subchapter a—united states navy … naval security group command. 700.318chief of naval education...

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SUBCHAPTER A—UNITED STATES NAVY REGULATIONS ANDOFFICIAL RECORDS

PART 700—UNITED STATES NAVYREGULATIONS

Subpart A—The Department of the Navy

Sec.700.101 Origin and authority.700.102 Objectives.700.103 Composition.700.104 The principal parts of the Depart-

ment of the Navy.700.105 Definition of terms.

Subpart B—The Secretary of the Navy

700.201 Responsibilities of the Secretary ofthe Navy.

700.202 Succession to duties.700.203 The Civilian Executive Assistants.700.204 The staff assistants.700.205 The Chief of Naval Research, The

Judge Advocate General, The DeputyComptroller of the Navy.

700.206 Authority over organizational mat-ters.

Subpart C—The Chief of Naval Operations

700.301 Senior Military Officer of the De-partment of the Navy.

700.302 Succession to duties.700.303 Specific authority and duties of the

Vice Chief of Naval Operations.700.304 Authority and responsibility.700.305 Naval Vessel Register, classification

of naval craft, and status of ships andservice craft.

700.306 The Chief of Naval Material.700.307 The Chief of Naval Personnel and

the Chief, Bureau of Medicine and Sur-gery.

700.308 Naval Inspector General.700.309 Commander in Chief, U.S. Atlantic

Fleet.700.310 Commander in Chief, U.S. Pacific

Fleet.700.311 Commander in Chief, U.S. Naval

Forces, Europe.700.312 Commander, Military Sealift Com-

mand.700.313 Commander, Naval Intelligence

Command.700.314 Commander, Naval Telecommuni-

cations Command.700.315 Oceanographer of the Navy.700.316 Commander, Naval Oceanography

Command.700.317 Commander, Naval Security Group

Command.700.318 Chief of Naval Education and Train-

ing.

700.319 Chief of Naval Reserve.700.320 Commandants of Naval Districts.700.321 President, Board of Inspection and

Survey.

Subpart D—The Commandant of theMarine Corps

700.401 Senior officer of the Marine Corps.700.402 Succession to duties.700.403 Authority and responsibilities.700.404 Specific responsibilities.700.405 Composition of the Marine Corps.700.406 Relationships between the Com-

mandant of the Marine Corps and theChief of Naval Material.

700.407 Serving with the Army by order ofthe President.

Subpart E—The United States Coast Guard(When Operating As a Service of theNavy)

700.501 Relationship and operation as aservice in the Navy.

700.502 Commandant of the Coast Guard.700.503 Duties and responsibilities.

Subpart F—Commanders in Chief andOther Commanders

700.601 Titles of commanders.700.602 Responsibility and authority of a

commander.700.603 To announce assumption of com-

mand.700.604 Readiness.700.605 Observance of international law.

Subpart G—The Commanding Officer

700.701 Applicability.700.702 Responsibility.700.703 [Reserved]700.704 Organization of commands.700.705–700.708 [Reserved]700.709 Unauthorized persons on board.700.710 Control of passengers.700.711 Authority over passengers.700.712 [Reserved]700.713 Person found under incriminating

circumstances.700.714 Rules for visits.700.715 Dealers, tradesmen, and agents.700.716 Marriages on board.700.717 Postal matters.700.718–700.719 [Reserved]700.720 Deaths.700.721 The American National Red Cross.700.722–700.723 [Reserved]700.724 Maintenance of Logs.700.725 Status of Logs.

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32 CFR Ch. VI (7–1–98 Edition)§ 700.101

700.726 Records.700.727–700.728 [Reserved]700.729 Delivery of personnel to civil au-

thorities and service of subpoena orother process.

700.730–700.732 [Reserved]700.733 Responsibility of a master of an in-

service ship of the Military Sealift Com-mand.

700.734 Relations with merchant seamen.700.735 [Reserved]700.736 Physical security.700.737 Effectiveness for service.700.738–700.739 [Reserved]700.740 Search by foreign authorities.700.741–700.746 [Reserved]700.747 Status of boats.700.748 [Reserved]700.749 Work, facilities, supplies, or services

for other Government departments,State or local governments, foreign gov-ernments, private parties, and morale,welfare, and recreational activities.

700.750–700.751 [Reserved]700.752 Responsibility for safety of ships and

craft at a naval station or shipyard.700.753 Ships and craft in drydock.700.754 Pilotage.700.755 Safe navigation and regulations gov-

erning operation of ships and aircraft.700.756 Duties of the prospective command-

ing officer of a ship.700.757 Authority of the commanding officer

or prospective commanding officer of anaval nuclear powered ship.

700.758 Inspection incident to commission-ing of ships.

700.759–700.762 [Reserved]700.763 Quarantine.700.764 Customs and immigration inspec-

tions.700.765 Environmental pollution.700.766–700.767 [Reserved]700.768 Care of ships, aircraft, vehicles, and

their equipment.

Subpart H—Precedence, Authority, andCommand

700.811 Exercise of authority.700.812–700.816 [Reserved]700.817 Authority of an officer who succeeds

to command.700.818–700.829 [Reserved]700.830 Authority of a sentry.700.831–700.833 [Reserved]700.834 Orders to active service.

Subpart I—The Senior Officer Present

700.901 The senior officer present.700.902 [Reserved]700.903 Authority and responsibility.700.904 Authority of senior officer of the

Marine Corps present.700.905–700.921 [Reserved]700.922 Shore patrol.

700.923 Precautions for health.700.924–700.934 [Reserved]700.935 Exercise of power of consul.700.936–700.939 [Reserved]700.940 Granting of asylum and temporary

refuge.

Subpart J—Rights and Responsibilities ofPersons in the Department of the Navy

700.1115 Control of official records.700.1116 Disclosure and publication of infor-

mation.700.1117 Official records in civil courts.700.1118–700.1119 [Reserved]700.1120 Rules for preventing collisions,

afloat and in the air.700.1121–700.1132 [Reserved]700.1133 Use of title for commercial enter-

prises.700.1134–700.1142 [Reserved]700.1143 Return of Government property on

release from active service.700.1144 Issue or loan of public property.700.1145–700.1149 [Reserved]700.1150 Alcoholic liquors.700.1151 Responsibilities concerning mari-

juana, narcotics, and other controlledsubstances.

700.1152–700.1160 [Reserved]700.1161 Endorsement of commercial prod-

uct or process.

Subpart K—Purpose and Force of Regula-tions within the Department of theNavy

700.1201 Purpose and force of United StatesNavy Regulations.

700.1202 Issuances concerning matters overwhich control is exercised.

AUTHORITY: 10 U.S.C. 6011; 38 FR 7892, Mar.26, 1973.

SOURCE: 39 FR 7135, Feb. 25, 1974, unlessotherwise noted.

Subpart A—The Department of theNavy

§ 700.101 Origin and authority.(a) The naval affairs of the country

began with the war for independence,the American Revolution. On 13 Octo-ber 1775, Congress passed legislationforming a committee to purchase andarm two ships. This in effect createdthe Continental Navy. Two battalionsof Marines were authorized on 10 No-vember 1775. Under the Constitution,the First Congress on 7 August 1789, as-signed responsibility for the conduct ofnaval affairs to the War Department.On 30 April 1798, the Congress estab-lished a separate Navy Department


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Department of the Navy, DoD § 700.104

with the Secretary of the Navy as itschief officer. On 11 July 1798, the U.S.Marine Corps was established as a sepa-rate service, and in 1834 was made apart of the Department of the Navy.

(b) The National Security Act of 1947,as amended, is the fundamental lawgoverning the position of the Depart-ment of the Navy in the organizationfor national defense. In 1949, the Actwas amended to establish the Depart-ment of Defense as an Executive De-partment, and to establish the Depart-ments of the Army, Navy and AirForce (formerly established as Execu-tive Departments by the 1947 Act) asmilitary departments within the De-partment of Defense.

(c) The responsibilities and authorityof the Department of the Navy arevested in the Secretary of the Navy,and are subject to his reassignmentand delegation. The Secretary is boundby the provisions of law, the directionof the President and the Secretary ofDefense, and, along with all Govern-ment agencies, the regulations of cer-tain nondefense agencies in their re-spective areas of functional respon-sibility.

§ 700.102 Objectives.The fundamental objectives of the

Department of the Navy, within theDepartment of Defense, are

(a) To organize, train, equip, prepare,and maintain the readiness of Navyand Marine Corps forces for the per-formance of military missions as di-rected by the President or the Sec-retary of Defense, and

(b) To support Navy and MarineCorps forces, including the support ofsuch forces and the forces of othermilitary departments, as directed bythe Secretary of Defense, which are as-signed to unified or specified com-mands. Support, as here used, includesadministrative, personnel, materialand fiscal support, and technologicalsupport through research and develop-ment.

§ 700.103 Composition.The Department of the Navy is sepa-

rately organized under the Secretary ofthe Navy. It operates under the author-ity, direction, and control of the Sec-retary of Defense. It is composed of the

executive part of the Department ofthe Navy; the Headquarters, UnitedStates Marine Corps; the entire operat-ing forces, including naval aviation, ofthe United States Navy and of theUnited States Marine Corps, and thereserve components of those operatingforces; and all shore activities, head-quarters, forces, bases, installations,activities, and functions under the con-trol or supervision of the Secretary ofthe Navy. It includes the United StatesCoast Guard when it is operating as aservice in the Navy.

§ 700.104 The principal parts of the De-partment of the Navy.

(a) Functionally, organizationallyand geographically the Department ofthe Navy has from practically the be-ginning of the Federal Governmentunder the Constitution consisted ofthree parts: The Operating Forces ofthe Navy, the Navy Department, andthe Shore Establishment.

(b) The operating forces of the Navycomprise the several fleets, sea-goingforces, sea-frontier forces, districtforces, Fleet Marine Forces, other as-signed Marine Corps Forces, the Mili-tary Sealift Command, and other forcesand activities that may be assignedthereto by the President or the Sec-retary of the Navy.

(c) The Navy Department refers tothe central executive offices of the De-partment of the Navy located at theseat of the government. The Navy De-partment is organizationally com-prised of the Office of the Secretary ofthe Navy which includes his CivilianExecutive Assistants, Offices of his As-sistants, and the headquarters organi-zations of the Office of Naval Research,the Office of the Judge Advocate Gen-eral, and the Office of the Comptrollerof the Navy; the Office of the Chief ofNaval Operations, the Headquarters,United States Marine Corps; and, underthe command of the Chief of Naval Op-erations, the Headquarters, Naval Ma-terial Command, and the headquartersorganizations of the Bureau of NavalPersonnel and the Bureau of Medicineand Surgery. In addition, the Head-quarters, United States Coast Guard, isincluded when the United States CoastGuard is operating as a service in theNavy.


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32 CFR Ch. VI (7–1–98 Edition)§ 700.105

(d) The shore establishment is com-prised of shore activities with definedmissions approved for establishment bythe Secretary of the Navy.

§ 700.105 Definition of terms.The following definitions shall apply

to the regulations in this part:(a) Command—(DOD). (1) The author-

ity which a commander in the militaryservice lawfully exercises over his sub-ordinates by virtue of rank or assign-ment. Command includes the authorityand responsibility for effectively usingavailable resources and for planningthe employment of, organizing, direct-ing, coordinating, and controlling mili-tary forces for the accomplishment ofassigned missions. It also includes re-sponsibilities for health, welfare, mo-rale, and discipline of assigned person-nel.

(2) An order given by a commander;that is, the will of the commander ex-pressed for the purpose of bringingabout a particular action.

(3) A unit or units, an organization,or an area under the command of oneindividual.

(4) To dominate by a field ofweaponfire or by observation from asuperior position.

(b) Superior. A commander or officerin command of a senior force, unit, ororganization in line of command. Also,a senior person in line of command.

(c) Flag and general officers. Flag offi-cer means an officer of the Navy orCoast Guard above the grade of cap-tain. General officers means an officerof the Marine Corps, the Army, or theAir Force above the grade of colonel.

(d) Person in the naval service. Meansa person, male or female, appointed orenlisted in, or inducted or conscriptedinto, the Navy or the Marine Corps.Also, same meaning for member of thenaval service.

(e) Persons in the Department of theNavy. All persons in the naval serviceand civilians employed under the De-partment of the Navy.

(f) Ships. A classification of water-borne craft which comprises generallythe oceangoing vessels and craft of theNavy, and such other water-borne craftas may be assigned this classification.

(g) Service craft. A classification ofwater-borne craft which comprises gen-

erally the water-borne utilitarian craftnot classified as ships or boats.

(h) Boats. A classification of water-borne craft which comprises generallythe water-borne craft suitable pri-marily for shipboard and similar use.

(i) Active status. A status of ships andservice craft. Active status ships orservice craft are assigned to the activefleets and to their supporting activitiesor are ships of the Military SealiftCommand which are titled in theUnited States or are operated underlong-term bareboat charter. Ships andservice craft in active status are ‘‘incommission’’ or ‘‘in service.’’

(j) Inactive status. A status of shipsand service craft. Inactive status shipsand service craft are in reserve and notcurrently required for duty in the ac-tive fleets or supporting forces. Shipsand service craft in inactive status are‘‘in commission, in reserve,’’ or ‘‘inservice, in reserve’’ or ‘‘out of commis-sion, in reserve’’ or ‘‘out of service, inreserve.’’

(k) Special status. A status of shipsand service craft. Ships and servicecraft in special status shall includethose units for which the Navy ischarged with certain responsibilitiesby reason of custody or title, but whichare not in the active or inactive status.Ships and service craft in special sta-tus are ‘‘in commission, special’’ or ‘‘inservice, special’’ or ‘‘out of commis-sion, special’’ or ‘‘out of service, spe-cial.’’

(l) Vessel. Includes every descriptionof watercraft or other artificial con-trivance used, or capable of being used,as a means of transportation on water.(1 U.S.C. 3).

(m) Naval activity. A unit of the De-partment of the Navy, of distinct iden-tity, and established under an officer incommand or in charge.

(n) Naval station. A naval activity onshore, having a commanding officer,and located in an area having fixedboundaries, within which all personsare subject to naval jurisdiction andimmediate authority of the command-ing officer.

[41 FR 18074, Apr. 30, 1976]


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Subpart B—The Secretary of theNavy

§ 700.201 Responsibilities of the Sec-retary of the Navy.

The Secretary of the Navy is thehead of the Department of the Navy.Under the direction, authority, andcontrol of the Secretary of Defense, theSecretary of the Navy is responsible forthe policies and control of the Depart-ment of the Navy, including its organi-zation, administration, operation, andefficiency.

[39 FR 7135, Feb. 25, 1974, as amended at 45FR 80277, Dec. 4, 1980]

§ 700.202 Succession to duties.(a) When there is a vacancy in the Of-

fice of the Secretary of the Navy, orduring the absence or disability of theSecretary, the Under Secretary of theNavy, and, in the order prescribed bythe Secretary of the Navy, the Assist-ant Secretaries of the Navy succeed tothe duties of the Secretary. If the Sec-retary does not prescribe an order forsuccession to the duties of that office,the Assistant Secretaries shall succeedto those duties after the Under Sec-retary in the order in which they tookoffice as Assistant Secretaries.

(b) During the temporary absence ofthe above officials, the Chief of NavalOperations or, in his absence, the ViceChief of Naval Operations succeeds tothe duties of the Secretary.


§ 700.203 The Civilian Executive As-sistants.

(a) The Civilian Executive Assistantsto the Secretary of the Navy are theUnder Secretary of the Navy, the As-sistant Secretaries of the Navy, theGeneral Counsel of the Navy and theDeputy Under Secretary of the Navy. Itis the policy of the Secretary to assignDepartment-wide responsibilities es-sential to the efficient administrationof the Department of the Navy to andamong his Civilian Executive Assist-ants.

(b) The Civilian Executive Assist-ants, within their respective areas ofresponsibility, are the principal advis-ers and assistants to the Secretary on

the administration of the affairs of theDepartment of the Navy. In carryingout these duties, they shall do so inharmony with the statutory position ofthe Chief of Naval Operations as ‘‘theprincipal naval adviser and naval exec-utive to the Secretary on the conductof activities of the Department of theNavy’’ and the responsibilities of theChief of Naval Operations and the Com-mandant of the Marine Corps as setforth in these regulations. The CivilianExecutive Assistants are authorizedand directed to act for the Secretarywithin their assigned areas of respon-sibility.

(c) The Under Secretary of the Navyis designated as the deputy and prin-cipal assistant to the Secretary of theNavy, and acts with full authority ofthe Secretary in the general manage-ment of the Department of the Navy,and supervision of offices and organiza-tions as assigned by the Secretary.

(d) The Assistant Secretary of theNavy (Financial Management) is theComptroller of the Navy, and is respon-sible for all matters related to the fi-nancial management of the Depart-ment of the Navy, including budgeting,accounting, disbursing, financing,progress and statistical reporting, au-diting, management information sys-tems, automatic data processing sys-tems and equipment (less than integralto a weapons system), and supervisionof offices and organizations as assignedby the Secretary. Under the Comptrol-ler, the Deputy Comptroller of theNavy shall, in addition to performingother duties assigned, serve as an ad-viser and assistant to the Chief ofNaval Operations and the Commandantof the Marine Corps with respect to fi-nancial and budgetary matters.

(e) The Assistant Secretary of theNavy (Manpower, Reserve Affairs andLogistics) is responsible for the overallsupervision of manpower and reservecomponent affairs of the Department ofthe Navy, including policy and admin-istration of affairs related to military(active and inactive) and civilian per-sonnel; all stages of the acquisition ofnaval ships funded by the appropria-tion ‘‘Ships Construction, Navy’’; allDepartment of the Navy acquisition


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32 CFR Ch. VI (7–1–98 Edition)§ 700.204

programs following full scale produc-tion decision (Milestone III); the busi-ness, contractual, manpower, and logis-tic support aspects of the Departmentof the Navy Acquisition programs, in-cluding policy and administration ofaffairs related thereto; the mainte-nance, alteration, supply, distribution,and disposal of material; all transpor-tation matters; the acquisition, con-struction, utilization, improvement al-teration, maintenance, and disposal ofreal estate and facilities, includingcapital equipment utilities, housing,and public quarters; printing and publi-cations; labor relations with respect tocontractors with the Department ofthe Navy; industrial security; the Mu-tual Defense Assistance Program, asrelated to the supplying of material,including Foreign Military Sales; andsupervision of offices and organizationsas assigned by the Secretary.

(f) The Assistant Secretary of theNavy (Research, Engineering and Sys-tems) is responsible for all technicalaspects of all stages of Department ofthe Navy acquisition programs throughthe full-scale production decision(Milestone III), including policy andadministration of affairs related there-to, with the exception of the acquisi-tion of naval ships funded by the appro-priation ‘Ships Construction, Navy’;the technical aspects of the mainte-nance or alteration of material; allmatters related to research, develop-ment, engineering, test, and evaluationefforts within the Department of theNavy, including management of the ap-propriation, ‘Research, Development,Test and Evaluation, Navy’; oceanog-raphy; ocean engineering and closelyrelated matters; and supervision of of-fices and organizations as assigned bythe Secretary.

(g) The General Counsel of the Navyis responsible for providing legal ad-vice, counsel, and guidance to the Sec-retary and the other Civilian ExecutiveAssistants on any matter that theymay direct or that the General Counseldetermines should be brought to theirattention. The General Counsel is alsoresponsible for providing all necessarylegal advice, counsel, and guidance tothe staffs of the Secretary and theother Civilian Executive Assistants;the supervision of the Office of the

General Counsel; and such other dutiesas the Secretary may assign. The re-sponsibilities of the General Counselare not intended to infringe upon, orinterfere with, the responsibilities ofthe Judge Advocate General for the ad-ministration of military justice andsuch other matters as may be assignedto that officer by statute or by the Sec-retary.

(h) The Deputy Under Secretary ofthe Navy is responsible to the Sec-retary or Under Secretary for acting asa focal point and coordinator for theresolution of problems which requirehigh-level special attention. In addi-tion, the Deputy Under Secretary isthe major claimant for funds and man-power supporting the Department ofthe Navy Secretariat, Staff Offices, andthe Department of the Navy GeneralGift Fund. The Deputy Under Sec-retary is responsible for general over-sight, policy and procedure formula-tion and coordination regarding envi-ronmental matters affecting the De-partment of the Navy, with the excep-tion of occupational health and safetyand employee working conditions.


§ 700.204 The staff assistants.

The Staff Assistants to the Secretaryof the Navy are the Chief of Informa-tion; the Chief of Legislative Affairs;the Director, Office of Program Ap-praisal; and the heads of such other of-fices and boards as may be establishedby law or by the Secretary for the pur-pose of assisting the Secretary or oneor more of the Civilian Executive As-sistants in the administration of theDepartment of the Navy. The foregoingshall supervise all functions and activi-ties internal to their offices and as-signed shore activities, if any, andshall be responsible to the Secretary orto one of the Civilian Executive Assist-ants for the utilization of resources byand the operating efficiency of all ac-tivities under their supervision. Theduties of the individual Staff Assist-ants and their respective offices will beas provided by law or as assigned bythe Secretary.



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§ 700.205 The Chief of Naval Research,The Judge Advocate General, TheDeputy Comptroller of the Navy.

The Chief of Naval Research shallcommand the Office of Naval Researchand assigned shore activities. TheJudge Advocate General shall com-mand the Office of the Judge AdvocateGeneral and assigned shore activities.The Deputy Comptroller of the Navyshall command the Office of the Comp-troller of the Navy and assigned shoreactivities. Each of them shall be re-sponsible to the Secretary of the Navyor to one of the Civilian Executive As-sistants, as assigned, for the utilizationof resources by and the operating effi-ciency of all activities under their re-spective commands. The duties of theChief of Naval Research, the Judge Ad-vocate General, and the Comptroller ofthe Navy will be as provided by law oras assigned by the Secretary.


§ 700.206 Authority over organiza-tional matters.

Subject to the approval of the Sec-retary of the Navy or guidance here-after furnished by him, the Civilian Ex-ecutive Assistants, the Chief of NavalOperations, the Commandant of theMarine Corps, the Chief of Naval Re-search, the Judge Advocate General,the Deputy Comptroller of the Navy,and the Staff Assistants are individ-ually authorized to organize, assign,and reassign responsibilities withintheir respective commands or offices inthe organization of the Department ofthe Navy, including the establishmentand disestablishment of such compo-nent organizations as may be nec-essary, subject to the following:

(a) The authority to disestablish maynot be exercised with respect to any or-ganizational component of the Depart-ment established by law.

(b) The Secretary retains the author-ity to approve the establishment of anddisestablishment of shore activities,which will be done in accordance withprocedures prescribed by the Secretary.


Subpart C—The Chief of NavalOperations

§ 700.301 Senior Military Officer of theDepartment of the Navy.

(a) The Chief of Naval Operations isthe senior military officer of the De-partment of the Navy, and takes prece-dence above all other officers of thenaval service, except an officer of thenaval service who is serving as Chair-man of the Joint Chiefs of Staff.

(b) The Chief of Naval Operations isthe principal naval adviser to thePresident and to the Secretary of theNavy on the conduct of war, and theprincipal naval adviser and naval exec-utive to the Secretary on the conductof the activities of the Department ofthe Navy.

(c) The Chief of Naval Operations isthe Navy member of the Joint Chiefs ofStaff and is responsible, in coordina-tion with the Commandant of the Ma-rine Corps, for keeping the Secretary ofthe Navy fully informed on mattersconsidered or acted upon by the JointChiefs of Staff. In this capacity, he isresponsible, under the President andthe Secretary of Defense, for duties ex-ternal to the Department of the Navy,as prescribed by law.


§ 700.302 Succession to duties.The Vice Chief of Naval Operations,

and then the officers of the Navy, eligi-ble for command at sea, on duty in theoffice of the Chief of Naval Operationsin the order of their seniority, shall,unless otherwise directed by the Presi-dent, perform the duties of the Chief ofNaval Operations during his absence,or disability, or in the event of a tem-porary vacancy in that office.

§ 700.303 Specific authority and dutiesof the Vice Chief of Naval Oper-ations.

(a) The Vice Chief of Naval Oper-ations has such authority and dutieswith respect to the Department of theNavy as the Chief of Naval Operations,with the approval of the Secretary ofthe Navy, may delegate to or prescribefor him. Orders issued by the ViceChief of Naval Operations in perform-ing such duties have the same force


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32 CFR Ch. VI (7–1–98 Edition)§ 700.304

and effect as those issued by the Chiefof Naval Operations.

(b) Orders issued by the Vice Chief ofNaval Operations in performing otherduties have the same force and effectas those issued by the Chief of NavalOperations.

§ 700.304 Authority and responsibility.(a) Internal to the administration of

the Department of the Navy, the Chiefof Naval Operations, under the direc-tion of the Secretary of the Navy, shallcommand the Operating Forces of theNavy. The Chief of Naval Operationsshall also command the Naval MaterialCommand, the Bureau of Naval Person-nel, and the Bureau of Medicine andSurgery. In addition, he shall commandsuch shore activities as may be as-signed to him by the Secretary. Heshall be responsible to the Secretaryfor the utilization of resources by, andthe operating efficiency of, all com-mands and activities under his com-mand.

(b) In addition, the Chief of Naval Op-erations has the following specific re-sponsibilities:

(1) To organize, train, equip, prepare,and maintain the readiness of Navyforces, including those for assignmentto unified or specified commands forthe performance of military missionsas directed by the President, the Sec-retary of Defense, or the Joint Chiefsof Staff. Naval forces, when assigned toa unified or specified command, areunder the full operational command ofthe commander to whom they are as-signed.

(2) To determine and direct the ef-forts necessary to fulfill current andfuture requirements of the Navy (lessFleet Marine Forces and other assignedMarine Corps forces) for manpower,material, weapons, facilities, and serv-ices, including the determination ofquantities, military performance re-quirements, and times, places, and pri-orities of need.

(3) To exercise leadership in main-taining a high degree of competenceamong Navy officer and enlisted and ci-vilian personnel in necessary fields ofspecialization, through education,training, and equal opportunities forpersonal advancement, and maintain-ing the morale and motivation of Navy

personnel and the prestige of a Navycareer.

(4) To plan and provide health carefor personnel of the naval service andtheir dependents.

(5) To direct the organization, admin-istration, training, and support of theNaval Reserve.

(6) To inspect and investigate compo-nents of the Department of the Navy todetermine and maintain efficiency, dis-cipline, readiness, effectiveness, andeconomy, except in those areas wheresuch responsibility rests with the Com-mandant of the Marine Corps.

