software may apply, based on the 
nature of the requested software. If the software is commercial off-
the-shelf software, as opposed to software developed by the 
government, the software may qualify to be withheld from release 
under FOIA exemption 4.

    (l) ``No (paper or electronic) records'' or ``requested format not 
available'' letters.

    This is in response to your Freedom of Information Act (FOIA) 
request dated ## Month year, for (summarize the request) on ## Month 
year (date received), our number #####.
    A thorough search by (identify the unit(s) that tried to locate 
responsive records) did not locate any records responsive to your 
request. (If the requester asked questions, and there are no 
responsive records that would provide the answers to those 
questions): The FOIA applies to existing Air Force records; the Air 
Force need not create a record in order to respond to a request.
    (or) A thorough assessment by the OPR and the computer systems 
manager has determined we cannot provide the (electronic record 
data) in the format you requested. (If this can be done on a 
``business as usual basis):'' (Paper copies American Standard Code 
for Information Interchange (ASCII) files) of the data you requested 
are attached.
    If you interpret this ``o records'' response as an adverse 
action, you may appeal it in writing to the Secretary of the Air 
Force. Your appeal should be postmarked no later than 60 calendar 
days from the date of this letter. Address your letter as follows: 
Secretary of the Air Force, Thru: (MAJCOM FOIA Office), (mailing 
address).
    The FOIA provides for the collection of fees based on the costs 
of processing a FOIA request and your fee category. We have placed 
you in the (enter category) fee category; however, in this case, we 
have waived fees. (If paper copies or ASCII files are provided: ) 
The FOIA provides for the collection of fees based on the costs of 
processing a FOIA request and your fee category. In your case, as a 
requester in the fee category of (add appropriate category), we have 
assessed a charge of $____ for processing your request. The fee was 
calculated in the following manner: (Give a detailed cost breakdown: 
for example, 15 pages of reproduction at $0.15 per page; 5 minutes 
of computer search time at $43.50 per minute, 2 hours of 
professional level search at $25 per hour.) Please make your check 
payable to (appropriate payee) and send it to (give your complete 
mailing address) by (date 30 days after the letter is signed).

    (m) Referral or coordination letters. (These letters are to tell 
the requester all or part of the request was referred to another Air 
Force organization, to refer or coordinate the request to another 
federal government organization, and to advise a nongovernment 
submitter a FOIA request was received for information they 
submitted.)G56
    (1) Letter to requester.

    (If all or part of a request has been referred, write to the 
requester:) Your Freedom of Information Act (FOIA) request dated ## 
Month year, for (summarize the request) received on ## Month year 
(date received), our number #####, was referred (or) must be 
coordinated with (give mailing address of the FOIA office to which 
you are referring all or part of the request, the identity of the 
federal government organization you are either coordinating with or 
are referring all or part of the request to, or that you must 
coordinate with the nongovernment submitter of responsive 
information). (On referrals:) That office will process (all/part) of 
your request (describe which part is being referred if the entire 
request is not being referred) and they will respond directly to 
you. (On coordinations:) That organization has a significant 
interest in the records (or) created the records that may answer to 
your request. (Before notifying a requester of a referral to another 
DoD component or federal agency, consult with them to determine if 
their association with the material is exempt. If so, protect the 
association and any exempt information without revealing the 
identity of the protected activity.) (When a nongovernment submitter 
is involved:) The nongovernment submitter of information that may 
answer your request needs time to respond to the possible release of 
information under the FOIA.
    Because we must refer (or) coordinate your request outside our 
organization, your request will be delayed. We will determine 
whether any records are available; as soon as is practicable, a 
decision will be made whether to release or to withhold from 
disclosure any responsive records under the FOIA, 5 U.S.C. 552. Your 
request will be processed as expeditiously as circumstances permit.

    (2) Letter to another government agency.

    (If all or part of a request was referred or requires 
coordination, write to the government entity): On ## Month year 
(date received), our organization received a Freedom of Information 
Act (FOIA) request from (identity of requester), Attachment 1, dated 
## Month year, for (summarize the request). Based on our assessment 
of that request, our number #####, we need to (refer/coordinate) 
(all/part) of that request to you (describe which part is being 
referred or coordinated, if it was not the entire request). (Name 
and phone number of person who agreed to the referral or 
coordination) accepted this referral (or) coordination action was on 
(date). We notified the requester of this action (see Sec. 806.31).
    We (do/do not) hold records responsive to this request. (If do 
hold is used:) Copies of responsive records located in our files are 
included at Attachment 3 to assist you in making your assessment on 
the releasability of (our/your) related records. If you need to 
contact us, our phone number and address is (give name, phone and 
complete mailing address), our fax number is (give fax number), our 
e-mail address is (give complete e-mail address).

    (3) Letter to submitter of contract-related information.

    (If contractor-submitted information is involved, write to the 
submitter:) On ## Month year (date received), our organization 
received a Freedom of Information Act (FOIA) request from (identity 
of requester), our number #####, dated ## Month year, for (summarize 
the request). Information you submitted to the Air Force was 
identified as responsive to this request, see copies attached.
    To determine the releasability of the information contained in 
these documents and to give you the maximum protection under the 
law, please review the attached documents and give us the 
information outlined in Sec. 806.31. If you feel the information is 
privileged or confidential, consists of proprietary commercial or 
financial information, and otherwise meets the statutory 
requirements for withholding

[[Page 72818(1)]]

the information from release under FOIA exemption 4, 5 U.S.C. 
552(b)(4), respond to us in writing not later than ## working days 
from the date of this letter (usually 30 calendar days). If you 
object to release of this information under the FOIA, identify the 
items, lines, columns or portions you believe we should withhold 
from release.
    You will also need to provide a written explanation of how 
release would adversely impact or cause harm to your competitive 
position, your commercial standing, or other legally protected 
interests. An assertion that ``we should deny because all of the 
information was submitted in confidence'' or ``deny because all of 
the information was marked as proprietary in nature'' would not 
justify withholding of the requested information under the FOIA. If 
you need to contact us, call or write (give name), phone number is 
(give commercial number), our address is (give complete mailing 
address), our fax number is (give fax number), our e-mail address is 
(give complete e-mail address).

    (4) Letter requesting State Department coordination. (If the State 
Department is involved in coordinating on a request, fax or e-mail 11 
CS/SCSR so they can inform SAF/IA if appropriate).

