NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
National Personnel Records Center
St. Louis, Missouri 63132-5100

NPRC 1864.113B
April 18, 2003

SUBJECT:  Freedom of Information Act (FOIA) Requests

  1. Purpose.  This memorandum issues instructions for processing requests made under the Freedom of Information Act (FOIA)(5 U.S.C. 552).

  2. Cancellation.  NPRC 1864.113A is canceled.

  3. Reason for revision.  NPRC 1864.113 is revised to update guidelines for processing requests.

  4. Instructions.  The instructions for completing FOIA requests are contained in the attachment.

  5. Forms.  This memorandum provides for the use of the following forms:

    NA Form 13022, Returned Request Form
    NA Form 13028, FOIA Request
    NA Form 13034, Notification of Receipt of FOIA Request
    NA Form 13164, Information Releasable Under the Freedom of Information Act

 

R.L. HINDMAN
Director

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
National Personnel Records Center
St. Louis, Missouri 63132-5100

NPRC 1864.113B CHGE 1
June 9, 2003

SUBJECT:  Freedom of Information Act (FOIA) Requests

  1. Purpose.  This memorandum transmits revised pages to NPRC 1864.113B.

  2. Explanation of change.  The referral addresses used when there is partially releasable information have been updated.

  3. Instructions.  Remove pp. 1 thru 3, Chapter 2, and insert revised pages.

    4.  

    R.L. HINDMAN
    Director

    Attachment

    TABLE OF CONTENTS
     
    Paragraph titleParagraph number

    CHAPTER 1. FOIA REQUESTS
     
    Background 1
    Definition of Freedom of Information Act request 2
    Relation to Privacy Act 3
    Recognizing FOIA requests 4

    CHAPTER 2. FOIA REQUEST PROCEDURES - 9700 PAGE
     
    Data entry in CMRS 1
    Form of reply 2
    Acknowledgement of receipt/delay notice 3
    Department of Defense disclosure guidelines 4
    Specific information requested 5
    Request lacking release authorization 6
    Information partially releasable 7
    Transcribing data from the record 8
    Sending documents from the record 9
    Combining data transcription and photocopies10

    CHAPTER 3. FOIA REQUEST PROCEDURES - 111 WINNEBAGO
     
    Action in mailroom 1
    Action in Reference Service Branch 2
    Reporting 3

     

    Figure 3-1.1.    NA Form 13028, FOIA Request
    Figure 3-1.2.NA Form 13022, Returned Request Form
    Figure 3-1.3.NA Form 13034, Notification of Receipt of FOIA Request

    CHAPTER 1.  FOIA REQUESTS

    1. Background.

      1. Original act.  The Freedom of Information Act (P.L. 90-23, June 5, 1967) had little effect on release procedures at NPRC because it specifically excluded from its provisions personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.

      2. Amendments.  As with the original Act, the 1974 amendments to the Freedom of Information Act (P.L. 93-502, November 21, 1974) and subsequent amendments, had little impact on NPRC's release policies. They did, however, require certain special procedures, including (1) a determination and acknowledgment within 20 working days of receipt of request as to whether or not the requested information could be furnished, and (2) an annual statistical report on requests made under the Act.

    2. Definition of Freedom of Information Act request.  To qualify as a FOIA request, each request must reasonably describe the records/information requested, be in writing, and indicate clearly that it is being requested under provisions of the Act.

    3. Relation of Privacy Act.  All inquiries received at NPRC are now considered as coming under the Privacy Act insofar as release policies, accounting for disclosures, and other special provisions are concerned.  This also applies to inquiries that mention the Freedom of Information Act; however, the special provisions of this memo must also be considered when processing FOIA inquiries.