(7) To determine the needs of navalforces and activities for research, de-velopment, test, and evaluation; toplan and provide for the conduct of de-velopment, test, and evaluation whichare adequate and responsive to long-range objectives, immediate require-ments, and fiscal limitations; and toprovide assistance to the AssistantSecretary of the Navy (Research andDevelopment) in the direction, review,and appraisal of the overall NavyRDT&E Program to insure fulfillmentof stated requirements.

(8) To formulate Navy strategic plansand policies and participate in the for-mulation of joint and combined strate-gic plans and policies and related com-mand relationships.

(9) To budget for commands, bureaus,and offices assigned to the command ofthe Chief of Naval Operations, andother activities and programs as as-signed, except as may be otherwise di-rected by the Secretary of the Navy.

(c) The Chief of Naval Operations,under the direction of the Secretary ofthe Navy, shall (except for those areaswherein such responsibility rests withthe Commandant of the Marine Corps)exercise overall authority throughoutthe Department of the Navy in mattersrelated to the effectiveness of the sup-port of the Operating Forces of theNavy, the coordination and direction ofassigned Navy-wide programs and func-tions including those assigned by high-er authority, the coordination of ac-tivities of the Department of the Navyin matters concerning effectiveness, ef-ficiency, and economy, and matters es-sential to naval military administra-tion, such as security, intelligence, dis-cipline, communications, and matters


17


related to the customs and traditionsof the naval service.

§ 700.305 Naval Vessel Register, classi-fication of naval craft, and status ofships and service craft.

(a) The Chief of Naval Operationsshall be responsible for the Naval Ves-sel Register (except the Secretary ofthe Navy shall strike vessels from theRegister) and the assignment of classi-fication for administrative purposes towater-borne craft and the designationof status for each ship and servicecraft. The classification of water-bornecraft and the status of ships and serv-ice craft are found in the glossary.

(b) Commissioned vessels and craftshall be called ‘‘United States Ship——’’ or ‘‘U.S.S.——’’.

(c) Civilian manned ships of the Mili-tary Sealift Command or other com-mands designated ‘‘active status, inservice’’ shall be called ‘‘United StatesNaval Ship——’’ or ‘‘U.S.N.S.——’’.

(d) Ships and service craft designated‘‘active status, in service,’’ exceptthose described by paragraph c of thisarticle, shall be referred to by name,when assigned, classification, and hullnumber (e.g., ‘‘HIGHPOINT PCH–1’’ or‘‘YOGN–8’’).

(e) The Chief of Naval Operationsshall designate hospital ships and med-ical aircraft as he deems necessary.Such designation shall be in compli-ance with the Geneva Convention forthe Amelioration of the Conditions ofWounded, Sick and Shipwrecked Mem-bers of the Armed Forces at Sea of 12August 1949 and he shall ensure compli-ance with the notice provisions of thatConvention.


§ 700.306 The Chief of Naval Material.The Chief of Naval Material, under

the command of the Chief of Naval Op-erations, shall command the Naval Ma-terial Command. In addition to thetasks which may be assigned by theChief of Naval Operations, he shall:

(a) Provide direct staff assistance tothe Secretary of the Navy and the Ci-vilian Executive Assistants in matterspertaining to contracting, procure-ment, production and exploratory de-velopment, laboratories assigned to the

Chief of Naval Material and to relatedmatters. In these areas, the Chief ofNaval Material shall inform the Chiefof Naval Operations and, when appro-priate, the Commandant of the MarineCorps in matters of policy and signifi-cant actions.

(b) Be responsive directly to theCommandant of the Marine Corps inproviding necessary planning and pro-gramming data requirements and inmeeting those particular material sup-port needs of the U.S. Marine Corpswhich are required to be provided bythe Naval Material Command.

(c) Provide the Commandant of theMarine Corps with timely advice con-cerning training and technical require-ments essential for the operation andmaintenance by Marine Corps person-nel of new equipment under develop-ment.

(1) Be responsive to the heads ofother organizations in meeting theirmaterial support needs which are pro-vided by the Naval Material Command.

(2) Provide guidance to Navy and Ma-rine Corps Commands, as required, onfunctional areas related to Naval Mate-rial Command acquisition and logisticssupport responsibilities and other tech-nical or professional matters as appro-priate.

§ 700.307 The Chief of Naval Personneland the Chief, Bureau of Medicineand Surgery.

The Chief of Naval Personnel, underthe command of the Chief of Naval Op-erations, shall command the Bureau ofNaval Personnel. The Chief, Bureau ofMedicine and Surgery, (who is also theSurgeon General of the Navy), underthe command of the Chief of Naval Op-erations, shall command the Bureau ofMedicine and Surgery. In addition tothe tasks which may be assigned by theChief of Naval Operations, they shall:

(a) Be responsive directly to theCommandant of the Marine Corps inmeeting those particular needs of theUnited States Marine Corps which arerequired to be provided by their respec-tive bureaus.

(b) Be responsive to the heads ofother organizations in meeting the par-ticular needs of such organizationswhich are provided by the Chief of


18

32 CFR Ch. VI (7–1–98 Edition)§ 700.308

Naval Personnel and the Chief, Bureauof Medicine and Surgery.

§ 700.308 Naval Inspector General.There is in the Office of the Chief of

Naval Operations the Office of theNaval Inspector General. The Naval In-spector General, when directed, shallinquire into and report upon any mat-ter which affects the discipline or mili-tary efficiency of the Department ofthe Navy; however, the Secretary ofthe Navy shall direct inquiry whensuch matters are related to the MarineCorps. He shall make such inspections,investigations, and reports as the Sec-retary of the Chief of Naval Operationsdirects. The Naval Inspector Generalshall periodically propose programs ofinspections to the Chief of Naval Oper-ations and shall recommend additionalinspections or investigations as mayappear appropriate.

§ 700.309 Commander in Chief; U.S. At-lantic Fleet.

(a) The Commander in Chief of U.S.Atlantic Fleet is a naval commander inchief of the Operating Forces of theNavy under the command of the Chiefof Naval Operations. He shall commandthe U.S. Atlantic Fleet and is respon-sible for the administration, training,maintenance, support and readiness ofthe Atlantic Fleet including thoseforces temporarily assigned to theoperational command of other com-manders.

(b) The Commander in Chief U.S. At-lantic Fleet is a naval component com-mander of the unified command underthe Commander in Chief, Atlantic.

(c) The organization of the AtlanticFleet, the forces assigned and their em-ployment shall be as specified by theChief of Naval Operations except forthe employment of forces assigned tothe operational command of unifiedand specified commanders.

§ 700.310 Commander in Chief, U.S. Pa-cific Fleet.

(a) The Commander in Chief U.S. Pa-cific Fleet is a naval commander inchief of the Operating Forces of theNavy under the command of the Chiefof Naval Operations. He shall commandthe U.S. Pacific Fleet and is respon-sible for the administration, training,

maintenance, support and readiness ofthe Pacific Fleet, including thoseforces temporarily assigned to theoperational command of other com-manders.

(b) The Commander in Chief U.S. Pa-cific Fleet is a naval component com-mander of the unified command underthe Commander in Chief, Pacific.

(c) The organization of the PacificFleet, the forces assigned and their em-ployment shall be as specified by theChief of Naval Operations except forthe employment of forces assigned tothe operational command of unifiedand specified commanders.

§ 700.311 Commander in Chief; U.S.Naval Forces, Europe.

(a) The Commander in Chief U.S.Naval Forces, Europe is a naval com-mander in chief of the OperatingForces of the Navy under the commandof the Chief of Naval Operations. Heshall represent the Chief of Naval Oper-ations for U.S. naval matters in thegeneral areas of Europe, North Africa,and the Middle East. He shall commandthose forces assigned by the Chief ofNaval Operations or by other navalcommanders.

(b) The Commander in Chief U.S.Naval Forces, Europe is the naval com-ponent commander of the unified com-mand under the Commander in Chief,U.S. European Command.

§ 700.312 Commander, Military SealiftCommand.

(a) The Commander, Military SealiftCommand is a naval commander of theOperating Forces of the Navy under thecommand of the Chief of Naval Oper-ations. He shall provide ocean trans-portation for personnel and cargo ofthe Department of Defense (excludingthat transported by units of the fleet)in accordance with policies and proce-dures of the Single Manager for OceanTransportation (Secretary of the Navy)and the Secretary of Defense. He shallalso operate ships in support of sci-entific projects and other programs foragencies or departments of the UnitedStates.

(b) The Military Sealift Commandshall operate and maintain governmentowned ships and augment operational


19


capability by shipping cargo and pas-sengers on commercially operatedships, chartering ships, and exercisingoperational control over ships acti-vated from National Defense ReserveFleet to meet emergency needs.

§ 700.313 Commander, Naval Intel-ligence Command.

The Commander, Naval IntelligenceCommand, under the command of theChief of Naval Operations, shall be re-sponsible for directing and managingthe activities of the Naval IntelligenceCommand to insure fulfillment of theintelligence, counterintelligence, in-vestigative, and security requirementsof the Department of the Navy.

§ 700.314 Commander, Naval Tele-communications Command.

The Commander, Naval Tele-communications Command, under thecommand of the Chief of Naval Oper-ations, shall exercise overall respon-sibility throughout the Department ofthe Navy for the coordination of theprovision, operation, and maintenanceof adequate and secure naval commu-nications.

[41 FR 18074, Apr. 30, 1976]

§ 700.315 Oceanographer of the Navy.

The Oceanographer of the Navy,within the Office of the Chief of NavalOperations, performs functions relatingto external interfaces with nationaland international oceanographic orga-nizations and bodies.


§ 700.316 Commander, Naval Oceanog-raphy Command.

The Commander, Naval Oceanog-raphy Command, under the commandof the Chief of Naval Operations, shallbe responsible for the management ofassigned oceanographic, mapping,charting, geodetic and meteorologicalactivities and efforts and shall providetechnical guidance in such mattersthroughout the Department of theNavy.

[45 FR 80278, Dec. 4, 1980]

§ 700.317 Commander, Naval SecurityGroup Command.

The Commander, Naval SecurityGroup Command, under the commandof the Chief of Naval Operations, shallbe responsible for the provision, oper-ation, and maintenance of an adequateNaval Security Group and shall per-form cryptologic and related functions.

§ 700.318 Chief of Naval Education andTraining.

The Chief of Naval Education andTraining, under the command of theChief of Naval Operations, shall be re-sponsible for the training of Navy per-sonnel, other than training assigned bythe Chief of Naval Operations to otherauthorities, and for the training of Ma-rine Corps aviation personnel.

[41 FR 18074, Apr. 30, 1976]

§ 700.319 Chief of Naval Reserve.

The Chief of Naval Reserve, underthe command of the Chief of Naval Op-erations, shall be responsible for theadministration of Naval Reserve pro-grams, the management of Naval Re-serve resources, and for logistic sup-port of the Marine Corps air program.

§ 700.320 Commandants of Naval Dis-tricts.

(a) The Commandants of Naval Dis-tricts, under the command of the Chiefof Naval Operations shall represent theSecretary of the Navy and the Chief ofNaval Operations in such matters asmay be assigned; to exercise area co-ordination authority and supervise anddirect the effective execution of as-signed area coordination responsibil-ities over all naval shore activities andpersonnel in the Naval Service in thenaval district; to exercise command ofassigned naval shore activities; to co-ordinate fleet support matters as as-signed by Fleet Commanders in Chief;and to coordinate public affairs mat-ters throughout the naval district andto perform such other functions as maybe directed by the Chief of Naval Oper-ations.

[41 FR 18074, Apr. 30, 1976, and 45 FR 80278,Dec. 4, 1980]


20

32 CFR Ch. VI (7–1–98 Edition)§ 700.321

§ 700.321 President, Board of Inspec-tion and Survey.

The President of the Board of Inspec-tion and Survey, assisted by such otherofficers and such permanent andsemipermanent sub-boards as may bedesignated by the Secretary of theNavy, shall:

(a) Conduct acceptance trials and in-spections of all ships and service craftprior to acceptance for naval service.

(b) Conduct acceptance trials and in-spections on one or more aircraft ofeach type or model prior to final ac-ceptance for naval service.

(c) Examine at least once every threeyears, if practicable, each naval ship todetermine its material condition and,if found unfit for continued service, re-port to higher authority.

(d) Perform such other inspectionsand trials of naval ships, service craft,and aircraft as may be directed by theChief of Naval Operations.

Subpart D—The Commandant ofthe Marine Corps

§ 700.401 Senior officer of the MarineCorps.

(a) The Commandant of the MarineCorps is the senior officer of the UnitedStates Marine Corps.

(b) The Commandant of the MarineCorps is the Marine Corps member ofthe Joint Chiefs of Staff and is respon-sible, in coordination with the Chief ofNaval Operations, for keeping the Sec-retary of the Navy fully informed onmatters considered or acted upon bythe Joint Chiefs of Staff. In this capac-ity, he is responsible, under the Presi-dent and the Secretary of Defense, forduties external to the Department ofthe Navy, as prescribed by law.


§ 700.402 Succession to duties.The Assistant Commandant of the

Marine Corps, and then the officers ofthe Marine Corps, not restricted in theperformance of duty, on duty at theheadquarters of the Marine Corps inthe order of their seniority, shall, un-less otherwise directed by the Presi-dent, perform the duties of the Com-mandant of the Marine Corps during

his absence, disability, or in the eventof a temporary vacancy in that office.

§ 700.403 Authority and responsibil-ities.

(a) The Commandant of the MarineCorps, under the direction of the Sec-retary of the Navy, shall command theUnited States Marine Corps, whichshall include Headquarters, UnitedStates Marine Corps; the OperatingForces of the Marine Corps; MarineCorps Supporting Establishments andthe Marine Corps Reserve.

(b) The Commandant of the MarineCorps advises the Secretary of theNavy on matters pertaining to the Ma-rine Corps. He is directly responsible tothe Secretary for the administration,discipline, internal organization, train-ing, requirements, efficiency, and read-iness of the Marine Corps; for the oper-ation of the Marine Corps material sup-port system; and the total performanceof the Marine Corps. He shall commandsuch shore activities as may be as-signed by the Secretary, and is respon-sible to the Secretary for the utiliza-tion of resources by and the operatingefficiency of all activities under hiscommand. When performing thesefunctions, the Commandant is not apart of the command structure of theChief of Naval Operations. There must,however, be a close cooperative rela-tionship between the Chief of Naval Op-erations, as the senior military officerof the Department of the Navy, and theCommandant, as the one having com-mand responsibility over the MarineCorps.

(c) The Commandant of the MarineCorps is directly responsible to theChief of Naval Operations for the orga-nization, training, and readiness ofthose elements of the Operating Forcesof the Marine Corps assigned to the Op-erating Forces of the Navy. Such Ma-rine Corps forces, when so assigned, aresubject to the command exercised bythe Chief of Naval Operations over theOperating Forces of the Navy. Like-wise, members or organizations of theNavy, when assigned to the MarineCorps, are subject to the command ofthe Commandant of the Marine Corps.


21


§ 700.404 Specific responsibilities.

In addition, the Commandant of theMarine Corps has the following specificresponsibilities:

(a) To plan for and determine thesupport needs of the Marine Corps forequipment, weapons or weapons sys-tems, materials, supplies, facilities,maintenance, and supporting services.This responsibility includes the deter-mination of Marine Corps characteris-tics of equipment and material to beprocured or developed, and the trainingrequired to prepare Marine Corps per-sonnel for combat. It also includes theoperation of the Marine Corps MaterialSupport System.

(b) To budget for the Marine Corps,except as may be otherwise directed bythe Secretary of the Navy.

(c) To develop, in coordination withother military services, the doctrines,tactics, and equipment employed bylanding forces in amphibious oper-ations.

(d) To formulate Marine Corps strate-gic plans and policies and participatein the formulation of joint and com-bined strategic plans and policies andrelated command relationships.

(e) To plan for and determine thepresent and future needs, both quan-titative and qualitative, for personnel,including reserve personnel and civil-ian personnel, of the United States Ma-rine Corps. This includes responsibilityfor leadership in maintaining a highdegree of competence among MarineCorps officers and enlisted personneland Marine Corps civilian personnel innecessary fields of specializationthrough education, training, and equalopportunities for personal advance-ment; and for leadership in maintain-ing the morale and motivation of Ma-rine Corps personnel and the prestigeof a career in the Marine Corps.

(f) To plan for and determine devel-opment requirements of the MarineCorps. To provide for the development,test, and evaluation of new weapon sys-tems and equipment, to ensure thatsuch are adequate and responsive toimmediate and long-range objectivesand are within available resources. Toprovide direct staff assistance to theAssistant Secretary of the Navy (Re-search and Development) in the direc-

tion, review, and appraisal of the over-all USMC RDT&E Program.

(g) To plan for and determine theneeds for health care for personnel ofthe Marine Corps and their dependents.

§ 700.405 Composition of the MarineCorps.

(a) The major components of the reg-ular establishment of the Marine Corpsconsist principally of the Headquartersof the Marine Corps, the OperatingForces, and the Supporting Establish-ment. In addition, there is another ele-ment of the Marine Corps, the MarineCorps Reserve.

(b) The Operating Forces of the Ma-rine Corps include the Fleet MarineForces, detachments afloat, and secu-rity forces. There are two Fleet MarineForces: Fleet Marine Force, Atlantic,and Fleet Marine Force, Pacific. TheseFleet Marine Forces are assigned to,and are integral to, the U.S. fleets aspart of the Operating Forces of theNavy.

(c) The Supporting Establishment in-cludes those Marine Corps facilities,such as Marine Corps schools, recruitdepots, supply installations, bases, bar-racks, air stations and other mis-cellaneous small activities which train,maintain, and support the OperatingForces of the Marine Corps.

(d) The Marine Corps Reserve has asits mission to provide a trained force ofqualified officers and enlisted person-nel to be available for active duty inthe U.S. Marine Corps in time of war ornational emergency.

§ 700.406 Relationships between theCommandant of the Marine Corpsand the Chief of Naval Material.

Formal operating relationships withrespect to the efforts of determiningneeds and providing support betweenthe Commandant of the Marine Corpsand his organization and the Chief ofNaval Material and his organizationshall be governed by the following prin-ciples:

(a) The Commandant of the MarineCorps shall express to the Chief ofNaval Material those Marine Corps ma-terial needs which are to be providedby the Naval Material Command. Withrespect to the development of materialitems, the Commandant of the Marine


22

32 CFR Ch. VI (7–1–98 Edition)§ 700.407

Corps shall specify the military per-formance required to meet MarineCorps needs.

(b) The Chief of Naval Material shalladvise the Commandant of the MarineCorps as to the economic and techno-logical feasibility of meeting suchneeds, and shall keep the Commandantinformed of new capabilities to meetthe needs of the Marine Corps whichmay or may not have been previouslyexpressed. With respect to the develop-ment of material items, the Chief ofNaval Material shall determine thetechnical effort necessary to satisfythe needs of the Marine Corps.

(c) The Commandant of the MarineCorps shall select the work to be doneto satisfy the needs of the MarineCorps, based upon feasibility data andcurrent estimates of the worth of aparticular need in relation to other de-sirable needs, including, where nec-essary, the curtailment or cancellationof work already in progress in favor ofwork which offers greater promise orgreater military worth.

(d) The Chief of Naval Material shallexercise appropriate supervision overaccomplishment of the work selected,and shall insure that resources avail-able to him are efficiently utilized inmeeting Marine Corps needs.

(e) Work being accomplished shall bereviewed concurrently by the Com-mandant of the Marine Corps from theviewpoint of readiness and militaryworth, and by the Chief of Naval Mate-rial from the viewpoint of progress andthe efficient utilization of resourcesavailable to him.

§ 700.407 Serving with the Army byorder of the President.

(a) When Marine Corps units are, byorder of the President, detached forservice with the Army, the Com-mandant of the Marine Corps is, for thetime that the Marine Corps units arethus detached and for the purposes ofadministering the affairs of such units,responsible to the Secretary of theArmy. The Commandant of the MarineCorps shall retain such control and ju-risdiction over said detached forces aswill enable him to make the necessarytransfers of officers and men from andto the commands, and to exercise gen-eral supervision over all expenditures

and supplies needed for the support ofthe Marine Corps forces so detached.He shall be responsible to the Sec-retary of the Army for the general effi-ciency and discipline of such units ofthe Marine Corps as are detached forservice with the Army.

(b) Official correspondence which re-lates exclusively to the routine busi-ness of the Marine Corps and does notinvolve questions of administrative re-sponsibility under the supervision ofthe commanding officer of the com-bined forces, and which is not a matterof a military nature pertaining to anindividual requiring the action of saidcommanding officer, shall be forwardeddirect between the Headquarters of theMarine Corps and the senior Marine of-ficer serving with the detached forces.

(c) All official correspondence regard-ing the personnel of the Marine Corpsunits on duty with the Army shall beaddressed to the proper representativeof the Marine Corps and forwarded viathe Adjutant General of the Army.

Subpart E—The United StatesCoast Guard (When Operat-ing As a Service of the Navy)

§ 700.501 Relationship and operationas a service in the Navy.

(a) Upon declaration of war or whenthe President directs, the Coast Guardshall operate as a service in the Navy,and shall be subject to the orders of theSecretary of the Navy. While so operat-ing as a service in the Navy and to theextent practicable Coast Guard oper-ations shall be integrated and uniformwith Navy operations.

(b) Whenever the Coast Guard oper-ates as a service in the Navy:

(1) Applicable appropriations of theCoast Guard to cover expenses shall beavailable for transfer to the Depart-ment of the Navy and supplemented, asrequired, from applicable appropria-tions of the Department of the Navy.

(2) Personnel of the Coast Guardshall be eligible to receive gratuities,medals, and other insignia of honor onthe same basis as personnel in thenaval service or serving in any capac-ity with the Navy.


23


§ 700.502 Commandant of the CoastGuard.

(a) The Commandant of the CoastGuard is the senior officer of theUnited States Coast Guard.

(b) When reporting in accordancewith section 3, title 14 U.S.C., to theSecretary of the Navy, the Com-mandant of the Coast Guard will fur-ther report to the Chief of Naval Oper-ations for military functions. The Chiefof Naval Operations shall represent theCoast Guard as a member of the JointChiefs of Staff.

§ 700.503 Duties and responsibilities.In exercising command over the

Coast Guard while operating as a serv-ice of the Navy, the Commandant shall:

(a) Organize, train, prepare and main-tain the readiness of the Coast Guardto function as a specialized service inthe Navy for the performance of mili-tary missions, as directed.

(b) Plan for and determine thepresent and future needs of the CoastGuard, both quantitative and quali-tative, for personnel, including reservepersonnel.

(c) Budget for the Coast Guard, ex-cept as may be otherwise directed bythe Secretary of the Navy.

(d) Plan for and determine the sup-port needs of the Coast Guard forequipment, materials, weapons orweapons systems, supplies, facilities,maintenance, and supporting services.

(e) Exercise essential military ad-ministration of the Coast Guard. Thisincludes, but is not limited to, suchmatters as security, discipline, intel-ligence, communications, personnelrecords and accounting conforming, aspracticable, to Navy procedures.

(f) Enforce or assist in enforcing Fed-eral laws on the high seas and on wa-ters subject to the jurisdiction of theUnited States.

(g) Administer, promulgate and en-force regulations for the promotion ofsafety of life and property on the highseas and on waters subject to the juris-diction of the United States. This ap-plies to those matters not specificallydelegated by law to some other execu-tive department.

(h) Develop, establish, maintain andoperate, with due regard to the require-ments of national defense, aids to mar-

itime navigation, ice breaking facili-ties, and rescue facilities for the pro-motion of safety on and over the highseas and waters subject to the jurisdic-tion of the United States.

(i) Engage in oceanographic researchon the high seas and in waters subjectto the jurisdiction of the United Statesin coordination with the Office of theOceanographer of the Navy.

(j) Continue in effect under the Sec-retary of the Navy those other func-tions, powers and duties vested in himby appropriate orders and regulationsof the Secretary of Transportation onthe day prior to the effective date oftransfer of the Coast Guard to the De-partment of the Navy until specificallymodified or terminated by the Sec-retary of the Navy.

Subpart F—Commanders in Chiefand Other Commanders

§ 700.601 Titles of commanders.(a) The commander of a principal or-

ganization of the Operating Forces ofthe Navy, as determined by the Chief ofNaval Operations, or the officer whohas succeeded to such command as pro-vided elsewhere in these regulations,shall have the title ‘‘Commander inChief.’’ The name of the organizationunder his command shall be added toform his official title.

(b) The commander of each other or-ganization of units of the OperatingForces of the Navy, or organization ofunits of shore activities, shall have thetitle ‘‘Commander,’’ ‘‘Commandant,’’‘‘Commanding General,’’ or other ap-propriate title. The name of the organi-zation under his command shall beadded to form his official title.

§ 700.602 Responsibility and authorityof a commander.

(a) A commander shall be responsiblefor the satisfactory accomplishment ofthe mission and duties assigned to hiscommand. His authority shall be com-mensurate with his responsibilities.Normally, he shall exercise authoritythrough his immediate subordinatecommanders; but he may communicatedirectly with any of his subordinates.

(b) A commander shall insure thatsubordinate commands are fully awareof the importance of strong, dynamic


24

32 CFR Ch. VI (7–1–98 Edition)§ 700.603

leadership and its relationship to theoverall efficiency and readiness ofnaval forces. A commander shall exer-cise positive leadership and activelydevelop the highest qualities of leader-ship in persons with positions of au-thority and responsibility throughouthis command.

(c) Subject to orders of higher au-thority, a commander shall issue suchregulations and instructions as may benecessary for the proper administra-tion and operation of his command.

(d) A commander shall hold the samerelationship to his flagship, or to ashore activity of his command in whichhis headquarters may be located, in re-gard to its internal administration anddiscipline, as to any other ship or shoreactivity of his command.

§ 700.603 To announce assumption ofcommand.

Upon assuming command, a com-mander shall so advise appropriate su-periors, and the units of his command.When appropriate to his command heshall also advise the senior command-ers of other United States armed serv-ices and officials of other Federal agen-cies and foreign governments locatedwithin the area encompassed by hiscommand, concerning his assumptionof command.

§ 700.604 Readiness.A commander shall take all prac-

ticable steps to maintain his commandin a state of readiness to perform itsmission. In conformity with the ordersand policies of higher authority, heshall:

(a) Organize the forces and resourcesunder his command and assign dutiesto his principal subordinate command-ers.

(b) Prepare plans for the employmentof his forces to meet existing and fore-seeable situations.

(c) Collaborate with the commandersof other United States armed servicesand with appropriate officials of otherFederal agencies and foreign govern-ments located within the area encom-passed by his command.

(d) Maintain effective intelligenceand keep himself informed of the polit-ical and military aspects of the na-tional and international situation.