    On ## Month year (date received), our organization received a 
Freedom of Information Act (FOIA) request from (identity of 
requester), our number #####, dated ## Month year, for (summarize 
the request). Because of the nature of this request, we were advised 
by (note the individual and organization who told you to coordinate 
the request with the State Department; this may be a MAJCOM or 
Combatant Command--give telephone and facsimile numbers if known) we 
need to coordinate this request with the Department of State. In 
accordance with DoD 5400.7-R, Air Force Supplement, we are informing 
you of their involvement in this FOIA request. (Provide any 
specifics available.) Air Force records are involved in this action. 
If you need to contact us, our phone number is (give commercial and 
DSN numbers), our address is (give complete mailing address), our 
fax number is (give fax number), our e-mail address is (give 
complete e-mail address).

    (n) Certification of initial classification or declassification 
authority (When denying a FOIA request, in whole or in part, because 
the information requested is classified, the initial classification 
authority, his or her successor, or a declassification authority, needs 
to determine if the records are ``properly and currently classified,'' 
and therefore must be withheld from release under FOIA exemption 
(b)(1); also, you need to determine that you cannot release any 
reasonably segregable additional portions. Language that certifies such 
a determination was made on a FOIA request involving classified records 
follows).
    (1) Sample certification format--all information remains 
classified.

    I, (rank/grade and name) am the initial classification authority 
(or) the successor to the original initial classification authority 
(or) the declassification authority for (give an unclassified 
description of the records concerned). In consultation with (FOIA 
office), I have assessed the FOIA request of (requester's name), our 
##### (FOIA identifier), for records that were properly classified 
at the time of their creation and currently remain properly 
classified in accordance with Executive Order (E.O.) 12958, National 
Security Information, (or) contain information that we have 
determined is classified in accordance with E.O. 12958 Section 
1.5(__) (or) in accordance with E.O. 12958 Section 1.5(__) and is 
also exempt from declassification in accordance with Section 1.6(__) 
of the E. O. (or if the record is more than 25 years old) contain 
information that we have determined is exempt from declassification 
in accordance with E.O. 12958 Section 3.4(b)(__). Unauthorized 
release could cause (for TOP SECRET, use exceptionally grave; for 
SECRET use serious; for CONFIDENTIAL do not add language; should 
read cause damage) damage to national security. There are no 
reasonably segregable portions that we can release. Consequently 
release of this information is denied pursuant to 5 U.S.C. 
552(b)(1).

Signature

(Date Signed)    (Signature Block)

    (2) Sample certification format--portions remain classified.

    I, (rank/grade and name) am the initial classification authority 
(or) the successor to the original initial classification authority 
(or) the declassification authority for (give an unclassified 
description of the records concerned.) In consultation with (FOIA 
office), I have assessed the FOIA request of (requester's name), our 
##### (FOIA identifier), that asked for records, (or) portions of 
which were properly classified at the time of their creation. 
Portions of the records currently remain properly classified in 
accordance with E.O. 12958. The bracketed information is currently 
and properly classified in accordance with Section 1.5 (add 
appropriate subparagraph), E.O. 12958, and is also exempt from 
declassification in accordance with Section 1.6(__) of the Executive 
Order (or if the record is more than 25 years old) contain 
information that we have determined is exempt from declassification 
in accordance with E.O. 12958 Section 3.4(b)(__). Unauthorized 
release could cause (for TOP SECRET use exceptionally grave; for 
SECRET use serious; for CONFIDENTIAL do not add language; should 
read cause damage) damage to national security. There are no other 
reasonably segregable portions that we can release. Consequently 
this information is denied pursuant to 5 U.S.C. 552(b)(1).

Signature

(Date Signed)    (Signature Block)

    (o) Letter to a requester who has withdrawn their request or 
appeal. (If a FOIA requester has withdrawn a FOIA request or appeal, 
sending a final letter to the requester to close the file may be wise. 
Suggested language to the requester follows):

    We received your Freedom of Information Act (FOIA) request (or) 
appeal dated ## Month year, on ## Month year (date received). After 
sending us your request (or) appeal, you indicated by (facsimile, 
letter) that you wished to withdraw your request (or) appeal. We 
have, therefore, closed your file without further action.

    (p) Letter to a requester who has appealed after the 60-day 
deadline. (We will not process FOIA appeals received after the 60-day 
time limit, unless the requester provides adequate justification for 
failing to comply. If you receive a late appeal, and it gives 
inadequate justification for failing to comply, the FOIA office will 
advise the requester their appeal was closed; suggested language for a 
letter to an untimely requester follows.)

    We received your Freedom of Information Act (FOIA) appeal dated 
## Month year, on ## Month year (date received). You did not appeal 
within 60 days of the postmarked date of our denial letter as 
outlined in our agency regulation. Therefore, we are closing our 
file.

    (q) Letter to a requester who has appealed. (There are occasions 
when, on reconsideration, an IDA grants all or part of an appeal. When 
sending their appeal to higher headquarters, notify the requester. 
Suggested language to a requester who has appealed follows):

    We received your Freedom of Information Act (FOIA) appeal, our 
number #####, dated ## Month year, on ## Month year (date received). 
We considered the issues raised in your appeal carefully. We have 
decided to grant (or) partially grant your appeal.
    (If you grant all or part of the appeal): Upon reconsideration, 
we are releasing the requested records (or) granting your request. 
(If the appeal is only partially granted, describe what portions 
remain in dispute). (If applicable): We are releasing and attaching 
all or portions of the responsive records. (If applicable): We will 
continue processing your appeal for the remaining withheld (records/
information).


Sec. 806.28.  Records with special disclosure procedures.

    Certain records have special administrative procedures to follow 
before disclosure. Selected publications that contain such guidance are 
listed below.

(a) AFI 16-701, Special Access Programs.
(b) AFI 31-206, Security Police Investigations.
(c) AFI 31-501, Personnel Security Program Management.
(d) AFI 31-601, Industrial Security Program Management.
(e) AFI 36-2603, Air Force Board for Correction of Military Records.

