FOIA and Privacy Act Release on Congressional Inquiries

Role and responsibility

S-1 admin specialists screen Marine Corps records for FOIA and Privacy Act release in support of congressional inquiries. The S-1 officer routes the records through the unit FOIA officer for exemption review. The adjutant coordinates with legal staff for Privacy Act balancing on records about an identified Marine. The initial denial authority (IDA) signs the partial or full denial when an exemption applies.

Source documents flow from the constituent inquiry, the FOIA request, the requested records, the FOIA exemption framework at 5 USC 552(b)(1) through (b)(9), the Privacy Act framework at 5 USC 552a, the SECNAVINST 5720.42F DON FOIA Program implementing rules, and the public interest balancing test. Outputs include the FOIA response letter (full release, partial release with exemption letter, full denial), the Privacy Act release authorization, the redacted records, and the FOIA appeal package when applicable.

DODD 5400.07 reissued the DoD FOIA Program effective 5 April 2019. The prior DoD 5400.7-R regulation form was superseded. The Marine Corps DON FOIA implementing instruction is SECNAVINST 5720.42F.

Trigger events

• Congressional office forwards a constituent FOIA request to the unit for action.
• Constituent inquiry requests Marine Corps records about the constituent or another named Marine.
• Media organization submits a FOIA request through HQMC Public Affairs.
• Member of Congress submits an oversight request for Marine Corps records.
• White House referral requires Marine Corps records release.
• DOD IG, GAO, or Department of Justice request for records on an ongoing investigation.

The nine FOIA exemptions

DODD 5400.07 and 5 USC 552(b) provide nine exemptions to FOIA disclosure. The exemption framework applies on a record-by-record and segment-by-segment basis with segregability rules requiring release of non-exempt portions.

• Exemption b(1). Classified national security information.
• Exemption b(2). Internal personnel rules and practices.
• Exemption b(3). Information specifically exempted by statute (e.g., 10 USC 130b protecting personal identifying information of DoD personnel performing sensitive duties).
• Exemption b(4). Trade secrets and commercial or financial information.
• Exemption b(5). Inter- or intra-agency communications subject to deliberative process, attorney work product, or attorney-client privilege.
• Exemption b(6). Personnel and medical files where disclosure would be a clearly unwarranted invasion of personal privacy.
• Exemption b(7). Records compiled for law enforcement purposes (with seven subparts).
• Exemption b(8). Financial institution examination records.
• Exemption b(9). Geological and geophysical information on wells.

The Privacy Act at 5 USC 552a provides parallel protection for records about identifiable individuals in a system of records. FOIA Exemption b(6) and the Privacy Act run together for personal privacy records.

Processing workflow

1. Receive the FOIA request or congressional records request. The S-1 officer captures the request date, the requester, the records described, and the response timeline.
2. Identify the records. Pull the responsive records from the OMPF, the unit personnel records, the operational records, or other source per the records request scope.
3. Route through the unit FOIA officer. The unit FOIA officer reviews the records for exemption applicability per DODD 5400.07DODD 5400.07 and the SECNAVINST 5720.42F implementing rules.
4. Apply the FOIA exemption analysis. For each record and each segment within a record, identify the applicable exemption (b(1) through b(9)) per 5 USC 552(b).
5. Apply the Privacy Act balancing test. For records about an identifiable Marine in a system of records, balance the public interest in disclosure against the personal privacy interest per 5 USC 552a and FOIA Exemption b(6).
6. Apply the segregability rule. Release the non-exempt portions of each record. Redact the exempt portions per DODD 5400.07DODD 5400.07 segregability rule.
7. Build the response letter. The response letter identifies the records released in full, the records released in part, the exemptions applied, and the records withheld in full. The Initial Denial Authority (IDA) signs the partial or full denial.
8. Coordinate fee determination. The FOIA fee schedule per DODD 5400.07DODD 5400.07 and SECNAVINST 5720.42F applies. Process fee waivers per the public interest fee waiver criteria.
9. Route the response. Deliver the response, the released records, and the exemption letter to the requester. Track the appeal window.
10. Process the FOIA appeal. On appeal, the FOIA appeal authority reviews the IDA decision and renders a written decision per DODD 5400.07DODD 5400.07.

Systems of record and forms

Systems

• Unit FOIA case management system. Local tracking of FOIA requests, exemptions applied, and responses issued.
• SECNAV FOIA portal. DON FOIA Program portal.
• DoD FOIA Annual Report system. Annual FOIA reporting to Department of Justice per DODD 5400.07 Paragraph 4.
• OMPF. Holds individual records pulled for FOIA review.
• Privacy Act system of records notices (SORN). DoD-published SORN list.

Forms

• FOIA Request Receipt and Tracking Form. Local form capturing request details.
• FOIA Exemption Analysis Worksheet. Internal worksheet identifying exemptions per record.
• FOIA Response Letter. Letter to the requester identifying released, redacted, and withheld records.
• IDA Denial Letter. The IDA partial or full denial letter with exemption citations.
• FOIA Appeal Package. The appeal package routed to the FOIA appeal authority.

Common pitfalls

• Privacy Act balancing test skipped. The unit releases personal information without the public interest balance. Apply the balancing test per 5 USC 552a and Exemption b(6) at every record about an identifiable Marine.
• Segregability rule overlooked. The unit withholds an entire record when only a portion is exempt. Release the non-exempt portions per DODD 5400.07DODD 5400.07 segregability rule.
• Exemption b(3) statutory citation missing. The exemption letter cites b(3) without identifying the underlying statute (e.g., 10 USC 130b). Cite the underlying statute on every b(3) withholding.
• Initial Denial Authority not designated. The unit drafts a denial without an IDA signature. The IDA is designated under SECNAVINST 5720.42F. Route every denial through the designated IDA.
• FOIA appeal window not tracked. The requester appeals and the appeal is procedurally defective. Calendar the appeal window at response delivery per DODD 5400.07DODD 5400.07.

Decision points

• Full release versus partial release versus full denial. The exemption analysis drives the decision. Most records release in part with exemptions on specific segments.
• Privacy Act consent route. The Marine consents to disclosure of personal records. The consent route avoids the Exemption b(6) balancing test per 5 USC 552a.
• Fee waiver decision. The requester claims a fee waiver on public interest grounds. The fee waiver criteria sit in DODD 5400.07DODD 5400.07 and SECNAVINST 5720.42F.

Authority

This sub-page maps to NAVMC 3500.3E T-R event 0102-GENA-1003 Supervise Congressional or Special Interest Inquiries. The FOIA framework sits under DODD 5400.07DODD 5400.07 DoD Freedom of Information Act (FOIA) Program (effective 5 April 2019, supersedes the prior DoD 5400.7-R regulation), 5 USC 552 Freedom of Information Act, 5 USC 552a Privacy Act of 1974, SECNAVINST 5720.42F DON FOIA Program, and SECNAVINST 5211.5F DON Privacy Program. Congressional inquiry handling routes through SECNAVINST 5730.5 and MCO 5740.4.

Related references

• DODD 5400.07 DoD Freedom of Information Act (FOIA) Program. Primary framework.
• 5 USC 552 Freedom of Information Act. Statutory framework.
• 5 USC 552a Privacy Act of 1974. Statutory framework for individual privacy.
• SECNAVINST 5720.42F DON FOIA Program. DON implementation.
• SECNAVINST 5211.5F DON Privacy Program. DON Privacy Act implementation.
• SECNAVINST 5730.5 Procedures for Handling Congressional Affairs Matters. Congressional inquiry framework.
• MCO 5740.4 Marine Corps Liaison to Congress. Marine Corps congressional liaison framework.