(e) Make, or cause to be made, suchinspections as necessary to ensure thereadiness, effectiveness, and efficiencyof the components of his command.

§ 700.605 Observance of internationallaw.

At all times a commander shall ob-serve, and require his command to ob-serve, the principles of internationallaw. Where necessary to fulfillment ofthis responsibility, a departure fromother provisions of Navy Regulations isauthorized.

Subpart G—The CommandingOfficer

§ 700.701 Applicability.In addition to commanding officers,

the provisions of this chapter shallapply, where pertinent, to aircraftcommanders, officers in charge (includ-ing warrant officers and petty officerswhen so detailed) and those personsstanding the command duty.

§ 700.702 Responsibility.(a) The responsibility of the com-

manding officer for his command is ab-solute, except when, and to the extent,relieved therefrom by competent au-thority, or as provided otherwise inthese regulations. The authority of thecommanding officer is commensuratewith his responsibility. While he may,at his discretion, and when not con-trary to law or regulations, delegateauthority to his subordinates for theexecution of details, such delegation ofauthority shall in no way relieve thecommanding officer of his continuedresponsibility for the safety, well-being, and efficiency of his entire com-mand.

(b) A commanding officer who de-parts from his orders or instructions,or takes official action which is not inaccordance with such orders or instruc-tions, does so upon his own responsibil-ity and shall report immediately thecircumstances to the officer fromwhom the prior orders or instructionswere received.

(c) The commanding officer shall beresponsible for economy within hiscommand. To this end he shall requirefrom his subordinates a rigid compli-ance with the regulations governing


25


the receipt, accounting, and expendi-ture of public money and materials,and the implementation of improvedmanagement techniques and proce-dures.

(d) The commanding officer and hissubordinates shall exercise leadershipthrough personal example, moral re-sponsibility, and judicious attention tothe welfare of persons under their con-trol or supervision. Such leadershipshall be exercised in order to achieve apositive, dominant influence on theperformance of persons in the Depart-ment of the Navy.

§ 700.703 [Reserved]

§ 700.704 Organization of commands.All commands and other activities of

the Department of the Navy shall beorganized and administered in accord-ance with law, the Navy Regulations,and the orders of competent authority,and all orders and instructions of thecommanding officer shall be in accord-ance therewith.

§§ 700.705–700.708 [Reserved]

§ 700.709 Unauthorized persons onboard.

The commanding officer shall satisfyhimself that there is no unauthorizedperson on board before proceeding tosea or commencing a flight.

§ 700.710 Control of passengers.(a) Control of passage in and pro-

tracted visits to aircraft and ships ofthe Navy by all persons, within orwithout the Department of the Navy,shall be exercised by the Chief of NavalOperations.

(b) Nothing in this article shall be in-terpreted as prohibiting the senior offi-cer present from authorizing the pas-sage in ships and aircraft of the Navyby such persons as he judges necessaryin the public interest or in the interestof humanity. The senior officer presentshall report the circumstances to theChief of Naval Operations when hegives such authorization.

§ 700.711 Authority over passengers.Except as otherwise provided in these

regulations or in orders from com-petent authority, all passengers in a

ship or aircraft of the naval service aresubject to the authority of the com-manding officer and shall conform tothe internal regulations and routine ofthe ship or aircraft. The commandingofficer of such ship or aircraft shalltake no disciplinary action against apassenger not in the naval service,other than that authorized by law; buthe may, when he deems such action tobe necessary for the safety of the shipor aircraft or of any persons embarked,subject a passenger not in the navalservice to such restraint as the cir-cumstances require until such time asdelivery to the proper authorities ispossible. A report of the matter shallbe made to an appropriate superior ofthe passenger.


§ 700.713 Person found under incrimi-nating circumstances.

(a) The commanding officer shallkeep under restraint or surveillance, asnecessary, any person not in the armedservices of the United States who isfound under incriminating or irregularcircumstances within the command,and shall immediately initiate an in-vestigation.

(b) Should an investigation indicatethat such person is not a fugitive fromjustice or has not committed or at-tempted to commit an offense, he shallbe released at the earliest opportunity,except:

(1) If not a citizen of the UnitedStates, and the place of release isunder the jurisdiction of the UnitedStates, the nearest federal immigra-tion authorities shall be notified as tothe time and place of release suffi-ciently in advance to permit them totake such steps as they deem appro-priate.

(2) Such persons shall not be releasedin territory not under the jurisdictionof the United States without first ob-taining the consent of the proper for-eign authorities, except where the in-vestigation shows that he entered thecommand from territory of the foreignstate, or that he is a citizen or subjectof that state.


26

32 CFR Ch. VI (7–1–98 Edition)§ 700.714

(c) If the investigation indicates thatsuch person has committed or at-tempted to commit an offense punish-able under the authority of the com-manding officer, the latter shall takesuch action as he deems necessary.

(d) If the investigation indicates thatsuch a person is a fugitive from justice,or has committed or attempted to com-mit an offense which requires actionsbeyond the authority of the command-ing officer, he shall, at the first oppor-tunity, deliver such person, with fulldescriptive data, fingerprints, and astatement of the circumstances to theproper civil authorities.

(e) A report shall be made promptlyto the Secretary of the Navy, in allcases under paragraph 4 of this article,and in other cases where appropriate.

[39 FR 7135, Feb. 25, 1974, as amended at 41FR 21775, May 28, 1976]

§ 700.714 Rules for visits.(a) Commanding officers are respon-

sible for the control of visitors to theircommands and shall comply with therelevant provisions of the Departmentof the Navy Security Manual for Clas-sified Information and other pertinentdirectives.

(b) Commanding officers shall takesuch measures and impose restrictionson visitors as necessary to safeguardthe classified material under their ju-risdiction. Arrangements for generalvisiting shall always be based on theassumption that foreign agents will beamong the visitors.

(c) Commanding officers and othersofficially concerned shall exercise rea-sonable care to safeguard the personsand property of visitors to naval activi-ties as well as taking those necessaryprecautions to safeguard the personsand property within his command.

§ 700.715 Dealers, tradesmen, andagents.

(a) In general, dealers or tradesmenor their agents shall not be admittedwithin a command, except as author-ized by the commanding officer:

(1) To conduct public business.(2) To transact specific private busi-

ness with individuals at the request ofthe latter.

(3) To furnish services and supplieswhich are necessary and are not other-

wise, or are insufficiently, available tothe personnel of the command.

(b) Personal commercial solicitationand the conduct of commercial trans-actions are governed by policies of De-partment of Defense.

§ 700.716 Marriages on board.

The commanding officer shall notperform a marriage ceremony on boardhis ship or aircraft. He shall not permita marriage ceremony to be performedon board when the ship or aircraft isoutside the territory of the UnitedStates, except:

(a) In accordance with local laws andthe laws of the state, territory, or dis-trict in which the parties are domi-ciled, and

(b) In the presence of a diplomatic orconsular official of the United States,who has consented to issue the certifi-cates and make the returns required bythe consular regulations.

§ 700.717 Postal matters.

Commanding officers shall ensurethat mail and postal funds are adminis-tered in accordance with instructionsissued by the Postmaster General andapproved for the naval service by theChief of Naval Operations, and instruc-tions issued by the Chief of Naval Oper-ations or the Chief of Naval Personnelor the Commandant of the MarineCorps as appropriate; and that postalclerks or other persons authorized tohandle mail perform their dutiesstrictly in accordance with those in-structions.

§§ 700.718–700.719 [Reserved]

§ 700.720 Deaths.

The commanding officer, in the eventof death of any person within his com-mand, shall ensure that the cause ofdeath and the circumstances underwhich death occurred are established,and the appropriate casualty report issubmitted.

§ 700.721 The American National RedCross.

(a) Pursuant to the request of theSecretary of the Navy and subject tosuch instructions as he may issue, the


27


American National Red Cross is au-thorized to conduct a program of wel-fare, including social, financial, andmedical and dental aid, for naval per-sonnel; to assist in matters pertainingto prisoners of war; and to provide suchother services as are appropriate func-tions for the Red Cross. The AmericanNational Red Cross is the only volun-teer society authorized by the Govern-ment to render medical and dental aidto the armed forces of the UnitedStates. Other organizations desiring torender medical and dental aid may doso only through the Red Cross.

(b) Requests for Red Cross servicesshall be made to the Chief of NavalPersonnel or the Commandant of theMarine Corps or, in the case of medicalservices, to the Chief, Bureau of Medi-cine and Surgery.

(c) Activities and personnel of theAmerican National Red Cross in areassubject to naval jurisdiction shall con-form to such administrative regula-tions as may be prescribed by appro-priate naval authority.

(d) Red Cross personnel shall be con-sidered to have the status of commis-sioned officers, subject to such restric-tions as may be imposed by the Chief ofNaval Personnel or the Commandant ofthe Marine Corps.

§§ 700.722–700.723 [Reserved]

§ 700.724 Maintenance of Logs.

(a) A deck log and an engineering logshall be maintained by each ship incommission, and by such other shipsand craft as may be designated by theChief of Naval Operations.

(b) A compass record shall be main-tained as an adjunct to the deck log.An engineer’s bell book shall be main-tained as an adjunct to the engineeringlog.

(c) The Chief of Naval Operationsshall prescribe regulations governingthe contents and preparation of thedeck and engineering logs and adjunctrecords.

[41 FR 18074, Apr. 30, 1976]

§ 700.725 Status of Logs.

The deck log, the engineering log,the compass record, and the engineer’s

bell book shall each constitute an offi-cial record of the command.

[41 FR 18074, Apr. 30, 1976]

§ 700.726 Records.The commanding officer shall require

that records relative to personnel, ma-terial, and operations as required bycurrent instructions are maintainedproperly by those responsible therefor.

§§ 700.727–700.728 [Reserved]

§ 700.729 Delivery of personnel to civilauthorities and service of subpoenaor other process.

(a) Commanding officers or other per-sons in authority shall not deliver anyperson in the naval service to civil au-thorities except as provided by theManual of the Judge Advocate General.

(b) Commanding officers are author-ized to permit the service of subpoenaon other process as provided by theManual of the Judge Advocate General.

§§ 700.730–700.732 [Reserved]

§ 700.733 Responsibility of a master ofan in-service ship of the MilitarySealift Command.

In an in-service ship of the MilitarySealift Command, the master is re-sponsible for the safety of his ship andall persons on board. He is responsiblefor the safe navigation and technicaloperation of his ship and has para-mount authority over all persons onboard. The master is responsible forthe preparation of the abandoned shipbill and has exclusive authority toorder the ship abandoned. He has fullauthority to enforce appropriate lawsof the United States and all applicableorders and regulations of the Navy,Military Sealift Command, and the Of-fice of Personnel Management.

[39 FR 7135, Feb. 25, 1974, as amended at 47FR 28370, June 30, 1982]

§ 700.734 Relations with merchant sea-men.

When in foreign waters, the com-manding officer, with the approval ofthe senior officer present, may receiveon board as supernumeraries for ra-tions and passage:

(a) Distressed seamen of the UnitedStates for passage to the United


28

32 CFR Ch. VI (7–1–98 Edition)§ 700.735

States, provided they bind themselvesto be amenable in all respects to NavyRegulations.

(b) As prisoners, seamen from mer-chant vessels of the United States, pro-vided that the witnesses necessary tosubstantiate the charges against themare received, or adequate means adopt-ed to ensure the presence of such wit-nesses on arrival of the prisoners at theplace where they are to be delivered tothe civil authorities.


§ 700.736 Physical security.(a) The commanding officer shall

take action to protect and maintainthe security of the command from thedangers of attack, sabotage or otheractions of subversive or militantgroups or of any person with intent todo harm.

(b) The commanding officer shalltake action to protect and maintainthe security of the command againstdangers from fire, windstorms, or otheracts of nature.

§ 700.737 Effectiveness for service.The commanding officer shall:(a) Exert every effort to maintain his

command in a state of maximum effec-tiveness for war or other service con-sistent with the degree of readiness asmay be prescribed by proper authority.Effectiveness for service is directly re-lated to state of personnel and mate-rial readiness.

(b) Make himself aware of theprogress of any repairs, the status ofspares, repair parts and other compo-nents, personnel readiness and otherfactors or conditions that could lessenthe effectiveness of his command.When the effectiveness is lessened ap-preciably it shall be reported to appro-priate superiors.

§§ 700.738–700.739 [Reserved]

§ 700.740 Search by foreign authori-ties.

(a) The commanding officer shall notpermit a ship under his command to besearched on any pretense whatsoeverby any person representing a foreignstate, nor permit any of the personnelwithin the confines of his command to

be removed from the command by suchperson, so long as he has the capacityto repel such act. If force should be ex-erted to compel submission, he is to re-sist that force to the utmost of hispower.

(b) Except as may be provided byinternational agreement, the com-manding officer of a shore activityshall not permit his command to besearched by any person representing aforeign state, nor permit any of thepersonnel within the confines of hiscommand to be removed from the com-mand by such person, so long as he hasthe power to resist.

§§ 700.741–700.746 [Reserved]

§ 700.747 Status of boats.

(a) Boats shall be regarded in allmatters concerning the rights, privi-leges, and comity of nations as part ofthe ship or aircraft to which they be-long.

(b) In ports where war, insurrectionor armed conflict exists or threatens,the commanding officer shall:

(1) Require that boats away from theship or aircraft have some appropriateand competent person in charge.

(2) See that steps are taken to maketheir nationality evident at all times.


§ 700.749 Work, facilities, supplies, orservices for other Government de-partments, State or local govern-ments, foreign governments, privateparties and morale, welfare, andrecreational activities.

(a) Work may be done for or facili-ties, supplies, or services furnished todepartments and agencies of the Fed-eral and State governments, local gov-ernments, foreign governments, privateparties, and morale, welfare, and rec-reational activities with the approvalof a commanding officer provided:

(1) The cost does not exceed limita-tions the Secretary of the Navy mayapprove or specify; and,

(2) In the case of private parties, it isin the interest of the government to doso and there is no issue of competitionwith private industry; and,

(3) In the case of foreign governmentsa disqualification of a government has


29


not been issued for the benefits of thisarticle.

(b) Work shall not be started nor fa-cilities, supplies, or services furnished,morale, welfare, and recreational ac-tivities not classified as instrumental-ities of the United States, or state orlocal governments or private partiesuntil funds to cover the estimated costhave been deposited with the com-manding officer or unless otherwiseprovided by law.

(c) Work shall not be started nor fa-cilities, supplies, or services furnishedother Federal Government depart-ments and agencies, or expensescharged to non-appropriated funds ofmorale, welfare, and recreational ac-tivities classified as instrumentalitiesof the United States until reimbursablefunding arrangements have been made.

(d) Work, facilities, supplies, or serv-ices furnished non-appropriated fundactivities classified as instrumental-ities of the United States in the NavyComptroller Manual shall be funded inaccordance with regulations of theComptroller of the Navy.

(e) Supplies or services may be fur-nished to naval vessels and militaryaircraft of friendly foreign govern-ments (unless otherwise provided bylaw or international treaty or agree-ment):

(1) On a reimbursable basis withoutan advancement of funds, when in thebest interest of the United States;

(i) Routine port services (includingpilotage, tugs, garbage removal,linehandling, and utilities) in terri-torial waters or waters under UnitedStates control,

(ii) Routine airport services (includ-ing air traffic control, parking, servic-ing, use of runways),

(iii) Miscellaneous supplies (includ-ing fuel, provisions, spare parts, andgeneral stores) but not ammunition.Supplies are subject to approval of thecognizant fleet or force commanderswhen provided overseas,

(iv) With approval of Chief of NavalOperations in each instance, overhauls,repairs, and alterations together withnecessary equipment and its installa-tion required in connection therewith,to vessels and military aircraft.

(2) Routine port and airport servicesmay be furnished at no cost to the for-

eign government concerned where suchservices are provided by persons of thenaval service without direct cost to theDepartment of the Navy.

(f) In cases of emergency involvingpossible loss of life or valuable prop-erty, work may be started or facilitiesfurnished prior to authorization, orprovision for payment, but in all suchcases a detailed report of the facts andcircumstances shall be made promptlyto the Secretary of the Navy or the ap-propriate authority.

(g) Charges and accounting for anywork, supplies, or services shall be asprescribed in the Navy ComptrollerManual.

§§ 700.750–700.751 [Reserved]

§ 700.752 Responsibility for safety ofships and craft at a naval station orshipyard.

(a) The commanding officer of anaval station or shipyard shall be re-sponsible for the care and safety of allships and craft at such station or ship-yard not under a commanding officeror assigned to another authority, andfor any damage that may be done by orto them. In addition, the commandingofficer of a naval station or shipyardshall be responsible for the safe execu-tion of work performed by that activ-ity upon any ship located at the activ-ity.

(b) It shall be the responsibility ofthe commanding officer of a ship incommission which is undergoing over-haul, or which is otherwise immo-bilized at a naval station or shipyard,to request such services as are nec-essary to ensure the safety of the ship.The commanding officer of the navalstation or shipyard shall be responsiblefor providing requested services in atimely and adequate manner.

(c) When a ship or craft not under herown power is being moved by directionof the commanding officer of a navalstation or shipyard, that officer shallbe responsible for any damage thatmay result therefrom; the pilot orother person designated for the purposeshall be in direct charge of such move-ment, and all persons on board shallcooperate with and assist the pilot asnecessary. Responsibility for such ac-tions in a private shipyard will be as-signed by contract to the contractor.


30

32 CFR Ch. VI (7–1–98 Edition)§ 700.753

(d) When a ship operating under herown power is being drydocked, thecommanding officer shall be fully re-sponsible for the safety of his shipuntil the extremity of the ship first toenter the drydock reaches the dock silland the ship is pointed fair for enteringthe drydock. The docking officer shallthen take charge and complete thedocking, remaining in charge until theship has been properly landed, bilgeblocks hauled, and the dock pumpeddown. In undocking, the docking offi-cer shall assume charge when floodingthe dock preparatory to undocking isstarted, and shall remain in chargeuntil the extremity of the ship last toleave the dock clears the sill, and theship is pointed fair for leaving the dry-dock, when the ship’s commanding offi-cer shall assume responsibility for thesafety and control of the ship.

(e) When a naval ship is to bedrydocked in a private shipyard undera contract being administered by a su-pervisor of shipbuilding, the respon-sibilities of the commanding officer arethe same as in the case of drydockingin a naval shipyard. The responsibil-ities for the safety of the actualdrydocking, normally assigned to thecommanding officer of a naval shipyardthrough his docking officer, will be as-signed by contract to the contractor.The supervisor of shipbuilding is re-sponsible, however, for ensuring thatthe contractor’s facilities, methods, op-erations, and qualifications meet thestandards of efficiency and safety pre-scribed by Navy directives.

(f) If the ship is elsewhere than at anaval station or shipyard, the relation-ship between the Commanding officerand the supervisor of shipbuilding, orother appropriate official, shall be thesame as that between the commandingofficer and the commanding officer of anaval station or shipyard as specifiedin this article.


§ 700.753 Ships and craft in drydock.(a) The commanding officer of a ship

in drydock shall be responsible for ef-fecting adequate closure, during suchperiods as they will be unattended, ofall openings in the ship’s bottom uponwhich no work is being undertaken by

the docking activity. The commandingofficer of the docking activity shall beresponsible for the closing, at the endof working hours, of all valves andother openings in the ship’s bottomupon which work is being undertakenby the docking activity, when suchclosing is practicable.

(b) Prior to undocking, the com-manding officer of a ship shall reportto the docking officer any materialchanges in the amount and location ofweights on board which have beenmade by the ship’s force while in dock,and shall ensure, and so report, that allsea valves and other openings in theship’s bottom are properly closed. Thelevel of water in the dock shall not bepermitted to rise above the keel blocksprior to receipt of this report. Theabove valves and openings shall betended during flooding of the dock.

(c) When a ship or craft, not in com-mission, is in a naval drydock, the pro-visions of this article shall apply, ex-cept that the commanding officer ofthe docking activity or his representa-tive shall act in the capacity of thecommanding officer.

(d) When a naval ship or craft is indrydock in a private shipyard, respon-sibility for actions normally assignedby the commanding officer of the dock-ing activity will be assigned by con-tract to the contractor.


§ 700.754 Pilotage.(a) The commanding officer shall:(1) Pilot the ship under all ordinary

circumstances, but he may employ pi-lots whenever in his judgment such em-ployment is prudent.

(2) Not call a pilot on board until theship is ready to proceed.

(3) Not retain a pilot on board afterthe ship has reached her destination orpoint where pilot is no longer required.

(4) Give preference to licensed pilots.(5) Pay pilots no more than the local

rates.(b) A pilot is merely an adviser to the

commanding officer. His presence onboard shall not relieve the command-ing officer or any of his subordinatesfrom their responsibility for the properperformance of the duties with whichthey may be charged concerning the


31


navigation and handling of the ship.For an exception to the provisions ofthis paragraph, see ‘‘Rules and Regula-tions Covering Navigation of the Pan-ama Canal and Adjacent Waters,’’which directs that the pilot assigned toa vessel in those waters shall have con-trol of the navigation and movement ofthe vessel. Also see the provisions ofthese regulations concerning the navi-gation of ships at a naval shipyard orstation, or in entering or leaving dry-dock.

§ 700.755 Safe navigation and regula-tions governing operation of shipsand aircraft.

(a) The commanding officer is re-sponsible for the safe navigation of hisship or aircraft except as prescribedotherwise in these regulations for shipsat a naval shipyard or station in dry-dock, or in the Panama Canal. In timeof war or armed conflict, or in exer-cises simulating war or armed conflict,competent authority may modify theuse of lights or other safeguards re-quired by law to prevent collisions atsea, in port, or in the air. In exercises,such modifications will be employedonly when ships or aircraft clearly willnot be hazarded.

(b) Professional standards and regu-lations governing ship handling, safenavigation, safe anchoring and relatedoperational matters shall be promul-gated by the Chief of Naval Operations.

(c) Professional standards and regula-tions governing the operation of navalaircraft and related matters shall bepromulgated by the Chief of Naval Op-erations or the Commandant of the Ma-rine Corps as appropriate.

§ 700.756 Duties of the prospectivecommanding officer of a ship.

(a) Except as may be prescribed bythe Chief of Naval Operations, the pro-spective commanding officer of a shipnot yet commissioned shall have noindependent authority over the prepa-ration of the ship for service by virtueof his assignment to such duty, untilthe ship is commissioned and trans-ferred to his command. As the prospec-tive commanding officer, he shall:

(1) Procure from the commander ofthe naval shipyard or the supervisor ofshipbuilding the general arrangement

plans of the ship, and all the pertinentinformation relative to the generalcondition of the ship and the workbeing undertaken on the hull, machin-ery, and equipment, upon reporting forduty.

(2) Inspect the ship as soon after re-porting for duty as practicable, and fre-quently thereafter, in order to keephimself informed of the state of herpreparation for service. If, during thecourse of these inspections, he notes anunsafe or potentially unsafe condition,he shall report such condition to thecommander of the naval shipyard orthe supervisor of shipbuilding and tohis superior for resolution.

(3) Keep himself informed as to theprogress of the work being done, in-cluding tests of equipment, and makesuch recommendations to the com-mander of the naval shipyard or the su-pervisor of shipbuilding as he deemsappropriate.

(4) Ensure that requisitions are sub-mitted for articles to outfit the shipwhich are not otherwise being pro-vided.

(5) Prepare the organization of theship.

(6) Make such reports as may be re-quired by higher authority, and includetherein a statement of any deficiencyin material or personnel.

(b) If the prospective commanding of-ficer does not consider the ship in prop-er condition to be commissioned at thetime the commander of the naval ship-yard or the supervisor of shipbuildingsignifies his intention of transferringthe ship to him, he shall report thatconclusion with his reasons therefor, inwriting, to the commander of the navalshipyard or the supervisor of shipbuild-ing and to the appropriate higher au-thority.

(c) If the ship is elsewhere than at anaval shipyard, the relationship be-tween the prospective commanding of-ficer and the supervisor of shipbuild-ing, or other appropriate official, shallbe the same as that between the pro-spective commanding officer and thecommander of a naval shipyard as spec-ified in this article.


32

32 CFR Ch. VI (7–1–98 Edition)§ 700.757

§ 700.757 Authority of the commandingofficer or prospective commandingofficer of a naval nuclear poweredship.

The Chief of Naval Operations shallbe responsible for providing the com-manding officer or prospective com-manding officer of a naval nuclear pow-ered ship with the authority and direc-tion necessary to carry out his respon-sibilities for the safety of the ship andcrew, and the health and safety of thegeneral public in surrounding area.

§ 700.758 Inspection incident to com-missioning of ships.

When a ship is to be commissioned,the authority designated to place suchship in commission shall, just prior tocommissioning, cause an inspection tobe made to determine the cleanlinessand readiness of the ship to receive itscrew and outfit. In the case of the de-livery of a ship by a contractor, theabove inspection shall precede accept-ance of the ship. A copy of the report ofthis inspection shall be furnished theofficer detailed to command the shipand to appropriate commands, bureausor offices.

§§ 700.759–700.762 [Reserved]

§ 700.763 Quarantine.(a) The commanding officer or air-

craft commander of a ship or aircraftshall comply with all quarantine regu-lations and restrictions, United Statesor foreign, for the port or area withinwhich his ship or aircraft is located.

(b) Whether or not liable to quar-antine, the commanding officer shallafford every facility to visiting healthofficers, United States or foreign, andshall give all information required bythe latter, insofar as permitted by therequirements of military security.

(c) The commanding officer shallallow no intercourse with a port orarea or with other ships or aircraftuntil he has consulted local health au-thorities when:

(1) Doubt exists as to the sanitaryregulations or health conditions of theport or area.

(2) A quarantine condition existsaboard his ship or aircraft.

(3) Coming from a suspected port orarea, or one actually under quarantine.

(d) No concealment shall be made ofany circumstance that may subject aship or aircraft of the Navy to quar-antine.

(e) Should there appear at any timeon board a ship or aircraft conditionswhich present a hazard of introductionof a communicable disease outside theship or aircraft, the commanding offi-cer or aircraft commander shall atonce report the fact to the senior offi-cer present, to other appropriate high-er authorities and, if in port, to thehealth authorities having quarantinejurisdiction. He shall prevent all con-tracts likely to spread disease untilpratique is received. The commandingofficer of a ship in port shall hoist theappropriate signal.

§ 700.764 Customs and immigration in-spections.

(a) The commanding officer or air-craft commander shall facilitate anyproper examination which it may bethe duty of a customs officer or an im-migration officer of the United Statesto make on board the ship or aircraftunder his command. He shall not per-mit a foreign customs officer or animmigation officer to make any exam-ination whatsoever, except as herein-after provided, on board the ship, air-craft, or boats under his command.