[[Page 72819]]

(f) AFI 36-2706, Military Equal Opportunity and Treatment Program.
(g) AFI 36-2906, Personal Financial Responsibility.
(h) AFI 36-2907, Unfavorable Information File (UIF) Program.
(i) AFI 40-301, Family Advocacy.
(j) AFI 41-210, Patient Administration Functions.
(k) AFI 44-109, Mental Health and Military Law.
(l) AFI 51-201, Administration of Military Justice.
(m) AFI 51-301, Civil Litigation.
(n) AFI 51-303, Intellectual Property-Patents, Patent Related Matters, 
Trademarks, and Copyrights.
(o) AFI 51-501, Tort Claims.
(p) AFI 51-503, Aircraft, Missile, Nuclear and Space Accident 
Investigations.
(q) AFI 51-504, Legal Assistance, Notary and Preventive Law Programs.
(r) AFI 51-1102, Cooperation with the Office of the Special Counsel.
(s) AFI 61-204, Disseminating Scientific and Technical Information.
(t) AFI 61-303, Licensing Inventions Made Under Cooperative Research 
and Development Agreements.
(u) AFI 71-101, Volume 1, Criminal Investigations, and Volume 2, 
Protective Service Matters.
(v) AFI 84-101, Historical Products, Services, and Requirements.
(w) AFI 90-301, Inspector General Complaints.
(x) AFI 91-204, Safety Investigations and Reports.


Sec. 806.29.  Administrative processing of Air Force FOIA requests.

    (a) This section is a checklist format of processing steps and 
explanations of Air Force and DoD guidance. Each MAJCOM may elect to 
prepare its own checklists to tailor FOIA processing actions within its 
own organizations to meet their specific needs, so long as it remains 
consistent with guidance contained in DoD 5400.7-R, DoD Freedom of 
Information Act Program, and this part.
    (b) Procedures: FOIA requests.
    (1) Note the date the request was received, give the request a 
unique identifier/number, and log the request.
    (2) Assess the request to determine initial processing 
requirements:
    (3) Determine what Air Force elements may hold responsive records.
    (i) Are responsive records kept at the same or different 
installations?
    (ii) Is referral of (all/part) of the request required?
    (4) Determine appropriate processing track (simple/complex/
expedited). (Air Force FOIA offices without backlogs do not multitrack 
FOIA requests.)

    Note: Requesters have a right to appeal an adverse tracking 
decision (for example, when it is determined their request will not 
be expedited). Also, if their request qualifies for the complex 
track, tell requesters so they may limit the scope of their request 
in order to qualify for the simple track. FOIA managers must assess 
a request before placing it into a specific processing track, and 
must support their actions should the requester appeal. If a request 
is determined to be complex, or is not expedited when the requester 
sought expedited processing, you must advise the requester of the 
adverse tracking decision in writing. See Sec. 806.27 for sample 
language for this kind of letter to a requester.

    (i) Simple. Defines a request that can be processed quickly, with 
limited impact on the responding units. The request clearly identifies 
the records, involves no (or few) complicating factors (e.g., there are 
few or no responsive records, involves only one installation and there 
are no outside OPRs, involves no classified records (Exemption 1), a 
law exempts the responsive records from disclosure (Exemption 3), no 
contractor-submitted records (Exemption 4), no deliberative process/
privileged materials (Exemption 5), records contain no (or limited) 
personal privacy information/did not come from Privacy Act systems of 
records concerning other individuals (Exemption 6), release of records 
would have minimal impact on law enforcement (Exemption 7); no time 
extensions expected, other than the additional 10-workdays allowed in 
situations outlined in the FOIA). If the requested data must come from 
electronic records, response can be completed on a ``business-as-
usual'' basis; requires no (or limited) reprogramming of automated 
information systems and would cause no significant interference with 
operation of information systems by processing a simple request/
providing a response in the electronic format requested.
    (ii) Complex. Defines a request whose processing will take 
substantial time, will cause significant impact on responding units. 
Complications and delays are likely (e.g., the request is vague (poor 
description of records, unclear who or when records were created), 
records are massive in volume, multiple organizations will receive 
tasking, records are classified (Exemption 1), records came from 
another command/service/a nongovernment source (Exemption 4), records 
are part of the Air Force's decision-making process, and not 
incorporated into a final decision (IG/audit reports, legal opinions, 
misconduct or mishap investigations etc.) or are attorney-client 
records (Exemption 5), records are largely personal information on 
another individual or came from Privacy Act systems of records 
(Exemption 6), records describe law enforcement activities or 
information from (and/or identities of) confidential sources (Exemption 
7); response cannot be completed on a ``business as usual'' basis and 
would require extensive reprogramming or cause significant interference 
with operation of the automated information systems. (Advise requester, 
in writing, of right to limit the scope of their request in order to 
qualify for simple track.)
    (iii) An expedited request is when a requester asks for expedited 
processing and explains the compelling need (imminent threat to life or 
physical safety; urgently needed by a person primarily engaged in 
disseminating information; due process; or humanitarian need) for the 
requested information. In order to receive expedited processing, 
requesters must provide a statement certifying their ``demonstration'' 
(description) of their specific ``compelling need'' or due process/
humanitarian need is true and correct to the best of their knowledge. 
When a requester seeks expedited processing, FOIA offices must respond 
in writing to the requester within 10 calendar days after receipt of 
the request approving or denying their request for expedited 
processing. Requesters have a right to appeal an adverse decision 
(e.g., when it is determined their requests will not be expedited). 
There are four categories of FOIA requests that qualify for expedited 
processing:
    (A) The requester asserts a ``compelling need'' for the records, 
because a failure to obtain records quickly could reasonably be 
expected to pose an imminent threat to the life or physical safety of 
an individual.
    (B) The requester asserts a ``compelling need'' for the records, 
because the information is ``urgently needed'' by an individual engaged 
in disseminating information to inform the public (primarily news media 
requesters; and could also include other persons with the ability to 
disseminate information).

    Note: ``Urgently needed,'' in this case, means the information 
has a particular value that will be lost if it is not disseminated 
quickly. This normally would apply to a breaking news story of 
general public interest. Information of historical interest only, or 
sought for litigation or commercial activities would not qualify, 
nor would the fact a news media entity had an internal broadcast 
deadline of its own, which was unrelated to the ``news breaking 
nature'' of the information itself, cause the requested information 
to qualify as ``urgently needed.''