    4. Recognizing FOIA requests.  It is extremely important that employees recognize all requests identified as coming under the Freedom of Information Act.  This can be accomplished by looking for one of the following three references (on the envelope or in the request):

      FOIA request
      Public Law 93-502
      5 U.S.C. 552 (or a CFR citation, such as 32 CFR 806)

      Employees must be look for any reference to FOIA on letters or request forms and on pages attached to any request form.  It is important to recognize all FOIA requests promptly.

    CHAPTER 2.  FOIA REQUEST PROCEDURES, 9700 PAGE

    1. Data entry in CMRS.  Data entry personnel identify FOIA requests in CMRS by clicking in the box for FOIA Flag.  The flag (checkmark) indicates that the requester cited the Freedom of Information Act (FOIA).  Checking the flag will automatically change the priority level of routine requests to medium priority.

    2. Form of reply.  In responding to FOIA requests, core technicians will use the appropriate pattern paragraphs, pattern letters, or forms found on the Word Toolbar Buttons; Get Parag., Get Letter, or Get Form.

    3. Acknowledgement of receipt/delay notice.  If the request will not be answered within 20 working days, a delay notice is sent to the requester by Core 5, Headquarters.  A post card is generated from CMRS information.

    4. Department of Defense disclosure guidelines.  32 CFR 286, 32 CFR 286a, and Defense Privacy Board decisions list items of information pertaining to military personnel which normally may be released WITHOUT an unwarranted invasion of privacy.

      Name
      Dates of Service
      Rank/Grade
      Date of rank/grade
      *Salary
      Present and past duty assignments (including geographical location)
      *Future assignments which have been finalized
      *Office phone number
      Source of commission
      Military education level
      NOTE:  Actual awards and decorations are not releasable.  Information concerning entitlement and copies of award citations are releasable.
      Promotion sequence number
      Decorations and Awards ————®
      Education/schooling (military)
      **Duty Status
      Photograph (non-releasable data, such as social security number, recorded on the photo must be deleted)
      Records of courts-martial trials (unless classified)
      Serial/service numbers.  (Those issued prior to the use of the social security number as the service number.  See subpar. 18b of NPRC 1864.102 for further details.)
      Place of induction and separation

      If requested, the above items normally may be released without the veteran's consent.  For deceased service personnel, the following items also may generally be released:
       
      Place of birth
      Date and geographical location of death
      Place of burial
       
      *
      **       		These items obviously relate to active duty personnel only.
      Records processed at NPRC generally concern individuals with discharged or retired status.

      5.  

    5. Specific information requested.  If a request is asking for SPECIFIC information that is releasable under FOIA, provide only what is requested.  Do not routinely provide all data that is covered under FOIA.

    6. Request lacking release authorization.  If a routine request cites FOIA and asks only for specific documents or information that are NOT releasable under FOIA, the request may be returned if it lacks the release authorization of the veteran or NOK.  This is NOT considered a denial.  See 1865.16, par. 9.

    7. Information partially releasable.  When the information requested is partially releasable, provide the releasable information to the requester and forward the request and the record to the office shown below.  Be sure to inform requester of the referral.

      1. Army records:

        AR-PERSCOM (ZCC-A)
        1 Reserve Way
        St. Louis, MO 63132-5200

      2. Air Force Records.

        HQ, AFPC/ MSID (FOIA)
        550 C Street West, Suite 48
        Randolph AFB, TX 78150-4750

      3. Navy medical records.

        Navy Medical Liaison at 9700 Page Ave.

      4. Navy personnel records:

        Navy Personnel Command
        5720 Integrity Drive
        Millington, TN 38055-3130

      5. Marine Corps records:

        Marine Corps Liaison Office at 9700 Page Ave.

      6. Coast Guard records:

        Commander, Military Personnel Command
        G-CIM-2
        2100 Second Street, SW
        Washington, DC 20593-0001

    8. Transcribing data from the record.  Transcribing data from the record is the safest way to answer a FOIA request.  Transcription makes you more conscious of what you’re sending and decreases the chance of sending information you should not send.  Also, most releasable items can easily be recorded on NA Form 13164, Information Releasable Under the Freedom of Information Act.