(b) When a ship or aircraft of theNavy or a public vessel manned bynaval personnel and operating underthe direction of the Department of theNavy is carrying cargo for private com-mercial account, such cargo shall besubject to the local customs regula-tions of the port, domestic or foreign,in which the ship or aircraft may be,and in all matters relating to suchcargo, the procedure prescribed for pri-vate merchant vessels and aircraftshall be followed. Government-ownedstores or cargo in such ship or aircraftnot landed nor intended to be landednor in any manner trafficked in, are,by the established precedent of inter-national courtesy, exempt from cus-toms duties, but a declaration of suchstores or cargo, when required by localcustoms regulations, shall be made.Commanding officers shall prevent, asfar as possible, disputes with the local


33


authorities in such cases, but shall pro-tect the ship or aircraft and the Gov-ernment-owned stores and cargo fromany search or seizure.

(c) Upon arrival from a foreign coun-try, at the first port of entry in UnitedStates territory, the commanding offi-cer, or the senior officer of ships or air-craft in company, shall notify the col-lector of the port. Each individualaboard shall, in accordance with cus-toms regulations, submit a list of arti-cles purchased or otherwise acquiredby him abroad. Dutiable articles shallnot be landed until the customs officerhas completed his inspection.

(d) Commanding officers of naval ves-sels and aircraft transporting UnitedStates civilian and foreign militaryand civilian passengers shall satisfythemselves that the passenger clear-ance requirements of the Immigrationand Naturalization Service are com-plied with upon arrival at points with-in the jurisdiction of the UnitedStates. Clearance for such passengersby an immigration officer is necessaryupon arrival from foreign ports and atthe completion of movements betweenany of the following: ContinentalUnited States (including Alaska andHawaii), Canal Zone, Puerto Rico, Vir-gin Islands, Guam, American Samoa,or other outlying places subject toUnited States jurisdiction. Command-ing officers prior to arriving shall ad-vise the cognizant naval or civilianport authority of the aforementionedpassengers aboard and shall detainthem for clearance as required by theImmigration and Naturalization Serv-ice.

(e) The provisions of this article shallnot be construed to require delayingthe movements of any ship or aircraftof the Navy in the performance of theassigned duty.

§ 700.765 Environmental pollution.The commanding officer shall cooper-

ate with local, state and other govern-mental authorities in the prevention,control and abatement of environ-mental pollution to the extent re-sources and operational considerationspermit. He shall be aware of existingpolicies regarding polution control andhe should recommend remedial meas-ures when appropriate.

§§ 700.766–700.767 [Reserved]

§ 700.768 Care of ships, aircraft, vehi-cles and their equipment.

The commanding officer shall causesuch inspections and tests to be madeand procedures carried out as are pre-scribed by competent authority, to-gether with such others as he deemsnecessary to ensure the proper preser-vation, repair, maintenance, and oper-ation of any ship, aircraft, vehicle, andtheir equipment assigned to his com-mand.

Subpart H—Precedence,Authority, and Command

§ 700.811 Exercise of authority.(a) All persons in the naval service on

active service, and those on the retiredlist with pay, and transferred membersof the Fleet Reserve and the Fleet Ma-rine Corps Reserve, are at all timessubject to naval authority. While onactive service they may, if not on leaveof absence except as noted below, onthe sick list, taken into custody, underarrest, suspended from duty, in con-finement, or otherwise incapable of dis-charging their duties, exercise author-ity over all persons who are subordi-nate to them.

(b) A person in the naval service, al-though on leave, may exercise author-ity:

(1) When in a naval ship or aircraftand placed on duty by the commandingofficer or aircraft commander.

(2) When in a ship or aircraft of thearmed services of the United States,other than a naval ship or aircraft, asthe commanding officer of naval per-sonnel embarked, or when placed onduty by such officer.

(3) When senior officer at the scene ofa riot or other emergency, or whenplaced on duty by such officer.

§§ 700.812–700.816 [Reserved]

§ 700.817 Authority of an officer whosucceeds to command.

(a) An officer who succeeds to com-mand due to incapacity, death, depar-ture on leave, detachment without re-lief, or absence due to orders from com-petent authority of the officer detailedto command has the same authority


34

32 CFR Ch. VI (7–1–98 Edition)§§ 700.818–700.829

and responsibility as the officer whomhe succeeds.

(b) An officer who succeeds to com-mand during the temporary absence ofthe commanding officer shall make nochanges in the existing organization,and shall endeavor to have the routineand other affairs of the command car-ried on in the usual manner.

(c) When an officer temporarily suc-ceeding to command signs official cor-respondence, the word ‘‘Acting’’ shallappear below his signature.

§§ 700.818–700.829 [Reserved]

§ 700.830 Authority of a sentry.

A sentry, within the limits stated inhis orders, has authority over all per-sons on his post.

§§ 700.831–700.833 [Reserved]

§ 700.834 Orders to active service.

(a) No person who is not on activeservice or leave of absence shall be or-dered into active service or on dutywithout permission of the Com-mandant of the Marine Corps, or theChief of Naval Personnel, except:

(1) In the case of a person on leave ofabsence by the officer who granted theleave or a superior.

(2) By the senior officer present on aforeign station.

(b) In the event that the senior offi-cer present of a foreign station issuesany orders as contemplated by this ar-ticle, he shall report the facts, includ-ing the reasons for issuing such orders,to the Chief of Naval Personnel or theCommandant of the Marine Corps,without delay.

(c) Retired officers of the Navy andMarine Corps may be ordered to activeservice, with their consent, in time ofpeace. In time of war or a nationalemergency, such retired officers may,at the discretion of the Secretary ofthe Navy, be ordered to active service.

Subpart I—The Senior OfficerPresent

SOURCE: 39 FR 7220, Feb. 25, 1974 unless oth-erwise noted.

§ 700.901 The senior officer present.Unless some other officer has been so

designated by competent authority,the ‘‘senior officer present’’ is the sen-ior line officer of the Navy on activeduty, eligible for command at sea, whois present and in command of any partof the Department of the Navy in thelocality or within an area prescribed bycompetent authority, except where per-sonnel of both the Navy and the MarineCorps are present on shore and the offi-cer of the Marine Corps who is in com-mand is senior to the senior line officerof the Navy. In such cases, the officerof the Marine Corps shall be the seniorofficer present on shore.


§ 700.903 Authority and responsibility.At all times and places not excluded

in these regulations, or in orders fromcompetent authority, the senior officerpresent shall assume command and di-rect the movements and efforts of allpersons in the Department of the Navypresent, when, in his judgment, the ex-ercise of authority for the purpose ofcooperation or otherwise is necessary.He shall exercise his authority in amanner consistent with the full oper-ational command vested in the com-manders of unified or specified com-mands.

§ 700.904 Authority of senior officer ofthe Marine Corps present.

The authority and responsibility ofthe senior officer present are also con-ferred upon the senior commanding of-ficer of the Marine Corps present withrespect to those units of the MarineCorps, including Navy personnel at-tached, which are in the locality andnot under the authority of the seniorofficer present.

§§ 700.905–700.921 [Reserved]

§ 700.922 Shore patrol.(a) When liberty is granted to any

considerable number of persons, exceptin an area that can absorb them with-out danger of disturbance or disorder,the senior officer present shall cause tobe established, temporarily or perma-nently, in charge of an officer, a suffi-cient patrol of officers, petty officers,


35


and noncommissioned officers to main-tain order and suppress any unseemlyconduct on the part of any person onliberty. The senior patrol officer shallcommunicate with the chief of policeor other local officials and make sucharrangements as may be practicable toaid the patrol in carrying out its dutiesproperly. Such duties may include pro-viding assistance to military personnelin relations with civil courts and po-lice, arranging for release of servicepersonnel from civil authorities to theparent command, and providing otherservices that favorably influence dis-cipline and morale.

(b) A patrol shall not be landed inany foreign port without first obtain-ing the consent of the proper local offi-cials. Tact must be used in requestingpermission; and, unless it is given will-ingly and cordially, the patrol shallnot be landed. If consent cannot be ob-tained, the size of liberty parties shallbe held to such limits as may be nec-essary to render disturbances unlikely.

(c) Officers and men on patrol duty ina foreign country normally should notbe armed. In the United States, officersand men may be armed as prescribedby the senior officer present.

(d) No officer or man who is a mem-ber of the shore patrol or beach guard,or is assigned in support thereof, shallpartake of or indulge in any form of in-toxicating beverage or other form ofintoxicant while on duty, on post, or atother times prescribed by the seniorpatrol officer. The senior patrol officershall ensure that the provisions of thisparagraph are strictly observed andshall report promptly in writing to thesenior officer present all violations ofthese provisions that may come to hisnotice. All officers and men of the pa-trol shall report to the senior patrol of-ficer all violations of the provisions ofthis paragraph on the part of thoseunder them.

§ 700.923 Precautions for health.The senior officer present shall take

precautions to preserve the health ofthe persons under his authority. Heshall obtain information regarding thehealthfulness of the area and medicalfacilities available therein and shalladopt such measures as are required bythe situation.

§§ 700.924–700.934 [Reserved]

§ 700.935 Exercise of power of consul.When upon the high seas or in any

foreign port where there is no residentconsul of the United States, the seniorofficer present afloat has the authorityto exercise all powers of a consul in re-lation to mariners of the UnitedStates.

§§ 700.936–700.939 [Reserved]

§ 700.940 Granting of asylum and tem-porary refuge.

(a) If an official of the Department ofthe Navy is requested to provide asy-lum or temporary refuge, the followingprocedures shall apply:

(1) On the high seas or in territoriesunder exclusive United States jurisdic-tion (including territorial seas, theCommonwealth of Puerto Rico, terri-tories under United States administra-tion, and possessions):

(i) At his request, an applicant forasylum will be received on board anynaval aircraft or water-borne craft,Navy or Marine Corps activity or sta-tion.

(ii) Under no circumstances shall theperson seeking asylum be surrenderedto foreign jurisdiction or control, un-less at the personal direction of theSecretary of the Navy or higher au-thority. Persons seeking political asy-lum should be afforded every reason-able care and protection permitted bythe circumstances.

(2) In territories under foreign juris-diction (including foreign territorialseas, territories, and possessions):

(i) Temporary refuge shall be grantedfor humanitarian reasons on board anaval aircraft or water-borne craft,Navy or Marine Corps activity or sta-tion, only in extreme or exceptionalcircumstances wherein life or safety ofa person is put in imminent danger,such as pursuit by a mob. When tem-porary refuge is granted, such protec-tion shall be terminated only when di-rected by the Secretary of the Navy orhigher authority.

(ii) A request by foreign authoritiesfor return of custody of a person underthe protection of temporary refuge willbe reported to the CNO or Commandantof the Marine Corps. The requesting


36

32 CFR Ch. VI (7–1–98 Edition)§ 700.1115

foreign authorities will be informedthat the case has been referred to high-er authorities for instructions.

(iii) Persons whose temporary refugeis terminated will be released to theprotection of the authorities des-ignated in the message authorizing re-lease.

(iv) While temporary refuge can begranted in the circumstances set forthabove, permanent asylum will not begranted.

(v) Foreign nationals who request as-sistance in forwarding requests for po-litical asylum in the United States willbe advised to apply in person at thenearest American Embassy or Con-sulate.

(3) The Chief of Naval Operations orCommandant of the Marine Corps, asappropriate, will be informed by themost expeditious means of all actiontaken pursuant to paragraphs (a)(1)and (a)(2) of this section, as well as theattendant circumstances. Telephone orvoice communications will be usedwhere possible, but must be confirmedas soon as possible with an immediateprecedence message, information tothe Secretary of State (for actionstaken pursuant to paragraphs (a)(2)(i)and (a)(2)(v) of this section, also makethe appropriate American Embassy orConsular Office an information ad-dressee). If communication by tele-phone or voice is not possible, notifica-tion will be effected by an immediateprecedence message, as describedabove. The Chief of Naval Operationsor Commandant of the Marine Corpswill cause the Secretary of the Navyand the Deputy Director for Operationsof the National Military CommandCenter to be notified without delay.

(b) Personnel of the Department ofthe Navy shall neither directly nor in-directly invite persons to seek asylumor temporary refuge.

[41 FR 18074, Apr. 30, 1976]

Subpart J—Rights and Responsibil-ities of Persons in the Depart-ment of the Navy

§ 700.1115 Control of official records.No person, without proper authority,

shall withdraw official records or cor-respondence from the files, or destroy

them, or withhold them from thosepersons authorized to have access tothem.

§ 700.1116 Disclosure and publicationof information.

(a) No person in the Department ofthe Navy shall convey or disclose byoral or written communication, graph-ic (including photographic) or othermeans, any classified information ex-cept as provided in the Department ofthe Navy Information Security Pro-gram Regulation. Additionally, no per-son in the Department of the Navyshall communicate or otherwise dealwith foreign entities, even on an un-classified basis, when such would com-mit the Department of the Navy to dis-close classified military information,except as may be required in his offi-cial duties and only after coordinationwith and approval by the release au-thority stipulated in the Departmentof the Navy Information Security Pro-gram Regulation.

(b) No person in the Department ofthe Navy shall convey or disclose byoral or written communication, publi-cation, or other means, except as maybe required by his official duties, anyinformation concerning the Depart-ment of Defense or forces, or any per-son, thing, plan or measure pertainingthereto, where such information mightbe of possible assistance to a foreignpower; nor shall any person in the De-partment of the Navy make any publicspeech or permit publication of any ar-ticle written by or for him which isprejudicial to the interests of theUnited States. The regulations con-cerned with the release of informationto the public through any media will beas prescribed by the Secretary of theNavy.

(c) No person in the Department ofthe Navy shall disclose any informa-tion whatever, whether classified orunclassified, or whether obtained fromofficial records or within the knowl-edge of the relator, which might aid orbe of assistance in the prosecution orsupport of any claim against theUnited States. The prohibitions pre-scribed by the first sentence of thisparagraph are not applicable to an offi-cer or employee of the United Stateswho is acting in the proper course of,


37


and within the scope of, his official du-ties, provided that the disclosure ofsuch information is otherwise author-ized to be disclosed by statute, Execu-tive order of the President, or depart-mental regulation.

(d) Any person in the Department ofthe Navy receiving a request from thepublic for Department of the Navyrecords shall be governed by securityclassification markings, distributionstatements on technical documents,and the term ‘‘For Official Use Only’’which may be used to identify materialor records not to be released to thegeneral public. The general regulationsconcerned with the availability to thepublic of the Department of the Navyrecords shall be as prescribed by theSecretary of the Navy.

(e) Persons in the Department of theNavy desiring to submit manuscriptsto commercial publishers, or profes-sional, political or international sub-jects shall comply with regulationspromulgated by the Secretary of theNavy.

(f) No person in the naval service onactive duty or civilian employee of theDepartment of the Navy shall act ascorrespondent of a news service or peri-odical, or as a television or radio newscommentator or analyst, unless as-signed to such duty in connection withthe public affairs activities of the De-partment of the Navy, or authorized bythe Secretary of the Navy. Except asauthorized by the Secretary of theNavy, no person assigned to duty inconnection with public affairs activi-ties of the Department of the Navyshall receive any compensation for act-ing as such correspondent, commenta-tor, or analyst.

[39 FR 7135, Feb. 25, 1974, as amended at 41FR 18075, Apr. 30, 1976; 45 FR 80279, Dec. 4,1980]

§ 700.1117 Official records in civilcourts.

No person in the Department of theNavy shall produce or release any offi-cial record in response to a subpoenaduces tecum, motion for discovery, in-terrogatory or otherwise in a civil suit,or in connection with preliminary in-vestigations by attorneys or others ex-cept in accordance with the provisions

of the Manual of the Judge AdvocateGeneral.

§§ 700.1118–700.1119 [Reserved]

§ 700.1120 Rules for preventing colli-sions, afloat and in the air.

(a) All persons in the naval serviceresponsible for the operation of navalships, craft and aircraft shall diligentlyobserve the International Rules forPreventing Collisions at Sea, (com-monly called International Rules of theRoad) Inland Rules of the Road, domes-tic and international air traffic regula-tions, and such other rules and regula-tions as may be established by the Sec-retary of Transportation or other com-petent authority for regulating trafficand preventing collisions on the highseas, in inland waters, or in the air,where such laws, rules and regulationsare applicable to naval ships and air-craft. In those situations where suchlaw, rule or regulation is not applicableto naval ships, craft or aircraft theyshall be operated with due regard forsafety of others.

(b) Any significant infraction of thelaws, rules and regulations governingtraffic or designed to prevent collisionson the high seas, in inland waters, or inthe air, which may be observed by per-sons in the naval service shall bepromptly reported to their superiors,including the Chief of Naval Operationsor Commandant of the Marine Corpswhen appropriate.

(c) Reports need not be made underthis article if the facts are otherwisereported in accordance with other di-rectives, including duly authorizedsafety programs.

§§ 700.1121–700.1132 [Reserved]

§ 700.1133 Use of title for commercialenterprises.

No person in the naval service shall,while on extended naval service, usehis grade or rating in connection witha commercial enterprise. ‘‘Extendednaval service,’’ for the purposes of thisarticle, is defined as active duty, otherthan active duty for training, under acall or order that does not specify a pe-riod of thirty days or less. This articleshall not apply to a person who is noton active service, nor shall it apply to


38

32 CFR Ch. VI (7–1–98 Edition)§§ 700.1134–700.1142

authorship of any material for publica-tion, by persons on either active or in-active service, provided that such ma-terial is published in accordance withexisting regulations.

§§ 700.1134–700.1142 [Reserved]

§ 700.1143 Return of Government prop-erty on release from active service.

When a person is released from activeservice, he shall return all Governmentproperty in his possession to his com-manding officer or other competent au-thority.

§ 700.1144 Issue or loan of public prop-erty.

(a) Except as prescribed in this arti-cle, public property including supplies,shall not be issued, on loan or other-wise, to any state, organization, or pri-vate individual except by special au-thority of Congress.

(b) When so authorized by the seniorofficer present, a commanding officermay issue such supplies as can bespared to those in distress in the eventof a public exigency or calamity, or tovessels in distress, and, when so au-thorized, he may issue rations and ne-cessities to destitute seamen and air-men of the United States who are re-ceived on board. The supply officermaking such an issue shall do so onlypursuant to an order in writing, shallprocure receipts when practicable forthe supplies issued, and shall render ac-counts for such supplies in accordancewith the instructions contained in theNaval Supply System Command Man-ual or the Marine Corps Supply Man-ual, as appropriate.

(c) Public property, except aircraft,may be loaned by the commandant of anaval district to a state located withinthe district and maintaining naval mi-litia organizations, for use by a navalmilitia organization in that state, pro-vided that 95 percent of the personnelof the last-mentioned organization areattached to or associated with a unit ofthe naval reserve, and provided thatthe naval militia organization con-forms to the standards prescribed bythe Secretary of the Navy for similarorganizations of the Naval Reserve. Areport of such loans shall be made bythe commandant to the interested bu-

reaus, offices or commands of the NavyDepartment.

§§ 700.1145–700.1149 [Reserved]

§ 700.1150 Alcoholic liquors.

(a) Except as may be authorized bythe Secretary of the Navy, the intro-duction, possession or use of alcoholicliquors for beverage purposes on boardany ship, craft, aircraft, or in any vehi-cle of the Department of the Navy isprohibited. The transportation of alco-holic liquors for personal use ashore isauthorized, subject to the discretion ofthe officer in command or officer incharge, or higher authority, when theliquors are delivered to the custody ofthe officer in command or officer incharge of the ship, craft, or aircraft insealed packages, securely packed, prop-erly marked and in compliance withcustoms laws and regulations, andstored in securely locked compart-ments, and the transportation can beperformed without undue interferencewith the work or duties of the ship,craft, or aircraft. Whenever alcoholicliquor is brought on board any ship,craft, or aircraft for transportation forpersonal use ashore, the person whobrings it on board shall at that timefile with the officer in command or of-ficer in charge of the ship, craft, or air-craft, a statement of the quantity andkind of alcoholic liquor brought onboard by him, together with his certifi-cation that its importation will be incompliance with customs and internalrevenue laws and regulations and appli-cable State or local laws at the place ofdebarkation.

(b) The introduction, possession, anduse of alcoholic liquors for beveragepurposes or for sale is authorized with-in naval activities and other placesashore under naval jurisdiction, to theextent and in such manner as the Sec-retary of the Navy may prescribe.

§ 700.1151 Responsibilities concerningmarijuana, narcotics, and othercontrolled substances.

(a) All personnel shall endeavor toprevent and eliminate the unauthor-ized use of marijuana, narcotics, andother controlled substances within thenaval service.


39

Department of the Navy, DoD Pt. 701

(b) Except for authorized medicinalpurposes, the introduction, possession,use, sale, or other transfer of mari-juana, narcotic substances or othercontrolled substances on board anyship, craft, or aircraft of the Depart-ment of the Navy or within any navalstation or other place under the juris-diction of the Department of the Navy,or the possession, use, sale, or othertransfer of marijuana, narcotic sub-stances or other controlled substancesby persons in the naval service, is pro-hibited.

(c) The term controlled substancemeans: a drug or other substance in-cluded in Schedule I, II, III, IV, or V es-tablished by section 202 of the Com-prehensive Drug Abuse Prevention andControl Act of 1970 (84 Stat. 1236), asupdated and republished under the pro-visions of that Act.

§§ 700.1152–700.1160 [Reserved]

§ 700.1161 Endorsement of commercialproduct or process.

Except as necessary during contractadministration to determine specifica-tion or other compliance, no person inthe Department of the Navy, in his of-ficial capacity, shall endorse or expressan opinion of approval or disapprovalof any commercial product or process.

Subpart K—Purpose and Force ofRegulations within the Depart-ment of the Navy

§ 700.1201 Purpose and force of UnitedStates Navy Regulations.

United States Navy Regulations isthe principal regulatory document ofthe Department of the Navy, endowedwith the sanction of law, as to duty, re-sponsibility, authority, distinctions,and relationships of various commands,officials, and individuals. Other regula-tions, instructions, orders, manuals, orsimilar publications, shall not beissued within the Department of theNavy which conflict with, alter oramend any provision of Navy Regula-tions.

§ 700.1202 Issuances concerning mat-ters over which control is exer-cised.

Responsible officers and officials ofthe Department of the Navy may issue,or cause to be issued, orders, instruc-tions, directives, manuals or similarpublications concerning matters overwhich they exercise command, control,or supervision.

PART 701—AVAILABILITY OF DE-PARTMENT OF THE NAVYRECORDS AND PUBLICATION OFDEPARTMENT OF THE NAVYDOCUMENTS AFFECTING THEPUBLIC

Subpart A—Department of the NavyFreedom of Information Act Program

Sec.701.1 Purpose.701.2 Applicability.701.3 Definitions.701.4 Policy.701.5 Responsibility and authority.701.6 Format and procedures for requesting

information under FOIA.701.7 Procedures for processing FOIA re-

quests.701.8 Records requiring special handling.701.9 For Official Use Only.701.10 FOIA appeals/judicial actions.701.11 Publication, indexing, and public in-

spection of certain classes of records.

Subpart B—FOIA Exemption Guidelines

701.21 General.701.22 Exemption (b)(1).701.23 Procedures for processing classified

documents.701.24 Exemption (b)(2).701.25 Exemption (b)(3).701.26 Exemption (b)(4).701.27 Exemption (b)(5).701.28 Exemption (b)(6).701.29 Exemption (b)(7).701.30 Exemption (b)(8).701.31 Exemption (b)(9).

Subpart C—Addresses for Department ofthe Navy Records and Locations forPublic Inspection

701.31 Addresses for requests for Depart-ment of the Navy records.

701.32 Locations at which Department ofthe Navy records are available for publicinspection.


40

32 CFR Ch. VI (7–1–98 Edition)§ 701.1

1 Copies may be obtained if needed, fromthe U.S. Naval Publications and Forms Cen-ter, Attn: Code 1053, 5801 Tabor Avenue,Philadelphia, PA 19120.

Subpart D—Fee Guidelines

701.40 FOIA fees.701.41 Definitions.701.42 Application.701.43 Fee restrictions.701.44 Fee waivers.701.45 Fee assessment.701.46 Aggregating requests.701.47 Effect of the Debt Collection Act of

1982 (Pub. L. 97-365).701.48 Computation of fees.701.49 Collection of fees.701.50 Search time costs.701.51 FOIA fee remittance/receipt controls.701.52 Technical data fees.701.53 Other technical data records.

Subpart E—Indexing, Public Inspection,and Federal Register Publication ofDepartment of the Navy Directivesand Other Documents Affecting thePublic.

701.61 Purpose.701.62 Scope and applicability.701.63 Policy.701.64 Publication of adopted regulatory

documents for the guidance of the public.701.65 Availability, public inspection, and

indexing of other documents affectingthe public.

701.66 Publication of proposed regulationsfor public comment.

701.67 Petitions for issuance, revision, orcancellation of regulations affecting thepublic.

Subpart F—Department of the NavyPrivacy Act Program

701.100 Purpose.701.101 Applicability.701.102 Definitions.701.103 Policy.701.104 Responsibility and authority.701.105 Systems of records.701.106 Safeguarding records in systems of

records.701.107 Criteria for creating, altering,

amending, and deleting Privacy Act sys-tems of records.

701.108 Collecting information about indi-viduals.

701.109 Access to records.701.110 Amendment of records.701.111 Privacy Act appeals.701.112 Disclosure of records.701.113 Exemptions.701.114 Enforcement actions.701.115 Computer matching program.

Subpart G—Privacy Act Exemptions

701.116 Purpose.701.117 Exemption for classified records.701.118 Exemptions for specific Navy record

systems.

701.119 Exemptions for specific MarineCorps records systems.

AUTHORITY: 5 U.S.C. 552.

EDITORIAL NOTE: For nomenclaturechanges for this part see 59 FR 29721, June 9,1994.

Subpart A—Department of theNavy Freedom of InformationAct Program

SOURCE: 56 FR 66574, Dec. 24, 1991, unlessotherwise noted.

§ 701.1 Purpose.Subparts A, B, C, and D of this part

implement the Freedom of InformationAct (5 U.S.C. 552), and the Departmentof Defense Directives 5400.7 and 5400.7-Rseries1, Department of Defense Free-dom of Information Act Program, (See32 CFR part 286) and promote uniform-ity in the Department of the NavyFreedom of Information Act (FOIA)Program. It is written to provide guid-ance to members of the public on howand where to submit FOIA requests andappeals within the Department of theNavy.