[[Page 72820]]


    (C) Failure to obtain records quickly could cause imminent loss of 
substantial due process rights or providing the information quickly 
would serve a ``humanitarian need'' (i.e., disclosing the information 
will promote the welfare and interests of mankind). While FOIA requests 
falling into these third and fourth categories can qualify for 
expedited processing, process them in the expedited track behind the 
requests qualifying for expedited processing based on ``compelling 
need'' (the first two types of expedited FOIA requests).
    (5) Determine fee category of requester (commercial/educational---
noncommercial scientific institution--news media/all others) and assess 
fee issues. When all assessable costs are $15.00 or less, waive fees 
automatically for all categories of requesters. Assess other fee waiver 
or reduction requests on a case-by-case basis.
    (6) Apply fee waiver/fee reduction criteria in appropriate cases 
(when requester asks for fee waiver/reduction).
    (7) Find the responsive Air Force records (if any).
    (i) Send the request to the appropriate OPRs to search for 
responsive records and to decide whether to recommend release of any 
responsive records. Include a DD Form 2086, Record of Freedom of 
Information (FOI), or a DD Form 2086-1, Record of Freedom of 
Information (FOI) Processing Cost for Technical Data, in each request. 
The OPR must complete and return the appropriate forms and statements 
to the FOIA office.
    (ii) If the OPRs find no responsive records, or if the OPRs desire 
to withhold any responsive records from release to the requester, the 
OPRs must provide a written certificate detailing either their 
unsuccessful search, or their reasons why the documents should be 
withheld from release under the FOIA; the written OPR statements must 
accompany the copies of the records the OPR desires to withhold as the 
FOIA action is processed (e.g., include it in any denial or appeal 
file).

    Note: If any part of a FOIA request is denied, and the requester 
appeals that denial, include all forms, certificates and documents 
prepared by the OPRs in the FOIA appeal package required in 
paragraph (d)(5) of this section.

    (c) Contacts with FOIA requesters and non-Air Force submitters of 
data.
    (1) Contacts with Air Force elements. A FOIA request is considered 
``received'' (and therefore ready to process) when the FOIA office 
responsible for processing the request physically receives it, when the 
requester states a willingness to pay fees set for the appropriate fee 
category, or, if applicable, when the requester has paid any past FOIA 
debts and has reasonably described the requested records. Keep hard/
paper copies of all memoranda documenting requester contacts with Air 
Force elements regarding a pending FOIA request in the requester's FOIA 
file. If the requester contacts Air Force elements telephonically about 
a pending FOIA request, the Air Force member participating in the 
conversation must prepare notes or memorandums for record (MFR), and 
keep those notes or MFRs in the requester's FOIA file. If any part of a 
FOIA request is denied, and the requester appeals that denial, submit 
documentation of requester contacts with Air Force elements in 
chronological order in the FOIA appeal package (see paragraph (d)(1) of 
this section).
    (2) Contacts with the FOIA Requester. See Sec. 806.27 for samples 
of language to use in various types of Air Force FOIA letters. If any 
part of a FOIA request is denied, and the requester appeals that 
denial, submit documents sent by Air Force elements to the requester in 
the FOIA appeal package in chronological order (see paragraph (d)(5) of 
this section). Letters that Air Force FOIA offices may need to send to 
a FOIA requester include:
    (i) An initial notification letter that the FOIA request was 
received. This letter may advise the requester that processing of the 
FOIA request may be delayed because:
    (A) All or part of the requested records are not located at the 
installation processing the FOIA request (see Sec. 806.29(c)(2)(ii)).
    (B) An enormous number of records must be collected and reviewed.
    (C) Other Air Force activities or other agencies, to include (if 
applicable) the nongovernment submitter of information, need to be 
involved in deciding whether or not to release the records.
    (D) If you cannot complete processing of a FOIA request within 20 
workdays, advise the requester of the reasons for the delay and give a 
date (within 30 workdays after receiving the request) when the 
requester can expect a final decision.
    (ii) The initial notification letter may advise the requester all/
part of the request was referred to another Air Force element or 
government activity.
    (iii) The initial notification letter may advise the requester of 
the appropriate fee category. In cases where fees are appropriate, and 
requesters have not agreed to pay for responsive records and fees are 
likely to be more than $15.00, seek assurances that the requester 
agrees to pay appropriate fees. If more information is needed to make a 
fee category determination, or to determine whether fees should be 
waived/reduced, inform the requester. FOIA offices may determine fee 
waiver/reduction requests before processing a FOIA request; if a fee 
waiver/reduction request is denied, the requester may appeal that 
denial; he/she may also appeal an adverse fee category determination 
(e.g., asked for news media fees, but was assessed commercial fees.)
    (iv) The initial notification letter may advise the requester the 
request does not sufficiently describe the desired records. If 
possible, help the requester identify the requested records by 
explaining what kind of information would make searching for responsive 
records easier.
    (v) If Air Force elements can complete a FOIA request within the 
statutory 20-workday processing period, you may elect to send only a 
single letter to the requester, along with responsive records that are 
released to the requester in full.
    (vi) A letter to the requester that the responding FOIA office uses 
multitrack processing due to a significant number of pending requests 
that prevents a response determination from being made within 20 
workdays. This letter advises the FOIA requester that track the request 
is in (simple/complex); in this letter, if expedited processing was 
requested, the requester is advised if the request will be expedited or 
not. If the request is found to be complex, you must advise the 
requester he/she may alter the FOIA request to simplify processing. If 
it is determined the request will not be expedited, the requester must 
be told he/she can appeal. (This may be the initial letter to the 
requester, for Air Force elements with multitrack processing; if that 
is the case, this letter may include sections discussed in 
Sec. 806.29(c)(2)(i)).
    (vii) Subsequent letters to the requester on various subjects (for 
example, releasing requested records; advising reasons for delays; 
responding to the letters, facsimiles or calls; advising the requester 
of referrals to other Air Force units or government activities; 
involves a non-Air Force submitter, etc.).
    (viii) A release letter to the requester, forwarding releasable 
responsive records with a bill (if appropriate).
    (ix) A ``no records'' response letter to the requester if there are 
no responsive records, or, a denial letter, if any responsive records 
are withheld from release. FOIA managers may sign ``no records'' or 
``requested format not available'' responses; they may also sign