      Be very careful when responding to third-party FOIA requests when you note that a previous FOIA response was made and is filed in the record.  The previous response could have been made when NPRC was using a different listing of releasable information.  This different listing included items such as date of birth, marital status, dependents' names and dates of birth, and home address, if deceased.  We no longer release that information.

    9. Sending documents from the record.  Sending documents is often the fastest way to answer a FOIA request.  Remember, however, the documents are simply the manner in which you’re choosing to provide releasable information.  Be careful.  It is easy to send a document that provides releasable information and more.  You might overlook information that is not releasable or forget to delete it.  Be selective when choosing documents.  For example, avoid sending NAVPERS 601, page 9, from a WWII record and NAVPERS 601, page 13, from a PWW record.  These are administrative pages on which all sorts of information that is not releasable may appear.  Conversely, NAVPERS 601, page 5, from a PMM record would be a good choice because it’s limited to the history of assignments.  Information found on AF documents, Forms 7 & 11, and WD66; and Army documents, DA Form 20 and DA Form 2-1, may also be copied, but you need to screen them carefully and make necessary deletions.  If you are using several documents to provide information (DA Form 20 and DA Form 2-1), it is permissible to "cut and paste" to a single sheet (or more, if needed).

    10. Combining data transcription and photocopies.  Most releasable items can easily be recorded on NA Form 13164.  Other items; e.g., assignments and their geographical locations or decorations, can be time consuming to transcribe, especially if the veteran had many years of service.  In these cases, transcribe as much information as possible and provide photocopies of documents on the remaining items.

    CHAPTER 3.  FOIA REQUEST PROCEDURES - 111 WINNEBAGO

    1. Action in mailroom.  Attach NA Form 13028, FOIA Request, to all FOIA requests as they are identified.  See fig. 3-1.1.  Attach appropriate color code tab to FOIA cases.

      1. Request lacks sufficient identifying information.  Return request for additional information using NA Form 13022, Returned Request Form.  See fig. 3-1.2.

      2. Registry location can be determined.  Complete NA Form 13034, Notification of Receipt of FOIA Request, Part 1, and send to requester.  See fig. 3-1.3.  Code and route inquiry as a routine request.

      3. Registry location cannot be determined and service is subsequent to April 1, 1965.  Handle as a routine negative.

      4. Inquiry concerns general purpose record holdings.  Complete NA Form 13034, Part 2, and send to requester.  Code and route inquiry as a routine request.

    2. Action in Reference Service Branch.

      1. Official Personnel Folders (OPF's).  Instructions for processing FOIA requests pertaining to OPF's are contained in NPRC 1867.6, Restrictions and release policies for Official Personnel Folders.

      2. General purpose records.  Instructions for processing FOIA requests pertaining to general purpose records are contained in NPRC 1867.27, Release and access guide, General Reference Branch.

      3. Acknowledgements.  All FOIA requests forwarded to the reference branch should have been acknowledged when the mailroom sent the requester NA Form 13034.  Any FOIA request which has NOT been acknowledged shall be brought to the supervisor's attention.  The supervisor shall ensure immediate completion and dispatch of the reply.

      4. Processing order.  Process FOIA requests along with all others bearing the same color code tabs.  Be sure to complete the appropriate portions of NA Form 13028 as the case is processed.  When a case is completed, give the NA Form 13028 to the section chief.

      5. Form of reply.  Responses to FOIA request should make maximum use of existing "NA" forms.  Only in the most unusual circumstances should a lengthy, composed reply be necessary.  It should be handwritten unless the technician's writing or printing is illegible.

    3. Reporting.  Reference Service Branch is responsible for ensuring that data is entered from collected NA Forms 13028 in the Performance Measurement and Reporting System (PMRS), FOIA Log.  The FOIA log is submitted to the Office of Regional Records Services on a quarterly basis.