§ 701.2 Applicability.Subparts A, B, C, and D of this part

apply throughout the Department ofthe Navy. It governs disclosure of agen-cy records to ‘‘any person,’’ whichmeans that any individual, to includeforeign citizens, partnerships, corpora-tions, associations and foreign, state,or local governments, may use theFOIA to obtain information. The ex-ception to that policy is that it doesnot apply to Federal agencies or to fu-gitives from justice.

(a) Requests from state or local govern-ment officials. Requests from state orlocal government officials for navalrecords are treated the same as anyother requester.

(b) Requests from foreign governments.Requests from foreign governments fornaval records are treated the same asany other requester. However, requestsfrom foreign governments that do not


41


invoke the FOIA shall be referred toappropriate foreign disclosure channelsand the requester so notified.

(c) Privileged release to U.S. Govern-ment officials. Naval records may be au-thenticated and released to U.S. Gov-ernment officials if they are requestingthem on behalf of Federal govern-mental bodies, whether legislative, ex-ecutive, administrative, or judicial.For example:

(1) To a committee or subcommitteeof Congress, or to either House sittingas a whole.

(NOTE: Requests from Members of Congresswho are not seeking records on behalf of aCongressional Committee, Subcommittee, oreither House sitting as a whole, but on be-half of their constituents, are treated thesame as any other requester).

(2) To the Federal courts, wheneverordered by officers of the court as nec-essary for the proper administration ofjustice.

(3) To other Federal agencies, bothexecutive and administrative, as deter-mined by the head of a naval activityor designee.

In those instances, naval activitiesshall mark the records as ‘‘Privileged’’and ‘‘Exempt from Public Disclosure.’’Any special handling instructions shallalso be annotated on the records. Be-cause such releases are not made underthe provisions of the FOIA, they do notimpact on future decisions to release/deny requests for the same records toother requesters.

(d) Publication and public availabilityof special classes of records. The require-ments of 5 U.S.C. 552 that certain class-es of Department of the Navy regu-latory, rulemaking, and organizationalrecords must be published in the FED-ERAL REGISTER for the guidance of thepublic and made available for public in-spection and copying are implementedin 32 CFR part 701, subpart C.

(e) Public affairs regulations. SubpartsA, B, C, and D of this part are intendedto complement, not restrict, the con-duct of Department of the Navy publicaffairs, media relations, community re-lations and internal relations functionsand practices authorized in Secretaryof the Navy Instruction 5720.44 series,‘‘Department of the Navy Public Af-fairs Regulations.’’ Should the prac-

tices authorized in that instructionconflict in any respect, the provisionsof these subparts shall be controlling.

(f) U.S. Navy Regulations. Release of arecord to a member of the public underFOIA shall be deemed to have occurredin the discharge of official duties (Arti-cle 1120, U.S. Navy Regulations (1990)).Process a request by a member of thepublic under the instructions outlinedin Section 3 of Chapter 11, U.S. NavyRegulations.

(g) Other directives. The following di-rectives, and other directives and in-structions cited in part 701, to the ex-tent they do not conflict, provide addi-tional information relating to subpartsA, B, C, and D of this part. Should thepractices authorized in the directivesconflict in any respect, the provisionsof these subparts shall be controlling.

(1) Marine Corps Manual, paragraph1015 (NOTAL); Marine Corps OrderP5720.56, Availability to the Public ofMarine Corps Records (NOTAL); andfor Headquarters, U.S. Marine Corps,HQO P5000.12, Chapter 10 (NOTAL) andHQO 5720.9 (NOTAL).

(2) Federal Personnel Manual, chap-ters 293, 294, 297, 335, 339, and 713(NOTAL)—release of information fromactive and inactive civilian personnelrecords.

(3) Manual of the Medical Depart-ment, U.S. Navy (NAVMED P-117),Chapters 23-70 through 23-79 (NOTAL)release of information from active andinactive medical records.

(4) JAGINST 5800.7C, Manual of theJudge Advocate General (JAGMAN),Chapter V (NOTAL).

(h) Relationship between FOIA and thePrivacy Act (PA). Not all requesters areknowledgeable of the appropriate stat-utory authority to cite when request-ing records. In some instances, theymay cite neither Act, but will implyone or both Acts. For those reasons,the following guidelines are providedto ensure that requesters receive thegreatest amount of access rights underboth Acts.

(1) Requesters who seek recordsabout themselves contained in a PAsystem of records and who cite orimply PA, will have their requestsprocessed under the provisions of PA(see subpart F of this part).


42

32 CFR Ch. VI (7–1–98 Edition)§ 701.3

(2) Requesters who seek recordsabout themselves which are not con-tained in a PA system of records andwho cite or imply PA, will have theirrequests processed under FOIA provi-sions, since they have no access underPA.

(3) Requesters who seek recordsabout themselves which are containedin a PA system of records and who citeor imply FOIA or both Acts will havetheir requests processed under the timelimits of FOIA and the exemptions andfees of PA. That is appropriate sincegreater access will be received underPA.

(4) Requesters who seek access toagency records and who cite or implyPA and FOIA, will have their requestsprocessed under FOIA.

(5) Requesters who seek access toagency records and who cite or implyFOIA, will have their requests proc-essed under FOIA.

If the requester has failed to cite theappropriate Act, naval activities shallapprise the requester in the final re-sponse under which Act his/her requestwas processed.

§ 701.3 Definitions.

(a) FOIA request. A written requestfor Department of the Navy records,made by ‘‘any person,’’ including amember of the public (U.S. or foreigncitizen), an organization, or a business,but not including a Federal agency or afugitive from the law that either ex-plicitly or implicitly invokes 5 U.S.C.552, Department of Defense Directives5400.7 and 5400.7-R series, ‘‘Departmentof Defense Freedom of Information ActProgram’’ (see 32 CFR part 286) and/orsubparts A, B, C, and D of this part.

(b) Agency record. (1) The products ofdata compilation, such as all books, pa-pers, maps, and photographs, machinereadable materials, or other documen-tary materials, regardless of physicalform or characteristics, made or re-ceived by an agency of the UnitedStates Government under Federal lawor in connection with the transactionof public business and in Department ofthe Navy’s possession and control atthe time a FOIA request is made.

(2) The following are not included inthis definition:

(i) Objects or articles, such as struc-tures, furniture, paintings, sculpture,three-dimensional models, vehicles,equipment, and parts of wrecked air-craft and ships, whatever their histori-cal value, or value as evidence.

(ii) Administrative tools by whichrecords are created, stored, and re-trieved, if not created or used assources of information about organiza-tions, policies, functions, decisions, orprocedures of a naval activity. Nor-mally, computer software, includingsource code, object code, and listings ofsource and object codes, regardless ofmedium are not agency records (thatdoes not include the underlying datawhich is processed and produced bysuch software and which may in someinstances be stored with the software).Exceptions to this position are out-lined in § 701.3(b)(3).

(iii) Anything that is not a tangibleor documentary record, such as an in-dividual’s memory or oral communica-tion.

(iv) Personal records of an individualnot subject to agency creation or re-tention requirements, created andmaintained primarily for the conven-ience of an agency employee, and notdistributed to other agency employeesfor their official use.

(v) Information stored within a com-puter for which there is no existingcomputer program for retrieval of therequested information.

(3) In some instances, computer soft-ware may have to be treated as a agen-cy record and processed under theFOIA. Such situations are rare andshall be treated on a case-by-case basis.Examples of when computer softwaremay have to be treated as an agencyrecord are:

(i) When the data is embedded withinthe software and cannot be extractedwithout the software. In that situation,both the data and the software must bereviewed for release or denial underFOIA.

(ii) Where the software itself revealsinformation about organizations, poli-cies, functions, decisions, or proceduresof a naval activity, such as computermodels used to forecast budget outlays,calculate retirement system costs, oroptimization models or travel costs.


43


Review exemptions (b)(4) and (b)(5) at§ 701.26 and § 701.27 of subpart B of thispart for guidance on release determina-tions of computer software.

(4) A record must exist and be in thepossession and control of the Depart-ment of the Navy at the time of the re-quest to be considered subject to thispart and the FOIA. There is no obliga-tion to create, compile, or obtain arecord to satisfy a FOIA request.

(5) If unaltered publications and proc-essed documents, such as regulations,manuals, maps, and related geo-physical materials are available to thepublic through an established distribu-tion system with or without charge,the provisions of 5 U.S.C. 552(a)(3) nor-mally do not apply and they need notbe processed under the FOIA. Nor-mally, documents disclosed to the pub-lic by publication in the FEDERAL REG-ISTER also require no processing underthe FOIA. In such cases, naval activi-ties should direct the requester to theappropriate source to obtain therecord.

(c) Release authority. Release authori-ties are commanding officers and headsof Navy and Marine Corps shore activi-ties or their designee that are author-ized to furnish copies of records undertheir cognizance for which no FOIA ex-emption applies.

(d) Initial Denial Authority (IDA). Anofficial who has been granted authorityto withhold records under FOIA, eitherin whole or in part, based on the FOIAexemptions. IDAs may also grant ordeny requests for reduction or waiverof fees. See § 701.5 for a list of IDAs.

(e) Appellate authority. The Secretaryof the Navy (SECNAV) has delegatedhis appellate authority to the NavyJudge Advocate General (NJAG) andthe General Counsel (OGC) to rule onadministrative appeals of denials ofFOIA requests for information undertheir cognizance, as outlined in § 701.10.

(f) Administrative appeal. A request bya member of the general public, madeunder FOIA, asking the appellate au-thority to reverse the IDA’s decision towithhold all or part of a requestedrecord or to deny a request for waiveror reduction of fees. A requester mayalso file an administrative appeal fornon-response to a FOIA request withinthe statutory time limits or for a ‘‘no

record’’ response if he/she believes anadequate search was not conducted.

(g) Public interest. Public interest isofficial information that sheds light ona naval activity’s performance of itsstatutory duties because it falls withinthe statutory purpose of FOIA in in-forming citizens about what their gov-ernment is doing. That statutory pur-pose, however, is not fostered by disclo-sure of information about private citi-zens that is accumulated in variousgovernmental files that reveals littleor nothing about an agency’s or offi-cial’s own conduct.

(h) Electronic data. Electronic dataare those records and informationwhich are created, stored, and re-trieved by electronic means. This doesnot include computer software, whichis the tool by which to create, store, orretrieve electronic data.

[56 FR 66574, Dec. 24, 1991, as amended at 59FR 29721, June 9, 1994]

§ 701.4 Policy.

It is Department of the Navy policyto make its records available to re-questers in accordance with FOIA.When requested, Navy and MarineCorps activities shall assist requestersin complying with the administrativerequirements necessary to request ma-terials sought under the Act.

(a) Openness with the public. The pub-lic has a right to information concern-ing the activities of its government.Department of the Navy policy is toconduct its activities in an open man-ner and to provide the public with amaximum amount of accurate andtimely information concerning its ac-tivities, consistent always with the le-gitimate public and private interests ofthe American people. A Department ofthe Navy record requested by a mem-ber of the public who follows rules es-tablished by proper authority shallonly be withheld when it is exemptfrom mandatory public disclosurebased on one or more of the nine FOIAexemptions.

(b) Avoidance of procedural obstacles.Naval activities shall ensure that pro-cedural matters do not unnecessarily


44

32 CFR Ch. VI (7–1–98 Edition)§ 701.4

impede a requester from obtaining De-partment of the Navy records prompt-ly. Naval activities shall provide as-sistance to requesters to help them un-derstand and comply with proceduresestablished by this instruction. Feesshall not be used to discourage request-ers (see subpart D of this part).

(c) Prompt action on requests. When arequester complies with the proceduresestablished in this instruction for ob-taining naval records, the request shallreceive prompt attention. A reply shallbe dispatched within 10 working days,unless a delay is authorized. If a navalactivity has a significant number of re-quests (i.e., 10 or more), the requestsshall be processed in order of receipt.This, however, does not preclude anaval activity from acting on a requestwhich can be easily answered, regard-less of its ranking within the order ofreceipt. A naval activity may also ex-pedite action on a request regardless ofits ranking within the order of receiptupon a showing of exceptional need orurgency. Exceptional need or urgencyis determined at the discretion of theactivity processing the request.

(d) Use of exemptions/discretionary re-lease. Department of the Navy policy isto make records publicly available, un-less they qualify for withholding underone or more of the nine FOIA exemp-tions (see subpart B of this part for anin-depth review of the exemptions).Naval activities may elect to make adiscretionary release. A discretionaryrelease to one requester may, however,preclude the withholding of similar in-formation under a FOIA exemption ifsubsequently requested by the same in-dividual or someone else. Suggest thefollowing language be included withthe discretionary release of any recordthat could be subject to withholding:

The information you requested is subjectto being withheld under section (b) of theFreedom of Information Act. The release ofthis material to you by the Department ofthe Navy is discretionary and does not con-stitute a waiver of our right to claim this ex-emption for similar records in the future.

Additionally, a discretionary releaseis generally not appropriate for recordsexempt from disclosure under exemp-tions (b)(1)—classified; (b)(3)—exempt-ed by statute; (b)(4)—trade secret/pro-prietary; (b)(6)—personal privacy; and

(b)(7)(C)—personal information con-tained in investigatory records which ifreleased would constitute an unwar-ranted invasion of privacy. Exemptions(b)(4), (b)(6), and (b)(7)(C) cannot beclaimed for information which was sup-plied by the requester of the informa-tion.

(e) Public domain. Nonexempt recordsreleased under this instruction are con-sidered in the public domain. Exemptrecords released under this instructionor other statutory or regulatory au-thority may be considered to be in thepublic domain only when their releaseconstitutes a waiver of a FOIA exemp-tion. When release does not constitutesuch a waiver, such as disclosure to aproperly constituted advisory commit-tee or a Congressional Committee, thereleased records do not lose their ex-empt status. Also, while authority mayexist to disclose records to individualsin their official capacity, this instruc-tion applies if the same individualseeks the records in a private or per-sonal capacity.

(f) Creating a record. (1) A record mustexist and be in the possession and con-trol of the Department of the Navy atthe time of the search to be consideredsubject to FOIA. Mere possession of arecord does not presume departmentalcontrol; such records, or identifiableportions, should be referred to the orig-inating activity for direct response tothe requester. There is no obligation tocreate or compile a record to satisfy aFOIA request. A naval activity may,however, compile a new record if it is amore useful response to the requester,or less burdensome to the naval activ-ity than providing existing records,and the requester does not object. Thecost of creating or compiling such arecord may not be charged to the re-quester unless the fee for creating therecord is equal to or less than the feewhich would be charged for providingthe existing record. See subpart D ofthis part for fees.

(2) With respect to electronic data,the issue of whether records are actu-ally or merely extracted from an exist-ing database is not always readily ap-parent. Consequently, when respondingto FOIA requests for electronic data


45


where creation of a record, program-ming, or particular format are ques-tionable, naval activities should applya standard of reasonableness (i.e., if thecapability exists to respond to a re-quest, and the effort would be a ‘‘busi-ness as usual’’ approach, then the re-quest should be processed; however, therequest need not be processed when thecapability to respond does not existwithout a significant expenditure of re-sources, thus not being a normal ‘‘busi-ness as usual’’ approach). In such in-stances, the requester is advised thatno record exists and the FOIA does notrequire agencies to create or compile arecord to satisfy a FOIA request.

(g) Reasonably segregable information.FOIA requires that all ‘‘reasonably seg-regable’’ information must be releasedwhen the meaning of these portions isnot distorted by deletion of the deniedportions, and when it reasonably canbe assumed that a skillful and knowl-edgeable person could not reasonablyreconstruct the excised information.When a record is denied in whole, theresponse to the requester will specifi-cally state that it is not reasonable tosegregate portions of the record for re-lease.

(h) Special mail services. Naval activi-ties are authorized to use registeredmail, certified mail, certificates ofmailing, and return receipts. However,this use should be limited to instanceswhere it appears advisable to establishproof of dispatch or receipt of FOIAcorrespondence.

(i) Authentication of records releasedunder FOIA. In addition to the require-ments of FOIA, records provided underFOIA shall be authenticated when nec-essary to fulfill an official govern-mental or other legal function. Au-thentication will be made with an ap-propriate seal. This service is not in-cluded in the FOIA fee schedule andnaval activities may charge $5.20 foreach authentication.

§ 701.5 Responsibility and authority.(a) Chief of Naval Operations (CNO).

CNO is designated as the official re-sponsible for administering and super-vising the execution of 5 U.S.C. 552 andDepartment of Defense Directives5400.7 and 5400.7-R series, Departmentof Defense Freedom of Information Act

Program (see 32 CFR part 286). CNO hasdesignated the Assistant Vice Chief ofNaval Operations (N09B30) as principalDepartment of the Navy FOIA Coordi-nator to:

(1) Set Department of the Navy pol-icy on the provisions of the FOIA.

(2) Serve as principal advisor on allFOIA matters.

(3) Oversee the administration of theFOIA program, which includes prepar-ing the Department of the Navy An-nual FOIA Report for submission toCongress.

(4) Develop a Navy-wide FOIA train-ing program and serve as training-over-sight manager.

(5) Conduct staff assistance visitswithin the Department of the Navy toreview compliance with 5 U.S.C. 552and subparts A, B, C, and D of thispart.

(6) Set Department of the Navy pol-icy on the marking, handling, safe-guarding and transmission of docu-ments marked ‘‘For Official Use Only.’’

(b) Commandant of the Marine Corps(CMC). CMC is responsible for admin-istering and supervising the executionof this instruction within the MarineCorps. The Commandant has des-ignated the Director of Administrationand Resource Management (Code AR)as the FOIA Coordinator for Head-quarters, U.S. Marine Corps.

(c) FOIA coordinator. Each addresseeis responsible for implementing and ad-ministering a FOIA program under thisinstruction. Each addressee shall des-ignate a FOIA Coordinator to:

(1) Serve as principal point of contacton FOIA matters.

(2) Provide training for activity/com-mand personnel on the provisions of 5U.S.C. 552 and subparts A, B, C, and Dof this part.

(3) Issue an implementing instructionwhich designates the activity’s FOIACoordinator and Initial Denial Author-ity(ies), provides guidance on themarking, handling, and safeguarding ofdocuments marked FOUO, FOIArecords disposition, and FOIA process-ing procedures.

(4) Review internal directives, prac-tices, and procedures, including thosefor forms and records, for conformitywith this instruction, when applicable.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.5

(5) Compile input and submit consoli-dated Annual FOIA Report to Echelon2 FOIA Coordinator, who, in turn, willprovide consolidated report to CNO(N09B30).

(6) Review activity conformance withthe marking, handling, transporting,and safeguarding of FOUO information.

(7) Provide guidance on handlingFOIA requests and the scope of theFOIA exemptions.

(8) Review subpart C of this part andprovide CNO (N09B30) with updated in-formation, as appropriate.

(9) Conduct staff assistance visitswithin command and lower echeloncommands to ensure compliance withFOIA.

(10) Echelon 2 FOIA Coordinatorsshall provide CNO (N09B30) with a com-plete listing of all FOIA Coordinatorsunder their jurisdiction. Such informa-tion should include activity name andaddress, office code, name of FOIA Co-ordinator, and commercial and autovontelephone numbers.

(d) Release Authorities. (1) The role ofthe release authority is to respond torequests for documents under his/hercognizance for which no FOIA exemp-tion applies. Release authorities arecommanding officers and heads of allNavy and Marine Corps activities (de-partmental and field).

(2) Release authorities are requiredto coordinate with officials having cog-nizance over the subject matter of therequested record, if there is a questionas to its releasability. However, if it isdetermined that a requested record re-quires withholding, in whole or in part,the release authority must refer thedocuments along with recommenda-tions regarding release to the initialdenial authority (IDA) in the chain ofcommand. If geographically isolated,the release authority may forward therequest to another IDA, if so author-ized by the IDA in the chain of com-mand.

(3) For records which are part of theNavy’s Privacy Act (PA) systems ofrecords, the record custodian specifiedin the systems notice is the appro-priate authority to respond to the re-quest.

(e) Initial Denial Authorities (IDAs). (1)The IDA role is to deny and grant re-quests, either in whole or in part, for

documents or records under his or hercognizance; to grant one 10-workingday formal extension to the time limitfor responding to FOIA requests; and todeny requests to waive or reduce FOIAfees when the information sought re-lates to matters within their respectivegeographical areas of responsibility orchain of command.

(2) Within the Department of theNavy, the following chief officials,their respective vice commanders, dep-uties, and their principal assistants aredesignated as IDAs.

(i) Department of the Navy: CivilianExecutive Assistants; CNO; CMC; Chiefof Naval Personnel; Commanders of theNaval Systems Commands, Office ofNaval Intelligence, Naval SecurityGroup Command, and Naval Computerand Telecommunications Command;Chief, Bureau of Medicine and Surgery;Auditor General of the Navy; Naval In-spector General; Director, Office of Ci-vilian Personnel Management; Chief ofNaval Education and Training; Com-mander, Naval Reserve Force; Chief ofNaval Research; Commander, NavalMeteorology and Oceanography Com-mand; heads of DON Staff Offices,Boards, and Councils; Flag Officers.NJAG and his Deputy, and the OGC andhis Deputies, are excluded from thisgrant of authorization. While theNJAG and OGC are not Initial DenialAuthorities, they are authorized to fur-ther delegate the authority conferredhere to other senior officers/officialswithin NJAG and OGC.

(ii) Initial Denial Authorities maychoose to delegate initial denial au-thority to those major activities undertheir control that receive voluminousrequests. Such action is discretionaryand should be limited.

(iii) For the shore establishment:(A) All officers authorized under Ar-

ticle 22, Uniform Code of Military Jus-tice (UCMJ), or designated in section0120, Manual of the Judge AdvocateGeneral, to convene general courts-martial.

(B) Director, Naval Criminal Inves-tigative Service and Deputy Com-mander, Naval Legal Service Com-mand.

(iv) In the Operating Forces: All offi-cers authorized by Article 22, UCMJ, ordesignated in section 0120, Manual of


47


the Judge Advocate General (JAGINST5800.7C), to convene general courts-martial.


§ 701.6 Format and procedures for re-questing information under FOIA.

(a) Minimum requirements. In an effortto eliminate any unnecessary burdenson members of the public, the Depart-ment of the Navy does not require re-questers to complete a specific form tofile a FOIA request. A request can bewritten or typed, but at a minimumshould:

(1) Be in writing and indicate ex-pressly, or clearly imply, that it is arequest under 5 U.S.C. 552, Departmentof Defense Directives 5400.7 and 5400.7-R, Department of Defense Freedom ofInformation Act Program (see 32 CFRpart 286), or subparts A, B, C, and D ofthis part. Verbal requests are not hon-ored.

(2) Contain a reasonable descriptionof the particular record(s) requested toenable naval personnel to locate oridentify the particular record(s) de-sired with a reasonable amount of ef-fort.

(3) Contain a clear statement of therequester’s willingness to pay all feesor those up to a specified amount if thefees are expected to exceed the mini-mum fee waiver threshold, or providesatisfactory evidence that he or she isentitled to a waiver or reduction ofsuch fees.

(b) Identification of addressees. To ex-pedite processing of requests, request-ers should submit written requests di-rectly to the naval activity having cog-nizance over the records and clearlyshow all addressees within the Depart-ment of the Navy, Department of De-fense, or other Federal agency to whomthat or a similar request was also sent.That procedure will reduce processingtime requirements and ensure betterinter and intra-agency coordination.Naval activities are under no obliga-tion to establish procedures to receivehand delivered requests.

(c) Reasonably describe the record(s)being sought. Identification of therecord being sought is the responsibil-ity of the requester. The requestermust provide a description of the docu-

ment that enables the Government tolocate the record with a reasonableamount of effort. FOIA does not au-thorize ‘‘fishing expeditions.’’ If a re-quest does not contain a reasonable de-scription, the naval activity shall ad-vise the requester of the defect andwhen possible assist the requester inreframing the request. Naval activitiesare not obligated to act on the requestuntil the requester responds with morespecificity. When practical, naval ac-tivities shall assist the requester inidentifying the records sought and inreformulating the request to reducethe burden on the agency in complyingwith FOIA.

(1) The following guidelines are pro-vided for ‘‘fishing expedition’’ requestsand are based on the principle of rea-sonable effort. Descriptive informationabout a record may be divided into twobroad categories—file related andevent related. File related includes in-formation on the type of record (e.g.,memorandum, letter, etc.), title, indexcitation, subject area, date the recordwas created, and originator. Event re-lated includes the circumstances re-sulting in the record’s creation or dateand circumstances surrounding theevent the record covers.

(2) Generally, a record is reasonablydescribed when the description con-tains sufficient file related informationto permit an organized non-randomsearch of the activity’s filing arrange-ments and existing retrieval systems,or when the record contains sufficientevent related information needed toconduct such a search.

(3) The following guidelines deal withrequests for personal records. Ordi-narily, when personal identifiers areprovided only in connection with a re-quest for records concerning the re-quester, only records retrievable bypersonal identifiers need be searched.Search for such records may be con-ducted under PA procedures (see sub-part F of this part). No record may bedenied that is releasable under FOIA.

(4) The previous guidelines notwith-standing, the decision of a naval activ-ity concerning reasonableness of de-scription must be based on knowledgeof its files. If the description enablesnaval personnel to locate the recordwith reasonable effort, the description


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32 CFR Ch. VI (7–1–98 Edition)§ 701.7

is adequate. However, if a naval activ-ity receives a request not ‘‘reasonablydescribed’’ it shall notify the requesterof the defect and provide guidance onspecificity required to begin a search.

(d) Fees. (1) Fees may not be used todiscourage requesters. If fees are ex-pected to exceed the minimum feewaiver threshold of $15.00, the re-quester is required to address fees inthe request, i.e., a willingness to payall fees or those up to a specifiedamount, or request a waiver/reductionof fees.

(2) To assist naval activities in deter-mining assessable fees, requesters areencouraged to identify the fee categoryfor which they wish to be considered. Ifthe requester believes he/she qualifiesfor a waiver/reduction of fees, request-ers are required to provide specific jus-tification regarding qualification for awaiver so that decision can be ren-dered. See Subpart D of this Part 701for further information on fees.

(e) Treatment of requests which do notmeet the minimum requirements. (1) Inthose instances when a request doesnot meet the minimum requirements,naval activities should nonetheless re-turn the requests within 10 workingdays and advise the requester of how toperfect the request. Naval activitiesmay contact the requester by tele-phone to refine the request. For exam-ple, if a requester has failed to ‘‘reason-ably describe’’ the records beingsought, he/she may be asked to provideidentifying data such as location, time-frame, originator, background informa-tion, etc., to enable a search. If the re-quester has failed to mention fees andfees are applicable, the requestershould be provided an estimate of thecost involved in processing the request.When practicable, naval activities areencouraged to contact requesters toclarify what they are seeking.