[[Page 72821]]

a letter that advises a requester the fee category sought was not 
determined to be appropriate, or that a fee waiver/fee reduction 
request was disapproved, or that a request for expedited processing has 
been denied. An IDA must sign any letter or document withholding 
responsive records. When denying records, you must tell the requester, 
in writing: the name and title or position of the official who made the 
denial determination, the basis for the denial in enough detail to 
permit the requester to make a decision concerning appeal, and the FOIA 
exemptions on which the denial is based. The denial letter must include 
a brief statement describing what the exemptions cover. When the 
initial denial is based (in whole or in part) on a security 
classification, this explanation should include a summary of the 
applicable executive order criteria for classification, as well as an 
explanation of how those criteria apply to the particular record in 
question. Estimate the volume of the records denied and provide this 
estimate to the requester, unless providing such an estimate would harm 
an interest protected by an exemption of the FOIA. This estimate should 
be in number of pages or, for records in other media, in some other 
reasonable form of estimation, unless the volume is otherwise indicated 
through deletions on records disclosed in part. Indicate the size and 
location of the redactions on the records released. You must also tell 
the requester how he/she can appeal the denial.
    (3) Contacts with non-Air Force submitters of data. Before 
releasing data (information or records) submitted from outside the Air 
Force, determine whether you need to write to the submitter of the data 
for their views on releasability of their data. In many cases, this 
non-Air Force data may fall under FOIA Exemption 4. If it appears you 
must contact the submitter of the data, advise the requester in writing 
that you must give the submitter of the data the opportunity to comment 
before the Air Force decides whether to release the information. Give 
the submitter a reasonable period of time (30 calendar days) to object 
to release and provide justification for withholding the documents. If 
the submitter does not respond, advise the submitter in writing that 
you have not received a reply and plan to release the records. Provide 
the submitter with the reasons the Air Force will release the records, 
and give the submitter your expected release date (at least 2 weeks 
from the date of your letter). This permits the submitter time to seek 
a temporary restraining order (TRO) in federal court, if they can 
convince the judge to issue such an order. See Sec. 806.27 for samples 
of language to use in Air Force letters to both the FOIA requester and 
nongovernment submitters. Remember to include a copy of Sec. 806.31 as 
an attachment to the letter sent to the nongovernment submitter.
    (i) The notice requirements of this section need not be followed if 
the Air Force determines that the information should not be disclosed, 
the information has been lawfully published or officially made 
available to the public, or disclosure of the information is required 
by law.
    (ii) If the submitter objects to release of the records, but the 
Air Force disclosure authority considers the records releasable, tell 
the submitter before releasing the data. Include in the letter to the 
submitter a brief explanation and a specific release date at least 2 
weeks from the date of the letter. Advise the submitter once a 
determination is made that release of the data is required under the 
FOIA, failure to oppose the proposed release will lead to release of 
submitted data. Also advise the requester such a release under the FOIA 
will result in the released information entering the public domain, and 
that subsequent requests for the same information will be answered 
without any formal coordination between the Air Force and the 
submitter, unless the information is later amended, changed, or 
modified. A person equal to, or higher in rank than, the denial 
authority makes the final decision to disclose responsive records over 
the submitter's objection.
    (iii) When a previously released contract document has been 
modified, any contract documents not in existence at the time of an 
earlier FOIA request that are responsive to a later FOIA request for 
the same contract, will be processed as a first-time FOIA request for 
those newly created documents. Notify the nongovernment submitter of 
the pending FOIA action, and give them the same opportunity to respond 
as is detailed above. Passage of a significant period of time since the 
prior FOIA release can also require Air Force elements to comply with 
the notice requirements in this paragraph.
    (d) Denying all or part of a request. When responsive records are 
withheld from release (denied), the appropriate offices must prepare a 
denial package for the IDA. Air Force elements must send the request, 
related documents, and responsive records through their IDA's FOIA 
office to the IDA for a decision. The denial package must include:
    (1) The FOIA request and any modifications by the requester.
    (2) A copy of the responsive records, including both records that 
may be released and records recommended for denial.
    (3) Written recommendations from the OPRs and an Air Force 
attorney.
    (4) The exemptions cited and a discussion of how the records 
qualify for withholding under the FOIA. This discussion should also 
include the reasons for denial: to deny release of responsive records 
requested under the FOIA, you must determine that disclosure of the 
records would result in a foreseeable harm to an interest protected by 
a FOIA exemption (or exemptions), that the record is exempt from 
release under one or more of the exemptions of the FOIA, and that a 
discretionary release is not appropriate.
    (5) Any collateral documents that relate to the requested records. 
For example:
    (i) If the requested records came from a non-Air Force or non-U.S. 
Federal Government submitter, include any documents from the submitter 
that relate to the release or denial of the requested records. If you 
are not sure whether or not the non-Air Force or non-U.S. Federal 
Government submitted information is potentially exempt from release 
under the FOIA, contact an Air Force attorney. FOIA Exemptions 3, 4, 5, 
6, and 7 may apply.
    (ii) If the requested records came from Privacy Act systems of 
records, include a written discussion of any Privacy Act issues.
    (iii) If any requested records came from another Air Force element, 
or release of the requested records would affect another Air Force 
element, FOIA offices should coordinate with that other element. If the 
FOIA request is not completely referred to the other element, include 
documents from that element.
    (iv) If any requested records are classified, include a written 
certification from a classification authority or declassification 
authority stating the data was properly classified originally, that it 
remains properly classified (per E.O. 12958), and, if applicable, that 
no reasonably segregable portions can be released.
    (e) FOIA appeal actions.
    (1) If an IDA, or a FOIA office responding on behalf of an IDA, 
withholds a record from release because they determine the record is 
exempt under one or more of the exemptions to the FOIA, the requester 
may appeal that decision, in writing, to the Secretary of the Air 
Force. The appeal should be accompanied by a copy of the denial

[[Page 72822]]