(2) If a request fails to qualify withinthis instruction but the requestedrecord is available and releasable in itsentirety, the responding official mayprovide a copy of the record if he or shedetermines it to be in the best interestof the activity. This provision is withinthe sole and exclusive discretion of theresponsible official of the activity con-cerned and does not create an excep-

tion to or grounds for waiver of theminimum requirements.

§ 701.7 Procedures for processingFOIA requests.

(a) Control system. All requests forrecords which cite or imply the FOIAmust be entered into a formal controlsystem, either manual or computer-ized, that is designed to track the re-quest from receipt to response. Infor-mation contained in the tracking sys-tem should at a minimum include thename of the requester, the date of therequest, the date the request was re-ceived, suspense date, and the date theresponse was made. This will ensurethat the requester is apprised of thestatus of his/her request within 10working days and will provide requiredinformation should the requester chal-lenge the processing of his/her request.

(1) Receipt controls. At a minimum,date stamp the request upon receipt,establish a suspense control record andfollow-up procedures, and conspicu-ously stamp or label the request‘‘FREEDOM OF INFORMATION ACTREQUEST’’ to indicate priority han-dling throughout processing. Naval ac-tivities are encouraged to assign aFOIA Case Number for each requestand to apprise the requester of thenumber assigned. This number is an ef-fective tool for tracking, filing, and re-trieving the request.

(2) Forwarding controls. As a rule, re-quests forwarded to another activityfor action should have the letter of re-ferral and envelope conspicuouslystamped or labeled ‘‘FREEDOM OF IN-FORMATION ACT REQUEST’’ and arecord shall be kept of the request, andthe date and activity to which it wasforwarded.

(b) Time limits. Once a request hasbeen received by a naval activity hav-ing cognizance over the requestedrecord(s), that activity has 10 workingdays (excluding Saturdays, Sundays,and legal holidays) to issue a letterwhich advises the requester of the ac-tion to be taken on the request (i.e.,documents are denied; documents arereleased; documents will be releasedwithin a specific timeframe). If a navalactivity is unable to comply with therequest within the 10 working daytimeframe, then a formal or informal


49


time extension must be pursued and aletter forwarded to the requester advis-ing of the extension.

(1) A formal time extension letter isissued in those instances where an ac-tivity requires up to an additional 10working days to respond to a requestbecause of the need to:

(i) Search. The need to search for andcollect records located in whole or partat places separate from the activityprocessing the request;

(ii) Examine. The need to search for,collect, and examine a substantialnumber of records responsive to a re-quest; or,

(iii) Consult. The need to consult withanother naval activity or federal agen-cy with a substantial interest in thedetermination of the request.

(2) A formal time extension responsemust be issued by the IDA within 10working days of receipt of the request,describe the circumstance(s) for thedelay, and indicate the anticipateddate for a substantive response.

(3) In those instances where it ap-pears the request might be ultimatelydenied, in whole or in part, the appel-late authority (i.e., NJAG or OGC) maybe consulted by expeditious meansprior to authorizing a formal exten-sion.

(4) In those instances when it is an-ticipated the normal statutory timelimits (including the statutory timeextension) are insufficient to provide aresponse, the IDA shall acknowledgethe request in writing prior to the expi-ration of the normal statutory timelimits (including the statutory timeextension), describe the cir-cumstance(s) requiring the delay andindicate the anticipated date for thesubstantive response. The requestershall be advised that an appeal may bemade to the cognizant appellate au-thority within 60 calendar days orawait a substantive determination by aspecified date. It shall be made clearthat such an agreement does not preju-dice the right of the requester to ap-peal an adverse substantive determina-tion.

(5) In those unusual cases where thestatutory time limits cannot be metand no informal extension has beenagreed to, the inability to process anypart of the request within the specified

time should be explained to the re-quester, with notification that thedelay may be treated as an initial de-nial with a right to appeal, or that therequester may agree to await a sub-stantive response by an anticipateddate. It should be made clear that anysuch agreement does not prejudice theright of the requester to appeal the ini-tial decision after it is made. Further,naval activities should be advised thatthe requester still retains the right totreat this delay as a defacto denialwith full administrative remedies.

(6) Informal extension of time lim-its—a recommended alternative is tonegotiate an informal extension oftime with the requester. The advan-tages include the ability to agree on amutually acceptable date to respondthat exceeds 10 working days, and theletter of confirmation does not requirethe signature of an IDA. Additionally,it does not impact on the additionaldays the appellate authority may takewhen responding to an appeal.

(c) Decision to release records. Releaseauthorities may release records undertheir cognizance which do not qualifyfor denial under FOIA exemptions.Such responses should be made withinthe applicable time limits of FOIA andshould be processed as follows:

(1) If the requested records are releas-able in their entirety, release authori-ties should forward the records to therequester and advise of any applicablefees.

(2) If the requested records are releas-able in their entirety but not yet avail-able, the release authority should no-tify the requester the request has beenapproved and the requested records willbe forwarded by a specified date.

(3) If the request for examination ofrecords is approved, notify the re-quester of the time and place.

(d) Processing documents originated by/created for another activity. (1) If an offi-cial receives a request for records thathe or she holds, but which were origi-nated by another naval activity, the of-ficial shall normally coordinate withthat activity prior to referring theFOIA request and copies of the re-quested documents to the originatorfor direct response. The naval activitythat initially received the request isresponsible for notifying the requester


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32 CFR Ch. VI (7–1–98 Edition)§ 701.7

of the referral. The originating navalactivity shall not release or deny suchrecords without prior consultationwith the referring naval activity.

(2) If an official receives a request forrecords that he or she holds, but werecreated for another naval activity orgovernment agency, the official shallrefer the FOIA request and copies ofthe requested documents to that activ-ity/agency for direct response, after co-ordination and concurrence. The activ-ity/agency may have an equally validinterest in withholding the record asthe naval activity that created it. Insuch referrals, the naval activityshould provide a recommendation con-cerning release with the referral. Thenaval activity that initially receivedthe request is responsible for notifyingthe requester of the referral.

(e) Processing misdirected requests. Re-questers are not always aware of thecorrect activity to address a FOIA re-quest.

(1) A request received by a naval ac-tivity having no records responsive tothe request shall only be referred toanother naval activity if the activitycontacts the naval activity and con-firms its cognizance over the requestedinformation. When a member of thepublic complies with the procedures es-tablished in this instruction for obtain-ing records, the request shall receiveprompt attention and a reply dis-patched within 10 working days, unlessa delay is authorized. Each naval activ-ity is responsible for developing proce-dures to ensure the expeditious han-dling, prompt retrieval, and review ofrequested records. The 10 working daytime limit commences upon receipt ofthe request by the cognizant activity.

(2) If the cognizant official is unableto respond to the requester within thestatutory time limit, he or she mayseek a formal or informal extension oftime.

(3) If a naval activity has a signifi-cant number of requests (e.g., 10 ormore), the requests generally will beprocessed in order of receipt. But anaval activity may commence actionon an easily answered request, regard-less of its ranking within the order ofreceipt.

(f) Decision to deny records in whole orin part. To deny a requested record that

is in the possession and control of theDepartment of the Navy, it must be de-termined that the record is included inone or more of the nine categories ofrecords exempt from mandatory disclo-sure as provided by the FOIA and ad-dressed at subpart B of this part.

(1) Because release authorities can-not deny information, they must for-ward responsive documents along withtheir release determination to an IDAfor consideration and response to therequester. In those instances, the re-lease authority will apprise the re-quester that his/her request and re-sponsive documents were referred tothe activity having cognizance over thedocuments for a release determinationand direct response to the requester.The referral to an IDA shall include acopy of the request, documents respon-sive to the request, recommendation onpartial/total denial, and supporting ra-tionale for the exemption(s) claimed.

(2) When an IDA receives a referralfrom a subordinate activity rec-ommending a FOIA request be deniedin whole or in part, or receives a FOIArequest for documents under his/hercognizance, the IDA shall take one ofthe following actions within 10 workingdays:

(i) Deny or release the requested in-formation. If an IDA determines therecord contains information which isnot releasable under FOIA, and any re-leasable information contained in therecord is not reasonably segregablefrom the non-releasable information,notify the requester of the exemp-tion(s) claimed and provide proceduresto be followed should the requester de-cide to appeal the determination to ap-pellate authority.

(ii) If unable to respond within theapplicable time limits, explain the rea-son(s) for the delay to the requester,with notification that he or she maytreat this delay as an initial denialwith a right to submit an administra-tive appeal to the cognizant appellateauthority, or that the requester mayagree to await a substantive deter-mination by a specified date. It shall bemade clear that any such agreementdoes not prejudice the right of the re-quester to appeal an adverse sub-stantive determination.


51


(iii) If an IDA determines that the re-quester’s claimed entitlement to waiv-er/reduction of fees is not warranted,IDAs shall notify the requester of suchdetermination, provide the reason(s)for the denial, and advise the requesterof the right to appeal the determina-tion to the cognizant appellate author-ity within 60 calendar days. If the re-quester appeals the denial to waive/re-duce fees, the release of the recordsmay be withheld until the fee is paid orthe appellate authority grants a waiv-er/reduction of fees.

(3) IDAs are responsible for maintain-ing copies of initial denials in a formsuitable for rapid retrieval, periodicstatistical compilation, and manage-ment evaluation.

(g) Excising documents—(1) Classifieddocuments. Since FOIA requires that allreasonably segregable portions of docu-ments be released to the requester,there will be instances when portionsof documents which contain classifiedmarkings are subject to release. Inthese instances, naval activities shallcross through the classified markingsthat appear at the top and bottom ofthe document and cross through anyclassified paragraph markings that arebeing released. This practice is nec-essary to eliminate any appearancethat a ‘‘classified’’ document was re-leased.

(2) Unclassified documents. Naval ac-tivities are encouraged to ‘‘blank out’’and bracket the denied informationand annotate the exemption(s)claimed. This practice will permit therequester to easily identify informa-tion being withheld and the basis forwithholding.

(h) ‘‘Other Reasons’’ for not releasing arecord. Besides denying a records inwhole or in part, there are six ‘‘otherreasons’’ for not releasing a record. Inmost instances, these ‘‘other reason’’responses do not constitute a denial ofinformation and therefore do not re-quire the signature of an IDA. Theyare:

(1) Transferred request. Requester ad-vised that his/her request and/ or re-quested documents have been trans-ferred to another naval activity or fed-eral agency having cognizance over therequested information for action anddirect response.

(2) Lack of records. Requester advisedthat a search of files held by the navalactivity has resulted in a failure to lo-cate any responsive records. Such re-sponse now requires that a requester beadvised of his/her right to appeal theadequacy of the search to the cog-nizant appellate authority. The re-sponse does not normally require thesignature of an IDA.

(3) Failure of requester to reasonablydescribe records being sought. Requesteradvised that his/her request requiresspecificity with regard to descriptionof the records being sought to enablethe naval activity to conduct a reason-able search. Such responses generallyapprise the requester of the kind ofspecificity required.

(4) Other failures by requester to complywith published rules and/or directives. Re-quester advised that he/she has failedto comply with established rules/direc-tives, such as failure to agree to payfees, and therefore the request is beingreturned for refinement.

(5) Withdrawal. Requester contactedthe naval activity by telephone or let-ter and advised he/she wishes to cancelthe request or appeal.

(6) Not an agency record. Requesteradvised the information/records he/sheseeks is not an agency record as de-fined by § 701.3 of Subpart A.

(i) Consultation/coordination. The De-partment of the Navy processes thou-sands of FOIA requests annually. Be-cause there is no central repository forrecords and no central release/denialauthority, proposed responses shall beproperly coordinated and appropriateofficials consulted prior to a responsebeing made to the requester. Specifi-cally:

(1) Naval activities and federal agen-cies with a substantial interest in thesubject matter of the requested recordsshould be consulted prior to release ordenial of information.

(2) Public affairs officers or the Chiefof Information (CHINFO) should beconsulted when a FOIA request is re-ceived from a news media representa-tive, the records requested are consid-ered newsworthy, or a denial of a re-quest is expected to be publicly chal-lenged. CHINFO should be promptlynotified of any release having evidentpublic affairs implications and a copy


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32 CFR Ch. VI (7–1–98 Edition)§ 701.8

of the request and response should beprovided.

(3) The appropriate JAG attorney orfield counsel should be consulted onthe interpretation and application ofthis instruction where a denial of a re-quest is expected to be judicially chal-lenged.

(j) Response to the requester. (1) Initialdeterminations to release or deny arecord normally shall be made and thedecision reported to the requesterwithin 10 working days after receipt ofthe request by the official designatedto respond. When the time for responsebecomes an issue, the official respon-sible for replying shall acknowledge tothe requester the date of the receipt ofthe request.

(2) When a decision is made to releasea record, a copy should be made avail-able promptly to the requester once heor she has complied with preliminaryprocedural requirements.

(3) When a request for a record is de-nied in whole or in part, the officialdesignated to respond shall inform therequester in writing of the IDA’s name,rank, and title, shall cite the specificexemption(s) that apply in sufficientdetail, and provide the requester withthe name and address of the appellateauthority, should the requester desireto file an appeal. When claiming ex-emption ‘‘(b)(1),’’ IDAs shall to the ex-tent reasonably feasible, provide therequester with a summary of the appli-cable criteria for classification. Addi-tionally, the marking ‘‘For Official UseOnly’’ on a requested document doesnot constitute a basis for denial. Rath-er, it alerts the reviewer that the docu-ment may contain information whichis protectible under exemptions (b)(2)through (b)(9). It is up to the reviewingofficial to advise the requester of theapplicable exemptions and to releaseall ‘‘reasonably segregable’’ informa-tion.

(k) Fees. The final response to the re-quester should contain information onthe fee status of the request. Gen-erally, information shall reflect one ormore of the following conditions:

(1) ‘‘The fees for processing your re-quest total $ . Please forward yourcheck or money order made payable tothe Treasurer of the United States tothis office within 30 days.’’ Subpart D

of this part addresses when fees may becollected in advance of forwarding thedocuments.

(2) All fees have been received.(3) Fees have been waived because

they fall below the automatic fee waiv-er threshold.

(4) A request for waiver/reduction offees has been denied.

(5) Fees have been waived or reducedfrom a specified amount to anotherspecified amount because the rationaleprovided in support of a request forwaiver has been accepted.

(6) Fees due in a specified amounthave not been received (see subpart Dof this part for specific information onFOIA fees and fee rates for technicaldata).

§ 701.8 Records requiring special han-dling.

The following actions shall be takenon requests for:

(a) Classified records. (1) If a naval ac-tivity receives a request for informa-tion whose existence or nonexistence isitself classifiable under ExecutiveOrder 12356, 50 U.S.C. 401, the naval ac-tivity shall refuse to confirm or denythe existence or nonexistence of the re-quested information.

(2) If a naval activity receives a re-quest for documents in its custody thatwere classified by another agency, orwhich contains information classifiedby another agency, it shall refer the re-quest and copies of the requested docu-ments to the originating agency forprocessing, and may, after consultationwith the originating agency inform therequester of the referral. Referredrecords shall be identified consistentwith security requirements. In caseswhere the originating agency deter-mines they can neither confirm nordeny the existence or nonexistence ofthe requested information, the refer-ring agency shall deny the request.

(3) If a naval activity receives a re-quest for classified records or informa-tion originated by another naval activ-ity, for which the head of the activityis not the classifying authority underOPNAV Instruction 5520.1 series, ‘‘De-partment of the Navy Information and


53


Personnel Security Program Regula-tion,’’ the request, copies of the re-quested documents, and a recommenda-tion concerning release (if appropriate)shall promptly be readdressed and for-warded to the official having classifica-tion authority for the subject matter.That official will make a release deter-mination concerning the classified in-formation and notify the requester, orthe activity originally receiving the re-quest, in 10 working days of that deter-mination. The naval activity that ini-tially received the request has respon-sibility for notifying the requester ofthe referral. Referred records shallonly be identified to the extent consist-ent with security requirements.

(b) Naval Investigative Service (NIS)/Naval Criminal Investigative Service(NCIS) reports. The Director, NavalCriminal Investigative Service, is therelease/denial authority for all NIS/NCIS reports. Accordingly, a requestfor a NIS/NCIS report shall be prompt-ly readdressed to NCIS and the re-quester notified of the referral. Directliaison with NCIS prior to the referralis encouraged.

(c) Naval Inspector General reports. (1)The Naval Inspector General(NAVINSGEN) is the release/denial au-thority for all investigations and in-spections conducted by or at the direc-tion of NAVINSGEN and for anyrecords held by any command that re-late to Navy hotline complaints thathave been referred to the NAVINSGEN.Accordingly, such requests shall bepromptly readdressed and forwarded toNAVINSGEN and the requester noti-fied of the referral. Requests for localcommand Inspector General reportswhich have not been referred to theNAVINSGEN may be released by thelocal command.

(2) The Deputy Naval Inspector Gen-eral for Marine Corps Matters(DNIGMC) is the release authority forall investigations conducted by theDNIGMC. Requests for local MarineCorps command Inspector General re-ports shall be coordinated with theDNIGMC.

(d) Manual of the Judge Advocate Gen-eral (JAGMAN) investigative reports andcourts-martial records. NJAG is the re-lease/denial authority for all JAGMANinvestigative reports and courts-mar-

tial records. Requests for JAGMAN in-vestigative reports and courts-martialrecords shall be promptly readdressedand forwarded to NJAG and the re-quester notified of the referral.

(e) Mishap Investigation Reports(MIRs). The Commander, Naval SafetyCenter (COMNAVSAFECEN) is the re-lease/denial authority for all requestsfor mishap investigation reports. Re-quests for mishap investigation reportsshall be promptly readdressed and for-warded to COMNAVSAFECEN and therequester notified of the referral.

(f) Naval Audit Service reports. TheAuditor General of the Navy is the re-lease/denial authority for all NavalAudit Service reports. Requests foraudit reports shall be promptly re-addressed and forwarded to the AuditorGeneral and the requester notified ofthe referral.

(g) Technical documents controlled bydistribution statements. A request for atechnical document to which ‘‘Dis-tribution Statement B, C, D, E, F, orX’’ (see OPNAVINST 5510.1 series) is af-fixed shall be promptly readdressed andforwarded to the ‘‘controlling DOD of-fice’’ for review and release determina-tion. The naval activity that initiallyreceived the request is responsible fornotifying the requester of the referral.Direct liaison with the cognizant offi-cial prior to referral is encouraged.

(h) Records originated by other govern-ment agencies. When a request forrecords originated by an agency out-side the Department of the Navy is re-ceived, promptly readdress and forwardthe request along with copies of the re-quested documents to the cognizantagency and notify the requester of thereferral. That may be accomplished bysending a copy of the referral letter,less attachments, to the requester. The10 working day time limit begins whenthe request is received by the cog-nizant agency. If additional guidance isrequired, contact CNO (N09B30) or CMC(ARAD), as appropriate. Direct liaisonwith the cognizant agency is encour-aged to ensure expeditious handling ofthe request.

(i) National Security Council (NSC)/White House Documents. The Director,NSC is the release/denial authority forNSC documents or White House files.Requesters seeking NSC or White


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32 CFR Ch. VI (7–1–98 Edition)§ 701.8

House documents should be notified towrite directly to the NSC or WhiteHouse for such documents. Departmentof the Navy documents in which NSCor the White House has a concurrentreviewing interest shall be forwardedto the Office of the Assistant Secretaryof Defense (Public Affairs) (OASD(PA)),ATTN: Directorate for Freedom of In-formation and Security Review(DFOISR), which shall effect coordina-tion with the NSC or White House, andreturn the documents to the originat-ing activity after review and a releasedetermination is made. NSC or WhiteHouse documents discovered in a navalactivity’s files which are responsive toa FOIA request shall be forwarded tothe Director, Freedom of Informationand Security Review, OASD(PA), forsubsequent coordination with the NSCor White House and returned to thenaval activity for a release determina-tion. Additionally, in such instances aninformation copy should be provided toCNO (N09B30).

(j) Naval Telecommunications Proce-dures (NTP) publications. The Com-mander, Naval Computer and Tele-communications Command(COMNAVCOMTELCOM) is the release/denial authority for NTP publications.Requests for NTP publications shall bepromptly readdressed and forwarded toCOMNAVCOMTELCOM and the re-quester notified of the referral. Directliaison with COMNAVCOMTELCOMprior to referral is encouraged.

(k) Naval Nuclear Propulsion Informa-tion (NNPI). The Director, Naval Nu-clear Propulsion Program (N00N/NAVSEA 08) is the release/denial au-thority for all information concerningNNPI. Naval activities receiving suchrequests are responsible for searchingtheir files for responsive records. If nodocuments are located, the naval activ-ity should respond to the requester andprovide N00N with a copy of the re-quest and response. If documents arelocated, the request, responsiverecords, and a recommendation regard-ing release should be promptly re-addressed to the CNO (N00N/NAVSEA08), who will ensure proper coordina-tion and review.

(l) Medical quality assurance docu-ments. The Chief, Bureau of Medicineand Surgery (BUMED) is the release/de-

nial authority for all naval medicalquality assurance documents as definedby Title 10, United States Code, Sec-tion 1102. Requests for medical qualityassurance shall be promptly re-addressed and forwarded to BUMEDand the requester notified of the refer-ral.

(m) Records of a non-U.S. Governmentsource. (1) When a request is receivedfor a record that was obtained from anon-U.S. Government source, or for arecord containing information clearlyidentified as provided by a non-U.S.Government source, the source of therecord or information (known as ‘‘thesubmitter’’ for proprietary data underFOIA exemption (b)(4)) shall bepromptly notified of the request and af-forded reasonable time (e.g., 30 cal-endar days) to present any objectionsconcerning release, unless it is clearthat there can be no valid basis for ob-jection. That practice is required forFOIA requests for data not deemedclearly exempt from disclosure underexemption (b)(4). If, for example, therecord or information was providedwith actual or presumptive knowledgeof the non-U.S. Government source andestablished that it would be madeavailable to the public upon request,there is no obligation to notify thesource. Any objections shall be evalu-ated. The final decision to disclose in-formation claimed to be exempt underexemption (b)(4) shall be made by anofficial equivalent in rank to the offi-cial who would make the decision towithhold that information under FOIA.When a substantial issue has beenraised, the naval activity may seek ad-ditional information from the source ofthe information and afford the sourceand requester reasonable opportunitiesto present their arguments on legaland substantive issues prior to makingan agency determination. When thesource advises he or she will seek a re-straining order or take court action toprevent release of the record or infor-mation, the requester shall be notifiedand action on the request normallyshall not be taken until after the out-come of that court action is known.When the requester brings court actionto compel disclosure, the submittershall be promptly notified of this ac-tion.


55


(2) The coordination provisions ofthis paragraph also apply to any non-U.S. Government record in the posses-sion and control of the Department ofthe Navy from multinational organiza-tions, such as the North Atlantic Trea-ty Organization (NATO) and NorthAmerican Air Defense (NORAD), or for-eign governments. Coordination withforeign governments will be madethrough the Department of State.

(n) Government Accounting Office(GAO) documents. On occasion, the De-partment of the Navy receives FOIA re-quests for GAO documents containingDepartment of the Navy information,either directly from requesters, or asreferrals from the GAO. Since the GAOis outside the Executive Branch andtherefore not subject to FOIA, all FOIArequests for GAO documents contain-ing Department of the Navy informa-tion will be processed by the Depart-ment of the Navy. In those instanceswhen a requester seeks a copy of an un-classified GAO report, naval activitiesmay apprise the requester of its avail-ability from the Director, GAO Dis-tribution Center, ATTN: DHISF, P.O.Box 6015, Gaithersburg, MD 20877-1450under their cash sales program.

(o) Mailing lists. Frequent FOIA re-quests are received for mailing lists ofthe home addresses and/or duty stationaddresses of naval personnel.

(1) A list of home addresses is not re-leasable without the individuals’ con-sent because it is a clearly unwar-ranted invasion of the individuals’ per-sonal privacy, and therefore, may bewithheld from disclosure under 5 U.S.C.552(b)(6), see subpart B of this part.

(2) Unclassified information aboutservice members may be withheld whendisclosure ‘‘would constitute a clearlyunwarranted invasion of personal pri-vacy’’ under FOIA (exemption (b)(6) ap-plies). Disclosure of lists of names andduty addresses or duty telephone num-bers of members assigned to units thatare stationed in foreign territories,routinely deployable, or sensitive, con-stitutes a clearly unwarranted invasionof personal privacy. Disclosure of suchinformation poses a security threat tothose service members because it re-veals information about their degree ofinvolvement in military actions in sup-port of national policy, the type of

naval unit to which they are attached,and their presence or absence fromtheir households. Release of such infor-mation aids the targeting of servicemembers and their families by terror-ists or other persons opposed to imple-mentation of national policy. Only anextraordinary public interest in disclo-sure of this information can outweighthe need and responsibility of the Navyto protect the tranquility and safety ofservice members and their familieswho repeatedly have been subjected toharassment, threats, and physical in-jury. Units covered by this policy are:

(i) Those units located outside the 50states, District of Columbia, Common-wealth of Puerto Rico, Guam, U.S. Vir-gin Islands, and American Samoa.

(ii) Routinely deployable units.Those units that normally deploy fromhomeport or permanent station on aperiodic or rotating basis to meet oper-ational requirements or participate inscheduled exercises. This includes rou-tinely deployable ships, aviationsquadrons, operational staffs, and allunits of the Fleet Marine Force (FMF).Routinely deployable units do not in-clude ships undergoing extensive yardwork or whose primary mission is sup-port of training, e.g., yard craft andauxiliary aircraft landing trainingships.

(iii) Units engaged in sensitive oper-ations. Those units primarily involvedin training for or conduct of covert,clandestine, or classified missions, in-cluding units primarily involved in col-lecting, handling, disposing, or storingof classified information and materials.This also includes units engaged intraining or advising foreign personnel.Examples of units covered by this ex-emption are nuclear power training fa-cilities, SEAL Teams, Security GroupCommands, Weapons Stations, andCommunication Stations.

(3) Except as otherwise provided, listscontaining names and duty addressesof DOD personnel, both military and ci-vilian, who are assigned to units in theContinental United States (CONUS)and U.S. territories shall be releasedregardless of who has initiated the re-quest.

(4) Exceptions to this policy must becoordinated with the CNO (N09B30) or


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32 CFR Ch. VI (7–1–98 Edition)§ 701.9

CMC (ARAD) prior to responding to re-quests, including those from Membersof Congress. The foregoing policyshould be considered when weighingthe releasability of the address orphone number of a specifically namedindividual.