letter. FOIA appeals should be postmarked within 60 calendar days after 
the date of the denial letter, and should contain the reasons the 
requester disagrees with the initial denial. Late appeals may be 
rejected, either by the element initially processing the FOIA appeal, 
or by subsequent denial authorities, if the requester does not provide 
adequate justification for the delay. Appeal procedures also apply to 
the denial of a fee category claim by a requester, denial of a request 
for waiver or reduction of fees, disputes regarding fee estimates, 
review on an expedited basis of a determination not to grant expedited 
access to agency records, and for ``no record'' or ``requested format 
not available'' determinations when the requester considers such 
responses adverse in nature.
    (2) Coordinate appeals with an Air Force attorney (and the OPR, if 
appropriate) so they can consider factual and legal arguments raised in 
the appeal, and can prepare written assessments of issues raised in the 
appeal to assist the IDA in considering the appeal. MAJCOM FOIA offices 
and 11 CS/SCSR (for OPRs at HQ USAF and SAF), send all appeals to the 
Secretary of the Air Force through AFLSA/JACL for consideration, unless 
the IDA has reconsidered the initial denial action, and granted the 
appeal.
    (3) If a requester appeals a ``no records'' determination, 
organizations must search again or verify the adequacy of their first 
search (for example, if a second search would be fruitless, the 
organization may include a signed statement from either the records OPR 
or the MAJCOM FOIA manager detailing why another search was not 
practical). The appeal package must include documents (to include a 
certification from the records OPR) that show how the organization 
tried to find responsive records. In the event a requester sues the Air 
Force to contest a determination that no responsive records exist, 
formal affidavits will be required to support the adequacy of any 
searches conducted.
    (4) General administrative matters. FOIA requesters may ultimately 
sue the Air Force in federal court if they are dissatisfied with 
adverse determinations. In these suits, the contents of the 
administrative appeal file are evaluated to determine whether the Air 
Force complied with the FOIA and its own guidance. Improper or 
inadequate appeal files make defending these cases problematic. Include 
all the documents related to the requester's FOIA action in the appeal 
file. If appeal file documents are sensitive, or are classified up to 
the SECRET level, send them separately to AFLSA/JACL, 1501 Wilson 
Boulevard, 7th Floor, Arlington, VA 22209-2403. Make separate 
arrangements with AFLSA/JACL for processing classified appeal file 
documents TOP SECRET or higher. Cover letters on appeal packages need 
to list all attachments. If a FOIA action is complicated, a chronology 
of events helps reviewers understand what happened in the course of the 
request and appeal. If an appeal file does not include documentation 
described below, include a blank sheet in proper place and mark as 
``not applicable,'' ``N/A,'' or ``not used.'' Do not renumber and move 
the other items up. If any part of the requester's appeal is denied, 
the appeal package must include a signed statement by the IDA, 
demonstrating the IDA considered and rejected the requester's 
arguments, and the basis for that decision. This may be a separate 
memorandum, an endorsement on a legal opinion or OPR opinion, or the 
cover letter which forwards the appeal for final determination. Include 
in the cover letter forwarding the appeal to the Secretary of the Air 
Force the name, phone number and e-mail address (if any) of the person 
to contact about the appeal. The order and contents of appeal file 
attachments follow.
    (i) The original appeal letter and envelope.
    (ii) The initial FOIA request, any modifications of the request by 
the requester or any other communications from the requester, in 
chronological order.
    (iii) The denial letter.
    (iv) Copies of all records already released. (An index of released 
documents may be helpful, if there are a number of items. If the 
records released are ``massive'' (which means ``several cubic feet'') 
and AFLSA/JACL agrees, an index or description of the records may be 
provided in place of the released records. Do not send appeal files 
without copies of released records without the express agreement of 
AFLSA/JACL. Usually AFLSA/JACL requires all the released records in 
appeal files. If you do not send the released records to AFLSA/JACL 
when a FOIA requester has appealed a partial denial, retain a copy of 
what was released for 6 years.)
    (v) Copies of all administrative processing documents, including 
extension letters, search descriptions, and initial OPR recommendations 
about the request, in chronological order.
    (vi) Copies of the denied records or portions marked to show what 
was withheld. If your organization uses a single set of highlighted 
records (to show items redacted from records released to the 
requester), ensure the records are legible and insert a page in the 
appropriate place stating where the records are located. (An index of 
denied documents may be helpful, if there are a number of items. If the 
records denied are ``massive'' (which means ``several cubic feet'') and 
AFLSA/JACL agrees, an index or description of the records may be 
provided in place of the denied records. Do not send appeal files 
without copies of denied records without the express agreement of 
AFLSA/JACL. Usually AFLSA/JACL requires all the denied records in 
appeal files. If you do not send the denied records to AFLSA/JACL, when 
a FOIA requester has appealed a denial, retain a copy of what was 
denied for 6 years.)
    (vii) All legal opinions in chronological order. Include a point-
by-point discussion of factual and legal arguments in the requester's 
appeal (prepared by an Air Force attorney and/or the OPR). If the IDA 
does not state in the cover letter he/she signed, that he/she 
considered and rejected the requester's arguments, asserting the basis 
for that decision (e.g., the IDA concurs in the legal and/or OPR 
assessments of the requester's arguments) include a signed, written 
statement containing the same information from the IDA, either as a 
separate document or an endorsement to a legal or OPR assessment. 
Include any explanation of the decision-making process for intra-agency 
documents denied under the deliberative process privilege and how the 
denied material fits into that process (if applicable).


Sec. 806.30.  FOIA exempt information examples.

    (a) Certain responsive records may contain parts that are 
releasable, along with other parts that the Air Force must withhold 
from release. Carefully delete information exempt from release under 
the FOIA from copies of otherwise releasable records. Do not release 
copies that would permit the requester to ``read through the marking.'' 
In order to assist FOIA managers in redacting records, selected items 
appropriate to withhold in commonly requested Air Force records are 
illustrated below. When providing releasable portions from classified 
paragraphs, line through and do not delete, the classification marking 
preceding the paragraph.
    (b) Exemption 1. Example used is an extract from a ``simulated'' 
contingency plan (all information below is fictional and UNCLASSIFIED; 
parenthetical information and marking is used for illustrative purposes 
only).

    (U) Air Force members will safeguard all FELLOW YELLOW data 
(NOTE: FELLOW

[[Page 72823]]

YELLOW simulates an UNCLASSIFIED code name).
    During the contingency deployment in Shambala, those members 
assigned to force element FELLOW YELLOW will cover their movements 
by employing specified camouflage and concealment activities while 
behind enemy lines. Only secure communications of limited duration 
as specified in the communications annex will be employed until 
FELLOW YELLOW personnel return to base. (Exemption 1)

    (c) Exemption 2. Example used is an extract from a ``simulated'' 
test administration guide (all information below is fictional and is 
used for illustrative purposes only).

    When administering the test to determine which technicians are 
ranked fully qualified, make sure to allow only the time specified 
in HQ AETC Pamphlet XYZ, which the technicians were permitted to 
review as part of their test preparation. For ease in scoring this 
exam, correct answers are A, A, B, B, A, B, C, C, A, B, D, D, C, C, 
C, D; the corresponding template for marking the standard answer 
sheet is kept locked up at all times when not in use to grade answer 
sheets. (Exemption ``high'' 2)

    (d) Exemption 5. Example used is a simulated IG Report of 
Investigation (ROI) recommendation. All parenthetical information in 
this example is fictional and is used for illustrative purposes only:

    Having interviewed the appropriate personnel and having reviewed 
the appropriate documents, I recommend additional training sessions 
for all branch personnel on accepted Air Force standards, and the 
Air Force pursue administrative or judicial disciplinary action with 
respect to Terry Hardcase. (Exemption 5)

    (e) Exemption 6. Example used is a simulated personnel computer 
report on a military member selected for a special assignment (all 
information below is fictional; information and marking is used for 
illustrative purposes only.):

SSgt Doe, Kerry E.                SSN: 111-11-1112    Date of Birth: 22
                                                       Jun 71
Duty Title: Special Assistant to  Office Symbol:      ..................
 CINCPAC                           CINCPAC/CCSA
Duty Station: Hickam AFB HI       Date Assigned: 12
 11111-1111                        June 1998
Marital Status: Divorced          Dependents: 01      Home Address: 12
                                                       Anystreet,
                                                       Downtown ST 11112
Home Phone: (112) 223-3344
 (Exemption 6)
------------------------------------------------------------------------

    (f) Exemption 7. Example used is summary of a law enforcement 
report on a domestic disturbance at on-base family housing (all 
information below is fictional and all parenthetical information is 
used for illustrative purposes only):

    At 2140, the law enforcement desk, extension 222-3456, took an 
anonymous call that reported a disturbance at 1234 Basestreet, 
quarters allegedly occupied by two military members. SrA Patrolman 
(names of law enforcement investigators usually are withheld under 
Exemptions 6 and 7(C)) arrived on the scene at 2155. SrA Patrolman 
met Nora Neighbor, (names of witnesses usually are withheld under 
Exemptions 6 and 7(C)) who was very agitated. Because she feared her 
neighbors would retaliate against her if they knew she reported 
their fight, she asked that her name not be released before she 
would talk. After she was promised her identity would remain 
anonymous, she stated: (Nora Neighbor became a confidential 
informant; data that could identify her, and in some cases, the 
information she related, should be withheld from release under 
Exemptions 6, 7(C) and (D).) ``I heard cursing and heard furniture 
and dishes breaking. They fight all the time. I've seen Betty Battle 
(unless Betty is the requester, redact her name Exemptions 6 and 
7(C)) with a black eye, and I also saw Bob Battle (unless Bob is the 
requester, redact his name Exemptions 6 and 7(C)) with bruises the 
day after they had their last fight, last Saturday night. This time, 
there was a tremendous crash; I heard a man scream ``My Lord NO!'' 
then I saw Betty Battle come out of the house with dark stains on 
her clothes--she got into her car and drove away. I could see this 
really well, because the streetlight is right between our houses; 
I'm the wife of their NCOIC. If only Nick, my husband, was here now, 
he'd know what to do! I haven't heard anything from Bob Battle.'' 
(Exemptions 6 and 7)


Sec. 806.31  Requirements of 5 U.S.C. 552(b)(4) to submitters of 
nongovernment contract-related information.

    (a) The FOIA requires federal agencies to provide their records, 
except those specifically exempted, for the public to inspect and copy. 
Section (b) of the Act lists nine exemptions that are the only basis 
for withholding records from the public.
    (b) In this case, the fourth exemption, 5 U.S.C. 552(b)(4), may 
apply to records or information the Air Force maintains. Under this 
exemption, agencies must withhold trade secrets and commercial or 
financial information they obtained from a person or organization 
outside the government that is privileged or confidential. This 
generally includes information provided and received during the 
contracting process with the understanding that the Air Force will keep 
it privileged or confidential.
    (c) Commercial or financial matter is ``confidential'' and exempt 
if its release will probably:
    (1) Impair the government's ability to obtain necessary information 
in the future.
    (2) Substantially harm the source's competitive position or impair 
some other legitimate government interest such as compliance and 
program effectiveness.
    (d) Applicability of exemption. The exemption may be used to 
protect information provided by a nongovernment submitter when public 
disclosure will probably cause substantial harm to its competitive 
position. Examples of information that may qualify for this exemption 
include:
    (1) Commercial or financial information received in confidence 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.

    Note: Certain proprietary and source selection information may 
also fall under exemption (b)(3), under the provisions of 10 U.S.C. 
2305(g) or 41 U.S.C. 423, if statutory requirements are met.

    (2) Statistical data and commercial or financial information 
concerning contract performance, income, profits, losses, and 
expenditures, offered and received in confidence from a contractor or 
potential contractor.
    (3) Personal statements given during inspections, investigations, 
or audits, received and kept in confidence because they reveal trade 
secrets or commercial or financial information, normally considered 
confidential or privileged.
    (4) Financial data that private employers give in confidence for 
local wage surveys used to set and adjust pay schedules for the 
prevailing wage rate of DoD employees.
    (5) Information about scientific and manufacturing processes or 
developments that is technical or scientific or other information 
submitted with a research grant application, or with a report while 
research is in progress.
    (6) Technical or scientific data a contractor or subcontractor 
develops entirely at private expense, and technical or scientific data 
developed partly with Federal funds and partly with private funds, in 
which the contractor or subcontractor retains legitimate proprietary 
interests per 10 U.S.C. 2320 to 2321 and 48 CFR, Chapter 2, 227.71-
227.72.

[[Page 72824]]

    (7) Computer software copyrighted under the Copyright Act of 1976 
(17 U.S.C. 106), the disclosure of which would adversely impact its 
potential market value.
    (e) Submitter's Written Response. If release of the requested 
material would prejudice your commercial interests, give detailed 
written reasons that identify the specific information and the 
competitive harm public release will cause to you, your organization, 
or your business. The act requires the Air Force to provide any 
reasonably segregable part of a record after deleting exempt portions. 
If deleting key words or phrases would adequately protect your 
interests, advise us in writing which portions you believe we can 
safely release, and which portions you believe we need to withhold from 
release. If you do not provide details on the probability of 
substantial harm to your competitive position or other commercial 
interests, which would be caused by releasing your material to the 
requester, we may be required to release the information. Records 
qualify for protection on a case by case basis.
    (f) Pricing Information. Generally, the prices a contractor charges 
the government for goods or services would be released under the FOIA. 
Examples of releasable data include: bids submitted in response to an 
invitation for bids (IFB), amounts actually paid by the government 
under a contract, and line item prices, contract award price, and 
modifications to a contract. Unit prices contained in a contract award 
are considered releasable as part of the post award notification 
procedure prescribed by 48 CFR 15.503, unless they are part of an 
unsuccessful proposal, then 10 U.S.C. 2305(g) protects everything 
including unit price.