§ 701.9 For Official Use Only (FOUO).FOUO is a marking which is placed

on documents to alert the holder thatthey contain information that may bewithheld under exemptions (b)(2)through (b)(9) of the FOIA. BecauseFOUO is not a security classification,exemption (b)(1) does not apply.

(a) Prior FOUO application. The priorapplication of FOUO is not a conclusivebasis for withholding a record re-quested under FOIA. When such arecord is requested, it shall be evalu-ated to determine whether FOIA ex-emptions apply in withholding all orportions of the record. Informationwhich is reasonably segregable anddoes not fall under a FOIA exemp-tion(s) must be released to the re-quester.

(b) Historical papers. Records such asnotes, working papers, and drafts re-tained as historical evidence of Depart-ment of the Navy actions have no spe-cial status apart from FOIA exemp-tions.

(c) Time to mark records. The markingof records at the time of their creationprovides notice of FOUO content andfacilitates review when a record is re-quested under the FOIA. Records re-quested under FOIA that do not bearsuch markings, shall not be assumed tobe releasable without examination forthe presence of information that re-quires continued protection and quali-fies as exempt from public release.

(d) Distribution statement. Informationin a technical document that requires adistribution statement underOPNAVINST 5510.1 series, ‘‘Depart-ment of the Navy Information and Per-sonnel Security Program Regulation,’’shall bear that statement and may bemarked FOUO, as appropriate.

(e) Location of markings. (1) An un-classified document that containsFOUO information shall have FOR OF-FICIAL USE ONLY typed, stamped, or

printed in capital letters centered atthe bottom on the outside of the frontcover (if any), on each page containingFOUO information, and on the outsideof the back cover (if any).

(2) An unclassified directive that con-tains FOUO information shall haveFOR OFFICIAL USE ONLY typed,stamped, or printed in capital letterscentered at the bottom on the outsideof the front cover (if any), on each pageof the directive top and bottom, and onthe outside of the back cover (if any).

(3) Within a classified document, anindividual page that contains bothFOUO and classified information shallbe marked at the top and bottom withthe highest security classification ofinformation appearing on the page.

(4) Within a classified or unclassifieddocument, an individual page that con-tains FOUO information, but does notcontain classified information, shallhave FOR OFFICIAL USE ONLY typed,stamped, or printed in capital letterscentered at the top and bottom edge ofthe page.

(5) Other records, such as photo-graphs, films, cassette tapes, movies,or slides, shall be marked FOR OFFI-CIAL USE ONLY so that a recipient orviewer knows the status of the infor-mation.

(6) Unclassified automatic data proc-essing (ADP) media with FOUO infor-mation shall be marked as follows:

(i) An unclassified deck of punched oraperture cards with FOUO informationshall be marked as a single documentwith FOR OFFICIAL USE ONLYmarked on the face of the first and lastcard, and on the top of the deck.

(ii) An unclassified magnetic tape,cassette, or disk pack that containsFOUO information shall have FOR OF-FICIAL USE ONLY marked externallyon a removable label. The resultinghard copy report or computer printoutshall reflect the FOR OFFICIAL USEONLY marking on the top and bottomof each page. It may be accomplishedby using a programmable header ormarking the hard copy manually.

(7) FOUO material transmitted out-side the Department of the Navy re-quires an expanded marking to explainthe significance of the FOUO marking.This may be accomplished by typing orstamping the following statement on


57


the record prior to transfer: ‘‘This doc-ument contains information EXEMPTFROM MANDATORY DISCLOSUREunder the FOIA. Exemp-tion(s)...apply(ies).’’

(f) Release and transmission procedures.Until FOUO status is terminated, thefollowing release and transmission in-structions apply:

(1) FOUO information may be dis-seminated within Department of theNavy activities and between officials ofthe Department of the Navy and con-tractors and grantees who conduct offi-cial business for the Department of theNavy or Department of Defense. Re-cipients shall be made aware of the sta-tus of such information, and trans-mission shall be by means that pre-clude unauthorized public disclosure.Transmittal documents shall call at-tention to the presence of FOUO at-tachments.

(2) Department of the Navy holders ofFOUO information may convey suchinformation to officials in other de-partments or agencies of the executiveand judicial branches to fulfill a gov-ernmental function, subject to any lim-itations contained in the Privacy Act(PA) (see Subpart F of this Part 701),pertaining to disclosure of personal in-formation from PA record systems.When transmitting these records, en-sure they are marked FOR OFFICIALUSE ONLY, and the recipient is ad-vised the information has been exemptfrom public disclosure under FOIA andthat special handling instructions door do not apply. For purposes of dis-closing records, Department of Defenseis the ‘‘agency.’’

(3) Records released to Congress orthe GAO should be reviewed to see ifthe information warrants FOUO status.If not, prior FOUO markings shall beremoved. If the withholding criteriaare met, the records shall be markedFOUO and the recipient provided an ex-planation for such exemption andmarking. Alternatively, the recipientmay be requested, without marking therecord, to protect it against public dis-closure for reasons that are explained.

(4) Each part of electronically trans-mitted messages containing FOUO in-formation shall be marked appro-priately. Unclassified messages con-taining FOUO information shall con-

tain the abbreviation ‘‘FOUO’’ beforethe beginning of the text. Such mes-sages shall be transmitted per commu-nications security procedures in ACP-121 (United States Supplement 1,‘‘Communication Instructions’’) forFOUO information.

(g) Transporting FOUO information.Records which contain FOUO informa-tion shall be transported in a mannerthat precludes disclosure of contents. Ifnot commingled with classified infor-mation, FOUO information may besent via first-class mail or parcel post.Bulky shipments that otherwise qual-ify under postal regulations may besent fourth-class mail.

(h) Safeguarding FOUO information.(1) During normal working hours,records determined to be FOUO shallbe placed in an out-of-sight location ifthe work area is accessible to non-gov-ernmental personnel.

(2) At the close of business, FOUOrecords shall be stored to preclude un-authorized access. Filing such materialwith other unclassified records in un-locked files, desks, or similar contain-ers is adequate when U.S. Governmentor government contractor internalbuilding security is provided duringnon-duty hours. When internal securitycontrol is not exercised, locked build-ings or rooms normally provide ade-quate after-hours protection. If suchprotection is not considered adequate,FOUO material shall be stored inlocked receptacles, such as file cabi-nets, desks, or bookcases. FOUOrecords that are subject to the provi-sions of the PA (see Subpart F of thisPart 701) shall meet the safeguards forthat group of records as outlined in thePA systems notice.

(3) Guidance for safeguarding mediamarked FOUO and processed by anADP system, activity, or network isaddressed in OPNAVINST 5239.1 series,‘‘Department of the Navy AutomaticData Processing Security Program.’’

(i) Termination. The originator orother competent authority, such as anIDA or appellate authority, will termi-nate FOUO markings or status whenthe information no longer requires pro-tection from public disclosure. WhenFOUO status is terminated, all knownholders shall be notified as practical.Upon notification, holders shall remove


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32 CFR Ch. VI (7–1–98 Edition)§ 701.10

the FOUO markings. Records in file orstorage need not be retrieved solely forthat purpose.

(j) Disposal. (1) Non-record copies ofFOUO material (including hard copyreports and computer printouts) maybe destroyed by tearing each copy intopieces to preclude reconstructing, anddisposed in regular trash containers.When local circumstances or experi-ence indicates that this destructionmethod is insufficient, local authori-ties may direct other methods whileconsidering the additional expense bal-anced against the sensitivity of FOUOinformation in the records. FOUO in-formation on unclassified magneticstorage media shall be disposed of byoverwriting the media one time withany one character. Storage areas with-in an ADP system (internal memory,buffers, registers, and similar storageareas) may be cleared by using a hard-ware clear switch, a power-on resetcycle, or a program designated tooverwrite the storage area.

(2) Record copies of FOUO documentsshall be disposed of following the dis-posal standards established underSECNAVINST 5212.5C (Records Dis-posal Manual) for the particular kindof record.

(k) Unauthorized disclosure. The unau-thorized disclosure of FOUO recordsdoes not constitute an unauthorizeddisclosure of Department of the Navyinformation classified for security pur-poses. However, appropriate adminis-trative or disciplinary action shall betaken against those responsible. Unau-thorized disclosure of FOUO informa-tion that is protected by the PA mayresult in civil and criminal sanctionsagainst responsible person(s). Thenaval activity that originated theFOUO information shall be informed ofits unauthorized disclosure.


§ 701.10 FOIA appeals/judicial actions.(a) How to file an appeal. The follow-

ing guidelines should be followed by in-dividuals wishing to appeal a denial ofinformation, a request for waiver/re-duction of fees, or a ‘‘no record’’ re-sponse:

(1) The appeal must be received bythe cognizant appellate authority (i.e.,

NJAG or OGC) within 60 days of thedate of the response.

(2) The appeal letter must be in writ-ing and requesters should provide acopy of the IDA’s response when filinga written appeal to the Navy’s appel-late authorities (OGC or NJAG, de-pending on subject matter), regardingan IDA’s decision that a record is ex-empt in whole or in part or because anaval activity denied a request for awaiver/reduction of fees. The requestershould include a copy of the denial let-ter and provide supporting rationale onwhy the appeal should be granted. Therequester may appeal a ‘‘no records’’response if he/she believes an adequatesearch of files was not conducted.

(b) Time of receipt. The time limits forresponding to a FOIA appeal commencewhen the appeal reaches the office ofthe appellate authority having juris-diction over the record. Misdirected ap-peals should be referred expeditiouslyto the proper appellate authority.

(c) Appellate authorities.—(1) Respon-sibility and authority. NJAG and OGCare authorized to adjudicate appealsmade to the Secretary of the Navy(SECNAV) on denials of requests forcopies of Department of the Navyrecords or portions thereof, or refusalsto waive or reduce fees on matterswithin their respective areas of cog-nizance. That includes the authority torelease or withhold records, or portionsthereof, waive or reduce fees, and toact as required by SECNAV for appealsunder 5 U.S.C. 552 and subparts A, B, C,and D of this part. NJAG and OGC arefurther authorized to delegate this au-thority to a designated AssistantNJAG and the Principal Deputy OGC orDeputy General Counsel (Logistics), re-spectively, under such terms and condi-tions as they may deem appropriate.

(2) Respective areas of cognizance. Asdelineated in SECNAV Instructions5430.25D and 5430.27A (NOTAL), the re-spective areas of cognizance of NJAGand OGC for providing legal servicesfor the Department of the Navy are:

(i) NJAG. In addition to military law,all matters except those falling underthe cognizance of OGC.

(ii) OGC. Business and commerciallaw aspects of:

(A) Acquisition, custody, manage-ment, transportation, taxation, and


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disposition of real and personal prop-erty and the procurement of services,including the fiscal, budgetary, and ac-counting aspects thereof; excepting,however, tort claims and admiraltyclaims arising independently of con-tracts, and matters relating to thenaval petroleum reserves;

(B) Operations of the Military SealiftCommand, excepting tort and admi-ralty claims arising independently ofcontracts;

(C) Office of the Comptroller of theNavy;

(D) Naval Computer and Tele-communications Command;

(E) Patents, inventions, trademarks,copyrights, royalty payments, andsimilar matters;

(F) Procurement of foreign militarysales, co-production and cooperativeresearch and development and relatedagreements, NATO standardizationagreements, and matters relating tothe Arms Exports Control Act;

(G) Department of the Navy litiga-tion before the Armed Services Boardof Contract Appeals; and,

(H) Civilian personnel law matters onemploying present and former Navy ci-vilian employees; and

(I) Environmental matters.(d) Addresses for appeals. Appeals

should be addressed to the cognizantappellate authority. The addresses ofthe SECNAV’s designees are:

(1) Judge Advocate General, Navy De-partment, 200 Stovall Street, Alexan-dria, VA 22332-2400.

(2) General Counsel of the Navy, 2211Jefferson Davis Highway, Arlington,VA 22244–5103.

(e) Time limits for filing FOIA appeals.(1) The requester should file the appealso it reaches the appellate authoritynot later than 60 calendar days fromthe date of the initial denial letter. Atthe end of 60 calendar days, the casemay be considered closed; however, therequester may file litigation for denialof the appeal. If the requester was pro-vided several incremental determina-tions for a single request, the timelimit for filing the appeal begins whenthe requester receives the last re-sponse. Records which are denied shallbe retained for a period of six years tomeet the statute of limitations ofclaims requirement.

(2) Final determinations on appealsshall normally be made within 20 work-ing days after receipt.

(f) Delay in responding to a FOIA ap-peal. If additional time is needed due tounusual circumstances, the final deci-sion may be delayed for the number ofworking days (not to exceed 10), thatwere not utilized as additional time forresponding to the initial request. If adetermination cannot be made and therequester is notified within 20 workingdays, the appellate authority shall ac-knowledge to the requester in writingthe date of receipt of the appeal, cir-cumstances for the delay, and antici-pated date for substantive response.Requesters may be advised that if thedelay exceeds the statutory extensionor is for reasons other than ‘‘unusualcircumstances,’’ they may considertheir administrative remedies ex-hausted. Further, requesters should beadvised that they may wait for a sub-stantive response without prejudicingtheir right to judicial remedy. The ap-pellate authority shall continue toprocess the case expeditiously whetheror not the requester seeks a courtorder for release of the record(s). Acopy of any response provided subse-quent to filing of a complaint shall beforwarded to the Department of Jus-tice.

(g) Action upon receipt. Upon receiptof a FOIA appeal, NJAG or OGC shallinform the cognizant IDA of receipt ofthe appeal. The appellate authoritywill seek documentation from the IDAfrom which to make a determination.Normally, the IDA will be requested toforward a copy of the initial request, acopy of the response, a copy of excisedand unexcised documents, and support-ing rationale for continued withholding(if applicable) to the appellate author-ity within 10 working days.

(h) Consultation/coordination. (1) TheAssistant for Naval Investigative Mat-ters and Security (OP-09N) may be con-sulted to resolve inconsistencies or dis-putes involving classified records.

(2) Direct liaison with appropriate of-ficials within the Department of theNavy and other interested federal agen-cies is authorized at the discretion ofthe appellate authority, who also co-ordinates with appropriate Department


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32 CFR Ch. VI (7–1–98 Edition)§ 701.10

of Defense officials and Justice as pre-scribed by directives of the Secretaryof Defense (SECDEF).

(3) SECNAV or appropriate CivilianExecutive Assistants shall be consultedand kept advised of cases with unusualimplications. CHINFO shall be con-sulted and kept advised on cases hav-ing public affairs implications.

(i) Response to the requester. (1) Whenan appellate authority makes a deter-mination to release all or a portion ofrecords withheld by an IDA, a copy ofthe records released should be prompt-ly forwarded to the requester aftercompliance with any procedural re-quirements, such as payment of fees.

(2) Final denial to provide a re-quested record or to approve a requestto waive or reduce fees must be madein writing by the appellate authority.The response shall include the follow-ing:

(i) An explanation of the basis for thedenial including the applicable statu-tory exemption(s) invoked.

(ii) If the final denial is based inwhole or in part on a security classi-fication, the explanation shall includea determination that the record meetsthe cited criteria and rationale of thegoverning Executive Order, is based ona declassification review, and the re-view confirmed the continuing validityof the security classification.

(iii) The response shall advise the re-quester that the material denied doesnot contain reasonably segregable por-tions.

(iv) The response shall advise the re-quester of the right to judicial review.

(v) The final denial shall include thename and title of the official respon-sible for the denial.

(vi) An information copy, less attach-ments, should be provided to CNO(N09B30).

(j) Judicial actions. A requester mayseek an order from a U.S. DistrictCourt to compel release of a recordafter exhaustion of administrativeremedies, i.e., the IDA or appellate au-thority denied release or when a navalactivity failed to respond within theprescribed time limits.

(1) Burden of proof. The naval activityhas the burden of proof to justify itsrefusal to provide a record. The court

evaluates the case de novo (anew) andmay examine any requested record incamera (in private) to determinewhether the denial was justified.

(2) Actions by the court. (i) When anaval activity fails to make a deter-mination within the statutory timelimits but can demonstrate due dili-gence in exceptional circumstances,the court may retain jurisdiction andallow the naval activity additionaltime to complete its review of therecords.

(ii) If the court determines that therequester’s complaint is substantiallycorrect, it may require the UnitedStates to pay reasonable attorney feesand other litigation costs.

(iii) When the court orders the re-lease of denied records, it may alsoissue a written finding that the cir-cumstances surrounding the withhold-ing raise questions whether civilianpersonnel acted arbitrarily and capri-ciously. In these cases, the specialcounsel of the Merit Systems Protec-tion Board will conduct an investiga-tion to determine whether or not dis-ciplinary action is warranted. Thenaval activity is obligated to take theaction recommended by the specialcounsel.

(iv) When a naval activity fails tocomply with the court order to producerecords that have been withheld im-properly, the court may punish the re-sponsible official for contempt.

(3) Non-United States Governmentsource information. A requester maybring suit in a U.S. District Court tocompel the release of records obtainedfrom a non-government source orrecords based on information obtainedfrom a non-government source. Thesource shall be notified promptly of thecourt action. If the source advises thatit is seeking court action to prevent re-lease, the naval activity shall defer an-swering or otherwise pleading to thecomplaint as long as permitted by theCourt or until a decision is rendered inthe court action initiated by thesource, whichever is sooner.



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2 Copies may be obtained if needed, fromthe Commanding Officer, U.S. Naval Publica-tions and Forms Center, 5801 Tabor Avenue,Philadelphia, PA 19120-5099.

§ 701.11 Publication, indexing, andpublic inspection of certain classesof records.

Secretary of the Navy Instruction5720.452, ‘‘Indexing, Public Inspection,and Federal Register Publication ofDepartment of the Navy Directives andother Documents Affecting the Pub-lic,’’ assigns the heads of Departmentof the Navy components, Commandersof the Naval Systems Commands, andthe Military Sealift Command respon-sibilities for executing the followingadditional requirements on recordsunder their respective cognizance:

(a) Publication of certain classes ofDepartment of the Navy organiza-tional, regulatory, policy, procedural,interpretative, and substantive recordson a current basis in the FEDERAL REG-ISTER, for the guidance of the public.

(b) Maintenance of current indexes ofvarious classes of records which areprecedential for decisions affectingmembers of the public, and publicationof such indexes at least quarterly ormaking them available to the public byother authorized means.

(c) Making the above records and in-dexes regularly available for public in-spection and copying at naval loca-tions.

Subpart B—FOIA ExemptionGuidelines


EDITORIAL NOTE: At 56 FR 66586, 66590, Dec.24, 1991, §§701.21—701.32 (subparts B and C)were revised. Section 701.31 appears at bothsubpart B and subpart C. The Agency willpublish a correction in the FEDERAL REG-ISTER at a later date.

§ 701.21 General.

(a) The FOIA is a disclosure statutewhose goal is an informed citizenry.Because of this records are consideredto be releasable unless they contain in-formation that qualifies for withhold-ing under one or more of the nine FOIAexemptions. The exemptions are identi-

fied as 5 U.S.C. 552 number (b)(1)through (b)(9).

(b) Even though a document maycontain information which qualifies forwithholding under one or more FOIAexemptions, FOIA requires that all‘‘reasonably segregable’’ informationbe provided to the requester, unless thesegregated information would have nomeaning. In other words, redaction isnot required when it would reduce thebalance of the text to ‘‘unintelligiblegibberish.’’

(c) The decision to withhold informa-tion in whole or in part based on one ormore of the FOIA exemptions requiresthe signature of an Initial Denial Au-thority (IDA). See paragraph (e) of§ 701.5 for a listing of IDAs.

(d) The following types of recordsmay be withheld in whole or in partfrom public disclosure under FOIA, un-less otherwise prescribed by law. A dis-cretionary release to one requestermay preclude the withholding of thesame records under a FOIA exemptionif the record is subsequently requestedby someone else. In applying exemp-tions, the identity of the requester andthe purpose for which the record issought are irrelevant with the excep-tion that an exemption may not be in-voked where the particular interest tobe protected is the requester’s interest.

§ 701.22 Exemption (b)(1).Those properly and currently classi-

fied in the interest of national defenseor foreign policy, as specifically au-thorized under criteria established byExecutive Order (i.e., Executive Order12356) and implemented by regulations.Although material is not classified atthe time of the FOIA request, a classi-fication review may be undertaken todetermine whether the informationshould be classified. The procedures inOPNAVINST 5510.1H, ‘‘Department ofthe Navy Information and PersonnelSecurity Program Regulation’’ apply.In addition, this exemption shall be in-voked when the following situationsare apparent:

(a) The fact of the existence or non-existence of a record would itself re-veal classified information. In that sit-uation, naval activities shall neitherconfirm nor deny the existence or non-existence of the record being requested.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.23

A ‘‘refusal to neither confirm nordeny’’ response must be used consist-ently, not only when a record exists,but also when a record does not exist.Otherwise, the pattern of using a ‘‘norecord’’ response when a record doesnot exist, and a ‘‘refusal to neitherconfirm nor deny’’ when a record doesexist will itself disclose national secu-rity information. That kind of responseis referred to as a ‘‘Glomar’’ denial.

(b) Information that concerns one ormore of the classification categoriesestablished by Executive order andOPNAVINST 5510.1 series, ‘‘Depart-ment of the Navy Information and Per-sonnel Security Program Regulation,’’shall be classified if its unauthorizeddisclosure, either by itself or in thecontext of other information, reason-ably could be expected to cause damageto the national security.

§ 701.23 Procedures for processingclassified documents.

(a) The threshold for claiming ex-emption (b)(1) is that the document isproperly and currently classified. Be-cause of that, naval activities shouldnormally refer requests for classifieddocuments to the activity that origi-nally classified the information. If thereferring activity has an interest in thematter, they should also provide thereceiving activity with a release deter-mination. The receiving activity willthen conduct a declassification reviewand apprise the requester of their de-termination, i.e., documents are prop-erly and currently classified and there-fore must be denied; portions of thedocuments are releasable; etc. Only anofficial authorized under § 701.5 to denyrequests and who has cognizance overthe classified matters in the records,may deny records. Such denial must bebased on an approved security classi-fication guide issued underOPNAVINST 5510.1 series orOPNAVINST 5513 series; resource docu-ment originated by another naval ac-tivity or government agency; an origi-nal classification determination withwritten justification for classification,and the justification remains valid; or,not readily identifiable, but classifica-tion is believed warranted because ofclassification criteria in OPNAVINST5510.1 series, ‘‘Department of the Navy

Information and Personnel SecurityProgram.’’

(b) Material that is not classified atthe time of the FOIA request may un-dergo a classification review to deter-mine whether the information shouldbe classified (ensure strict compliancewith the provisions of OPNAVINST5510.1 series regarding classification ofinformation after receipt of a FOIA re-quest).

(c) Executive Order 12356 providesthat ‘‘information shall be classified aslong as required by national securityconsiderations, and time frame nolonger triggers automatic declassifica-tion.’’

(d) If the original classifier of arecord receives a request for the recordand upon review determines that thereis no basis for continued classification,either in whole or part, the record orportions of it should be declassified.The document also undergoes anotherreview to determine whether any otherFOIA exemptions apply to the declas-sified information.

(e) In some instances, the compila-tion of unclassified information mayresult in the classification of therecord as a whole. This is called the‘‘mosaic’’ approach—the concept thatapparently harmless pieces of informa-tion, when assembled together couldreveal a damaging picture.

§ 701.24 Exemption (b)(2).Those related solely to the internal

personnel rules and practices of anagency. This exemption has two pro-files, high (b)(2) and low (b)(2).

(a) Records qualifying under high(b)(2) are those containing or constitut-ing statutes, rules, orders, manuals, di-rectives, and instructions the release ofwhich would allow circumvention ofthe records thereby substantially hin-dering the effective performance of asignificant function of the Departmentof the Navy. Examples include:

(1) Those operating rules, guidelines,and manuals for Department of theNavy investigators, inspectors, audi-tors, or examiners that must remainprivileged in order for the naval activ-ity to fulfill a legal requirement.

(2) Personnel and other administra-tive matters, such as examinationquestions and answers used in training


63


courses or in the determination of thequalifications of candidates for em-ployment, entrance on duty, advance-ment, or promotion.

(3) Computer software, the release ofwhich would allow circumvention of astatute or Department of the Navyrules, regulations, orders, manuals, di-rectives, or instructions. In this situa-tion, the use of the software must beclosely examined to ensure the possi-bility of circumvention exists.

(4) Security classification guides.(b) Records qualifying under the low

(b)(2) profile are those that are trivialand housekeeping in nature for whichthere is no legitimate public interestor benefit to be gained by release, andit would constitute an administrativeburden to process the request in orderto disclose the records. Examples in-clude, rules of personnel’s use of park-ing facilities or regulation of lunchhours, statements of policy as to sickleave, and trivial administrative datasuch as file numbers, mail routingstamps, initials, data processing nota-tions, brief references to previous com-munication, and other like administra-tive markings.

§ 701.25 Exemption (b)(3).

Those concerning matters that astatute specifically exempts from dis-closure by terms that permit no discre-tion on the issue, or under criteria es-tablished by that statute for withhold-ing or referring to particular types ofmatters to be withheld. Authorizationor requirement may be found in thestatute itself or in Executive orders orregulations authorized by, or in imple-mentation of a statute. Examples in-clude:

(a) National Security Agency Infor-mation Exemption, Pub. L. 86-36, Sec-tion 6.

(b) Confidentiality of identity of em-ployee who complains to the IG (5U.S.C. App., Inspector General Act of1978, section 7).

(c) Ethics in Government Act of1978—Protecting Financial DisclosureReports of Special Government Em-ployees (5 U.S.C. App., Ethics in Gov-ernment Act of 1978, section 207(a) (1)and (2)).

(d) Civil Service Reform Act—Rep-resentation Rights and Duties, LaborUnions, 5 U.S.C. 7114(b)(4).

(e) Authority to Withhold Unclassi-fied Special Nuclear Weapons Informa-tion, 10 U.S.C. 128. This statute pro-hibits the unauthorized disseminationof unclassified information pertainingto security measures, including secu-rity plans, procedures, and equipmentfor the physical protection of specialnuclear material.

(f) Authority to Withhold Unclassi-fied Technical Data with Military orSpace Application, 10 U.S.C. 130.

(g) Action on Reports of SelectionBoards, 10 U.S.C. 618.

(h) Confidentiality of Medical Qual-ity Records: Qualified Immunity Par-ticipants, 10 U.S.C. 1102.

(i) Confidentiality of FinancialRecords, 12 U.S.C. 3403.

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

(k) Confidential Status of Patent Ap-plications, 35 U.S.C. 122.