Appendix A to Part 806--References

Title 5, United States Code, Section 552, The Freedom of Information 
Act, as amended
Title 5, United States Code, Section 552a, The Privacy Act (as 
amended)
Title 10, United States Code, Section 2305(g), Prohibition on 
Release of Contractor Proposals
Title 48, Code of Federal Regulations (CFR), Federal Acquisition 
Regulations (FAR) System
OMB Bulletin 95-01, 7 December 1994
OMB Memorandum, 6 February 1998
DoD 5200.1-R, Information Security Program, January 1997
AFI 16-701, Special Access Programs
AFI 31-206, Security Police Investigations
AFI 31-401, Information Security Program Management
AFI 31-501, Personnel Security Program Management
AFI 31-601, Industrial Security Program Management
AFI 33-129, Transmission of Information Via the Internet
AFI 35-205, Air Force Security and Policy Review Program
AFI 36-2603, Air Force Board for Correction of Military Records
AFI 36-2706, Military Equal Opportunity and Treatment Program
AFI 36-2906, Personal Financial Responsibility
AFI 36-2907, Unfavorable Information File (UIF) Program
AFPD 37-1, Air Force Information Management (will convert to AFPD 
33-3)
AFI 37-124, The Information Collections and Reports Management 
Program; Controlling Internal, Public, and Interagency Air Force 
Information Collections (will convert to AFI 33-324)
AFI 37-132, Air Force Privacy Act Program (will convert to AFI 33-
332)
AFMAN 37-139, Records Disposition Schedule (will convert to AFMAN 
33-339)
AFI 40-301, Family Advocacy
AFI 41-210, Patient Administration Functions
AFI 44-109, Mental Health and Military Law
AFI 51-201, Administration of Military Justice
AFI 51-301, Civil Litigation
AFI 51-303, Intellectual Property-Patents, Patent Related Matters, 
Trademarks, and Copyrights
AFI 51-501, Tort Claims
AFI 51-503, Aircraft, Missile, Nuclear and Space Accident 
Investigations
AFI 51-504, Legal Assistance, Notary and Preventive Law Programs
AFI 51-1102, Cooperation with the Office of the Special Counsel
AFI 61-204, Disseminating Scientific and Technical Information
AFI 61-303, Licensing Inventions Made Under Cooperative Research and 
Development Agreements
AFI 65-401, Relations With the General Accounting Office
AFI 71-101, Volume 1, Criminal Investigations
AFI 71-101, Volume 2, Protective Service Matters
AFI 84-101, Historical Products, Services, and Requirements
AFI 90-301, Inspector General Complaints
AFI 90-401, Air Force Relations With Congress
AFI 91-204, Safety Investigations and Reports

Appendix B to Part 806--Abbreviations and Acronyms

AFCA--Air Force Communications Agency
AFCIC--Air Force Communications and Information Center
AFRC--Air Force Reserve Command
AFI--Air Force Instruction
AFLSA/JACL--Air Force Legal Services Agency, General Litigation 
Division
AFMAN--Air Force Manual
AFPC/MSIMD--Air Force Personnel Center/Records Management, FOIA, and 
Privacy Act Office
AFPD--Air Force Policy Directive
ANG--Air National Guard
ASCII--American Standard Code for Information Interchange
CFR--Code of Federal Regulations
DFAS--Defense Finance and Accounting Service
DFOISR--Director, Freedom of Information and Security Review
DoD--Department of Defense
DRU--Direct Reporting Unit
EFOIA--Electronic Freedom of Information Act
ERR--Electronic Reading Room
FOA--Field Operating Agency
FOIA--Freedom of Information Act
FOUO--For Official Use Only
GAO--General Accounting Office
GILS--Government Information Locator Service
GPO--Government Printing Office
IDA--Initial Denial Authority
IG--Inspector General
IMPAC--International Merchant Purchase Authority Card
LOA--Letters of Offer and Acceptance
MAJCOM--Major Command
MFR--Memorandum for Record
NATO--North Atlantic Treaty Organization
NORAD--North American Aerospace Defense
NTIS--National Technical Information Service
OCR--Office of Corollary Responsibility
OMB--Office of Management and Budget
OPR--Office of Primary Responsibility
PA--Privacy Act
PAO--Public Affairs Office
PAS--Personnel Accounting Symbol
RCS--Reports Control Symbol
SAF--Secretary of the Air Force
SSN--Social Security Number
USAF--United States Air Force
U.S.C.--United States Code
WWW--World Wide Web

Appendix C To Part 806--Terms

Appellate Authority--The Office of the General Counsel to the 
Secretary of the Air Force (SAF/GCA).
Denial--An adverse determination on no records, fees, expedited 
access, or not disclosing records.
Determination--The written decision to release or deny records or 
information that is responsive to a request.
Disclosure--Providing access to, or one copy of, a record.
Disclosure Authority--Official authorized to release records, 
normally division chiefs or higher.
FOIA Manager--The person who manages the FOIA Program at each 
organizational level.
FOIA Request--A written request for DoD records from the public that 
cites or implies the FOIA.
Functional Request--Any request for records from the public that 
does not cite the FOIA.
Government Information Locator Service (GILS)--An automated on-line 
card catalog of publicly accessible information.
Glomar Response--A reply that neither confirms nor denies the 
existence or nonexistence of the requested record.
Initial Denial Authority (IDA)--Persons in authorized positions that 
may withhold records.
Partial Denial--A decision to withhold part of a requested record.

[[Page 72825]]

Public Interest--The interest in obtaining official information that 
sheds light on how an agency performs its statutory duties and 
informs citizens about what their government is doing.
Reading Room--A place where the public may inspect and copy, or have 
copied, releasable records.
Records--The products of data compilation, such as all books, 
papers, maps, and photographs, machine readable materials inclusive 
of those in electronic form or format, or other documentary 
materials, regardless of physical form or characteristics, made or 
received by an agency of the U.S. Government under Federal Law in 
connection with the transaction of public business and in the 
agency's possession and control at the time the FOIA request is 
made. Records include notes, working papers, and drafts.
Redact--To remove nonreleasable material.
Janet A. Long,
Air Force Federal Register Liaison Officer.
[FR Doc. 99-29525 Filed 12-27-99; 8:45 am]
BILLING CODE 5001-05-U