(l) Secrecy of Certain Inventions andWithholding of Patents (specific appli-cable section(s) must be involved, 35U.S.C. 181 through 188.

(m) Confidentiality of Inventions In-formation, 35 U.S.C. 205.

(n) Procurement Integrity, 41 U.S.C.423.

(o) Confidentiality of PatientRecords, 42 U.S.C. 290dd–2.

(p) Information regarding Atomic En-ergy: Restricted and Formerly Re-stricted Data (Atomic Energy Act of1954), specific applicable exemptionsmust be invoked (e.g., 42 U.S.C. 2161through 2168).

(q) Protection of Intelligence Sourcesand Methods, 50 U.S.C. 403(d)(3).

(r) Protection of identities of US un-dercover intelligence officers, agents,informants and sources, 50 U.S.C. 421.

(s) Examples of statutes which DONOT qualify under exemption (b)(3) in-clude: 5 U.S.C. 552a, Privacy Act; 17U.S.C. 101 et seq., Copyright Act; 18U.S.C. 793, Gathering, Transmitting orLosing Defense Information to Aid For-eign Governments; 18 U.S.C. 1905, TradeSecrets Act; and 28 U.S.C. 1498, Patentand Copyright Cases.



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32 CFR Ch. VI (7–1–98 Edition)§ 701.26

§ 701.26 Exemption (b)(4).Those containing trade secrets or

commercial or financial informationthat a naval activity receives from aperson or organization outside the Gov-ernment with the understanding thatthe information or record will be re-tained on a privileged or confidentialbasis. Records within the exemptionmust contain trade secrets, or commer-cial or financial records, the disclosureof which is likely to cause substantialharm to the competitive position of thesource providing the information, im-pair the government’s ability to obtainnecessary information in the future, orimpair some other legitimate govern-ment interest. Examples include:

(a) Commercial or financial informa-tion received in confidence in connec-tion with loans, bids, contracts, or pro-posals, as well as other information re-ceived in confidence or privileged suchas trade secrets, inventions and discov-eries, or other proprietary data.

(b) Statistical data and commercialor financial information concerningcontract performance, income, profits,losses, and expenditures, if offered andreceived in confidence from a contrac-tor or potential contractor.

(c) Personal statements given in thecourse of inspections, investigations,or audits, when such statements are re-ceived in confidence from the individ-ual and retained in confidence becausethey reveal trade secrets or commer-cial or financial information normallyconsidered confidential or privileged.

(d) Financial data provided in con-fidence by private employers in con-nection with local wage surveys usedto fix and adjust pay schedules applica-ble to the prevailing wage rate for em-ployees within the Department of theNavy.

(e) Scientific and manufacturingprocesses or developments concerningtechnical or scientific data or other in-formation submitted with an applica-tion for a research grant, or with a re-port while research is in progress.

(f) Technical or scientific data devel-oped by a contractor or subcontractorexclusively at private expense, or de-veloped in part with federal funds andin part at private expense, where thecontractor or subcontractor retains alegitimate proprietary interest in the

data under 10 U.S.C. 2320-2321 and DODFederal Acquisition Regulation Sup-plement (DFARS), subpart 27.4. Tech-nical data developed exclusively withfederal funds may be withheld underexemption (b)(3) if it meets the criteriaof 10 U.S.C. 130.

(g) Computer software which is copy-righted under the Copyright Act of 1976(17 U.S.C. 106), the disclosure of whichwould have an adverse impact on thepotential market value of a copy-righted work.

Note: The status of unit prices inawarded in government contracts, oncea controversial issue, has become moresettled with recent court decisions.The courts have held that disclosure ofunit prices would not directly revealconfidential proprietary information,such as a company’s overhead, profitrates, or multiplier, and that the possi-bility of competitive harm was thustoo speculative.

§ 701.27 Exemption (b)(5).

Those records containing internal ad-vice, recommendations, and subjectiveevaluations, as contrasted with factualmatters, that are reflected in recordspertaining to the decision-makingprocess of an agency, whether betweenagencies or between Department of De-fense and Department of the Navy com-ponents, except as provided in § 701.27number (b) through (e). Also exemptedare records pertaining to the attorney-client privilege and the attorney work-product privilege.

(a) Examples include:(1) Nonfactual portions of staff pa-

pers, to include after-action reportsand situation reports containing staffevaluations, advice, opinions, or sug-gestions.

(2) Advice, suggestions, or evalua-tions prepared on behalf of Departmentof the Navy individual consultants orby boards, committees, councils,groups, panels, conferences, commis-sions, task forces, or other similargroups formed for the purpose of ob-taining advice and recommendations.

(3) Nonfactual portions of evalua-tions by Department of the Navy per-sonnel of contractors and their prod-ucts.


65


(4) Information of a speculative, ten-tative, or evaluative nature on pro-posed plans to procure, lease, or other-wise acquire and dispose of materials,real estate, facilities, or functions,when such information would provideundue or unfair competitive advantageto private personal interests or wouldimpede legitimate government func-tions.

(5) Trade secret or other confidentialresearch development, or commercialinformation owned by the Government,where premature release is likely to af-fect the Government’s negotiating po-sition or other commercial interests.

(6) Records that are exchangedamong agency personnel and betweenDepartment of the Navy, Departmentof Defense, or other agencies in prepa-ration for anticipated administrativeproceeding by an agency or litigationbefore any federal, state, or militarycourt, as well as records that qualifyfor the attorney-client privilege.

(7) Portions of official reports of in-spection, reports of the Inspector Gen-erals, audits, investigations, or surveyspertaining to safety, security, of theinternal management, administration,or operation of one or more naval ac-tivities, when these records have tradi-tionally been treated by courts as priv-ileged against disclosure in litigation.

(8) Computer software meeting thestandards of § 701.3(b)(3) which is delib-erative in nature, the disclosure ofwhich would inhibit or chill the deci-sion making process. In that situation,the use of software must be closely ex-amined to ensure its deliberative na-ture.

(9) Planning, programming, andbudgetary information which is in-volved in the defense planning and re-source allocation process.

(b) If any such intra- or interagencyrecord or reasonably segregable portionof such record would be made availableroutinely through the ‘‘discovery proc-ess’’ (the legal process by which liti-gants obtain information from eachother relevant to the issues in a trialor hearing) in the course of litigationwith Department of the Navy, suchrecord, should not be withheld eventhough discovery has not been soughtin actual litigation. If, the informationcould only be made available through

the discovery process by special orderof the court based on the needs of alitigant balanced against the interestsof the Department of the Navy inmaintaining its confidentiality, therecord or document need not be madeavailable under this instruction. Con-sult with legal counsel to determinewhether exemption (b)(5) materialwould be routinely made availablethrough the discovery process.

(c) Intra- or interagency memorandaor letters that are factual, or thosereasonably segregable portions that arefactual, are routinely availablethrough ‘‘discovery’’ and shall be madeavailable to a requester, unless the fac-tual material is otherwise exempt fromrelease, inextricably intertwined withthe exempt information, so fragmentedas to be uninformative, or so redundantof information already available to therequester as to provide no new sub-stantive information.

(d) A direction or order from a supe-rior to a subordinate contained in in-ternal communication cannot be with-held from a requester if it constitutespolicy guidance or a decision, as distin-guished from a discussion of prelimi-nary matters or a request for informa-tion or advice that would compromisethe decision-making process.

(e) An internal communication on adecision subsequently made a matter ofpublic record must be made availableto a requester when the rationale forthe decision is expressly adopted or in-corporated by reference in the recordcontaining the decision.

§ 701.28 Exemption (b)(6).

Information in personnel and medicalfiles, and similar files, that if disclosedto the requester would result in aclearly unwarranted invasion of per-sonal privacy. Release of informationabout an individual contained in a Pri-vacy Act (PA) system of records thatwould constitute a clearly unwarrantedinvasion of privacy is prohibited, andcould subject the releaser to civil andcriminal penalties.

(a) Examples of files other than per-sonnel and medical files containingsimilar personal information include:

(1) Those compiled to evaluate or ad-judicate the suitability of candidates


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32 CFR Ch. VI (7–1–98 Edition)§ 701.29

for civilian employment or member-ship in the Armed Forces, and the eli-gibility of individuals (civilian, mili-tary, or contractor employees) for se-curity clearances, or for access to par-ticularly sensitive classified informa-tion.

(2) Files containing reports, records,and other material pertaining to per-sonnel matters in which administrativeaction, including disciplinary action,may be taken.

(b) Home addresses are normally notreleasable without the consent of theindividuals concerned. In addition, listsof Department of the Navy militaryand civilian personnel’s names andduty addresses who are assigned tounits that are sensitive, routinelydeployable, or stationed in foreign ter-ritories can constitute a clearly unwar-ranted invasion of personal privacy.

(1) Privacy interest. A privacy inter-est may exist in personal informationeven though the information has beendisclosed at some place and time. Ifpersonal information is not freelyavailable from sources other than theFederal Government, a privacy interestexists in its nondisclosure. The factthat the Federal Government expendedfunds to prepare, index and maintainrecords on personal information, andthe fact that a requester invokes FOIAto obtain these records indicates theinformation is not freely available.

(2) Published telephone directories,organizational charts, rosters and simi-lar materials for personnel assigned tounits that are sensitive, routinelydeployable, or stationed in foreign ter-ritories are withholdable under exemp-tion (b)(6).

(c) This exemption is relevant to arequest for information that is inti-mate to an individual or that possiblycould have adverse effects upon thatindividual or his or her family if dis-closed. Subpart F of this Part 701 listsseveral examples of non-derogatory in-formation about the official characterof a naval member or employee thatcan routinely be disclosed to a memberof the public without constituting aclearly unwarranted invasion of per-sonal privacy of the individual con-cerned.

(d) Individuals’ personnel, medical,or similar files may be withheld from

them or their designated legal rep-resentative only to the extent consist-ent with PA.

(e) When determining whether a re-lease is ‘‘clearly unwarranted,’’ thepublic interest in release must be bal-anced against the sensitivity of the pri-vacy interest threatened. For example,lists of names and duty addresses ofDepartment of the Navy personnel (ci-vilian and military) assigned to unitsthat are sensitive, routinelydeployable, or stationed in foreign ter-ritories must be withheld because re-lease could aid in the targeting of De-partment of the Navy employees andtheir families by terrorists. See para-graph (p) of § 701.8 regarding requestsfor mailing lists.

(f) When withholding informationsolely to protect the personal privacyof the subject of the record, informa-tion should not be withheld from thatindividual or from his or her des-ignated representative. The personalprivacy of others discussed in thatrecord may constitute a basis for delet-ing reasonably segregable portions ofthe record even when providing it tothe subject of the record. This exemp-tion shall not be exercised in an at-tempt to protect the privacy of a de-ceased person but may be used to pro-tect the privacy of the deceased per-son’s family.

(g) Individual’s personnel, medical,or similar file may be withheld fromthem or their designated legal rep-resentative only as consistent withSECNAVINST 5211.5C, ‘‘Personal Pri-vacy and Rights of Individuals Regard-ing Records Pertaining to Them-selves.’’

(h) A clearly unwarranted invasion ofthe privacy of the persons identified ina personnel, medical, or similar recordmay constitute a basis for deletingthose reasonably segregable portions ofthat record, even when providing it tothe subject of the record. When with-holding personal information from thesubject of the record, legal counselshould first be consulted.

§ 701.29 Exemption (b)(7).

Records or information compiled forlaw enforcement purposes, (i.e., civil,criminal, or military law, including


67


the implementation of Executive or-ders or regulations issued pursuant tolaw). This exemption may be invokedto prevent disclosure of documents notoriginally created for, but later gath-ered for law enforcement purposes.

(a) This exemption applies, however,only to the extent that production ofsuch law enforcement records or infor-mation:

(1) Could reasonably be expected tointerfere with enforcement proceedings(5 U.S.C. 552(b)(7)(A));

(2) Would deprive a person of theright to a fair trial or an impartial ad-judication (5 U.S.C. 552(b)(7)(B));

(3) Could reasonably be expected toconstitute an unwarranted invasion ofpersonal privacy of a living person, in-cluding surviving family members ofan individual identified in such arecord (5 U.S.C. 552(b)(7)(C));

(i) This exemption also applies whenthe fact of the existence or nonexist-ence of a responsive record would itselfreveal personally private information,and the public interest in disclosure isnot sufficient to outweigh the privacyinterest. In this situation, naval activi-ties shall neither confirm nor deny theexistence or non-existence of therecord being requested.

(ii) A refusal to ‘‘neither confirm nordeny’’ response must be used consist-ently, not only when a record exists,but also when a record does not exist.Otherwise, the pattern of using a ‘‘norecords’’ response when a record doesnot exist and a ‘‘refusal to neither con-firm nor deny’’ when a record doesexist will itself disclose personally pri-vate information.

(iii) Refusal to ‘‘neither confirm nordeny’’ should not be used when the per-son whose personal privacy is in jeop-ardy has provided the requester with awaiver of his or her privacy rights; or,the person whose personal privacy is injeopardy is deceased, and the agency isaware of that fact.

(4) could reasonably be expected todisclose the identity of a confidentialsource, including a source within theDON, a state, local, or foreign agencyor authority, or any private institutionwhich furnishes information on a con-fidential basis; could disclose informa-tion furnished from a confidentialsource and obtained by a criminal law

enforcement authority in a criminalinvestigation or by an agency conduct-ing a lawful national security intel-ligence investigation (5 U.S.C. 552(b)(7)(D));

(5) Would disclose techniques andprocedures for law enforcement inves-tigations or prosecutions, or would dis-close guidelines for law enforcementinvestigations or prosecutions, if suchdisclosure could reasonably be ex-pected to risk circumvention of the law(5 U.S.C. 552(b)(7)(E)); or,

(6) Could reasonably be expected toendanger the life or physical safety ofany individual (5 U.S.C. 552(b)(7)(F)).

(b) Examples include:(1) Statements of witnesses and other

material developed during the courseof the investigation and all materialsprepared in connection with relatedgovernment litigation or adjudicativeproceedings.

(2) The identity of firms or individ-uals investigated for alleged irregular-ities involving contracting with De-partment of Defense or Department ofthe Navy when no indictment has beenobtained nor any civil action filedagainst them by the United States.

(3) Information obtained in con-fidence, expressed or implied, in thecourse of a criminal investigation by acriminal law enforcement agency or of-fice within Department of Defense, or alawful national security intelligenceinvestigation conducted by an author-ized agency or office within Depart-ment of Defense. National security in-telligence investigations include back-ground security investigations con-ducted for the purpose of obtaining af-firmative or counterintelligence infor-mation.

(c) The right of individual litigantsto investigate records currently avail-able by law.

(d) When the subject of an investiga-tive record is the requester of therecord, it may be withheld only as au-thorized by SECNAVINST 5211.5C,‘‘Personal Privacy and Rights of Indi-viduals Regarding Records Pertainingto Themselves.’’

(e) Exclusions. Excluded from this ex-emption are the following two situa-tions:


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32 CFR Ch. VI (7–1–98 Edition)§ 701.30

(1) Whenever a request is made whichinvolves access to records or informa-tion complied for law enforcement pur-poses, and the investigation or proceed-ing involves a possible violation ofcriminal law where there is reason tobelieve that the subject of the inves-tigation or proceeding is unaware of itspendency, and the disclosure of the ex-istence of the records could reasonablybe expected to interfere with enforce-ment proceedings, naval activitiesmay, during only such times as thosecircumstances continue, treat therecords or information as not subjectto exemption 7. In such situation, theresponse to the requester will state norecords were found.

(2) Whenever informant recordsmaintained by a criminal law enforce-ment organization within DON underthe informant’s name or personal iden-tifier, the naval activity may treat therecords as not subject to exemption 7,unless the informant’s status as an in-formant has been officially confirmed.If it is determined that the records arenot subject to exemption 7, the re-sponse to the requester will state norecords were found.

§ 701.30 Exemption (b)(8).

Exempts those records contained inor related to examination, operation,or condition reports prepared by, on be-half of, or for the use of an agency re-sponsible for the regulation or super-vision of financial institutions.

§ 701.31 Exemption (b)(9).

Exempts those records containing ge-ological and geophysical informationand data, including maps, concerningwells.

Subpart C—Addresses for Depart-ment of the Navy Recordsand Locations for Public In-spection


EDITORIAL NOTE: At 56 FR 66586, 66590, Dec.24, 1991, §§701.21—701.32 (subparts B and C)were revised. Section 701.31 appears at bothsubpart B and subpart C. The Agency willpublish a correction in the FEDERAL REG-ISTER at a later date.

§ 701.31 Addresses for requests for De-partment of the Navy records.

The following addresses delineate thelocation of commonly requested infor-mation. Members of the public are en-couraged to write directly to the offi-cial having cognizance over therecord(s), as it will expedite processing.When the official having custody of therecord is not known, the request shouldbe addressed to the originating officialor the official having primary respon-sibility for the subject matter in-volved. The following are the mostcommonly requested types of records:

(a) Audit reports. Send requests for in-ternal audit matters to the AuditorGeneral of the Navy, P.O. Box 1206,Falls Church, VA 22041-0206.

(b) Chaplain Corps. Send requests forreligious affairs matters to the Chief ofChaplains, Navy Department, Washing-ton, DC 20370-2000.

(c) Civilian personnel records. (1) Sendrequests for personnel records of cur-rent civilian employees, or those sepa-rated from Federal employment lessthan 30 days, to the employing instal-lation marked for the attention of thecivilian personnel officer.

(2) Send requests for individuals for-merly employed by the Department ofthe Navy, or separated from Federalemployment for more than 30 days, tothe Director, National PersonnelRecords Center, (Civilian PersonnelRecords), 111 Winnebago Street, St.Louis, MO 63118.

(d) Contractual/procurement recordsand related matters. (1) Send requestsfor copies of Navy procurement direc-tives and Defense Federal AcquisitionRegulations (DFARs) to the Super-intendent of Documents, U.S. Govern-ment Printing Office, Washington, DC20402.

(2) Send requests for copies of currentcontracts to the contracting officer orhead of the procurement activity whenknown. If unknown, submit requestsfor Navy contracts to the Chief ofNaval Operations (N09B30), 2000 NavyPentagon, Washington, DC 20350–2000,and Marine Corps contracts to the Dep-uty Chief of Staff for Installations andLogistics, Headquarters U.S. MarineCorps, 2 Navy Annex, Washington, DC20380–0001.


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(e) Courts-martial records. (1) Send re-quests for records of trial by generalcourts-martial, or special courts-mar-tial which resulted in a bad conductdischarge, or involving commissionedofficers to the Judge Advocate General,Code 20, 200 Stovall Street, Alexandria,VA 22332-2400.

(2) Send requests for records of trialby summary courts-martial or specialcourts-martial not involving a bad con-duct discharge to the officer having su-pervisory authority in the review proc-ess.

(f) Naval Inspector General Reports.Send requests for Navy hotline com-plaints and all other investigations andinspections conducted by theNAVINSGEN to the Naval InspectorGeneral, Building 200, room 100, 901 MStreet SE., Washington, DC 20374–5006.Send requests for local command In-spector General reports to the local IGoffice.

(g) Investigative records. (1) Send re-quests for NCIS investigatory recordsand related matters to the Director,Naval Criminal Investigative Service,Washington Navy Yard, Building 111,901 M Street SE., Washington, DC20388–5380.

(2) Send requests for JAG Manual in-vestigative reports to the Judge Advo-cate General (Code 33), Navy Depart-ment, 200 Stovall Street, Alexandria,VA 22332-2400.

(3) Send requests for mishap inves-tigative reports to Commander, NavalSafety Center, 375 A Street, Norfolk,VA 23511–4399.

(h) Legal matters. (1) General Counsellegal matters. Those relating to the ac-quisition, custody, management, trans-portation, taxation, and disposition ofreal and personal property, and theprocurement of services, including thefiscal, budgetary, and accounting as-pects thereof, excepting, however, tortclaims and admiralty claims arisingindependently of contract, and mattersrelating to the naval petroleum re-serves; operations of the Military Sea-lift Command, excepting tort and ad-miralty claims arising independentlyof contract; the Office of the Comptrol-ler of the Navy; procurement mattersin the field of patents, inventions,trademarks, copyrights, royalty pay-ments, and similar matters, including

those in the Defense Federal Acquisi-tion Regulations (DFARs), and Navyprocurement directives; and, industrialsecurity claims and litigation shouldbe directed to the Office of Counsel ofthe concerned activity. If unknown,submit to the General Counsel of theNavy, 2211 Jefferson Davis Highway,Arlington, VA 22344–5103.

(2) Judge Advocate General legalmatters. In addition to military law,all matters except those outside the ju-risdiction of the General Counselshould be directed to the Judge Advo-cate General, 200 Stovall Street, Alex-andria, VA 22332-2400.

(i) Medical records. (1) Send requestsfor inpatient medical treatmentrecords of active duty Navy and MarineCorps personnel and their dependentsto the medical treatment facilitywhere the patient is or was treated.The records are held for two years andthen retired to the National PersonnelRecords Center, 9700 Page Avenue, St.Louis, MO 63132-5100.

(2) Send requests for outpatient med-ical treatment records of active dutyNavy and Marine Corps personnel andtheir dependents to the military treat-ment facility attached to the commandat which they are assigned.

(3) Send requests for outpatient med-ical records of Navy personnel sepa-rated (discharged, retired, or deceased)for less than 4 months to the Com-manding Officer, Naval Reserve Per-sonnel Center, New Orleans, LA 70149-7800. After four months, send requeststo Director, National PersonnelRecords Center, (Military PersonnelRecords), 9700 Page Avenue, St. Louis,MO 63132-5100. Send requests for de-pendents’ outpatient records to thelast medical facility where treatmentwas provided if within 2 years of spon-sor’s release/separation from the serv-ice. After the 2 years, send requests toDirector, National Personnel RecordsCenter, (Military Personnel Records),9700 Page Avenue, St. Louis, MO 63132-5100.

(4) Send requests for outpatient med-ical records of Marine Corps personnelseparated (discharged, retired, or de-ceased) for less than four months to Di-rector, Marine Corps Reserve SupportCenter, 10950 El Monte Street, OverlandPark, KS 66211-1408. After four months,


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32 CFR Ch. VI (7–1–98 Edition)§ 701.31

send requests to Director, NationalPersonnel Records Center, (MilitaryPersonnel Records), 9700 Page Avenue,St. Louis, MO 63132-5100. Requests fordependents’ outpatient records shouldbe addressed to the last medical facil-ity where treatment was provided ifwithin 2 years of active duty member’srelease/separation from the service.After two years, send requests to Di-rector, National Personnel RecordsCenter, (Military Records Center), 9700Page Avenue, St. Louis, MO 63132-5100.

(5) When the location of a militarymember or dependent’s medical recordis not known, send requests to Chief,Bureau of Medicine and Surgery, 2300 EStreet, NW., Washington, DC 20372–5120.

(6) Send requests for medical recordsof drilling reservists to the reserve cen-ters where they are assigned.

(7) Send requests for medical recordsof inactive or retired reservists toCommanding Officer, Naval ReservePersonnel Center, New Orleans, LA70149-7800.

(8) Civilian employee medical records.Send requests to the medical facilitywhere the person is/was treated. After 2years, send requests to Director, Na-tional Personnel Records Center, (Ci-vilian Personnel Records), 111 Winne-bago Street, St. Louis, MO 63118.

(j) Military personnel records. (1) Sendrequests for records of active dutyNavy personnel, or those separated(discharged, retired or deceased for upto 1 year) to Chief of Naval Personnel,2 Navy Annex, Washington, DC 20370–5001 and for Marine Corps personnel toCommandant of the Marine Corps,(Code MM), Navy Department, Wash-ington, DC 20380-0001.

(2) Send requests for records of Navyand Marine Corps personnel separated(discharged, retired or deceased) formore than 1 year and inactive reserv-ists to Director, National PersonnelRecords Center, (Military PersonnelRecords), 9700 Page Avenue, St. Louis,MO 63132-5100.

(3) Send requests for former officerpersonnel separated prior to 1902 andformer enlisted personnel separatedprior to 1885 to Chief, Military Ref-erence Branch, Military Archives Divi-sion, National Archives, Washington,DC 20408.

(4) Send requests for records of drill-ing reservists to the member’s servic-ing personnel support unit.

(5) Send requests for records of inac-tive duty reservists who still have anobligation to the Navy to the Com-manding Officer, Naval Reserve Per-sonnel Center, New Orleans, LA 70149-7800.

(6) Send requests for records of sepa-rated reservists who have not retiredto the Director, National PersonnelRecords Center, (Military PersonnelRecords), 9700 Page Avenue, St. Louis,MO 63132-5100.

(7) Send requests for records of re-tired reservists to the Commanding Of-ficer, Naval Reserve Personnel Center,New Orleans, LA 70149-7800.

(k) Publications. (1) Send requests forunclassified instructions, other thanSecretary of the Navy Instructions,issued under the Department of theNavy’s directives issuance system andsubject index thereof (NAVPUBINST5215.1B) to the Aviation Supply Office,Naval Publications and Forms Direc-torate, Customer Service, Code 1013,5801 Tabor Avenue, Philadelphia, PA19120–5099.

(2) Send requests for allSECNAVINSTs and OPNAVINSTsmarked FOUO or classified to the CNO(N09B30), 2000 Navy Pentagon, Wash-ington, DC 20350–2000.

(3) Send requests for Marine Corps di-rectives, publications, and manuals toCommandant of the Marine Corps,(Code AR), HQ USMC, 2 Navy Annex,Washington, DC 20380–0001.

(4) Send requests for military speci-fications, standards, and handbooks tothe Commanding Officer, DefensePrinting Service Detachment Office,Customer Service, Building 4D, 700Robbins Avenue, Philadelphia, PA19111–5094.

(l) Research records. Send requests forrecords regarding basic research andgrants to the activity having custodyof the record. If unknown, send to theChief of Naval Research, 800 NorthQuincy Street, Arlington, VA 22217-5660.

(m) Systems commands—(1) Aeronauti-cal weapon systems. Send requests forinformation on aeronautical weaponsystems, associated sub-systems andrelated systems and equipment to the


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Commander, 1421 Jefferson Davis High-way, Arlington, VA 22243–5120.

(2) Facilities. Send requests for infor-mation on facilities and land manage-ment (design, construction, and main-tenance; utilities; housing; and real es-tate matters) to the Commander, NavalFacilities Engineering Command, 200Stovall Street, Alexandria, VA 22332-2300.

(3) Ships. Send requests for informa-tion on ships and ordnance materialsto the Commander, Naval Sea SystemsCommand, 2531 Jefferson Davis High-way, Arlington, VA 22242–5160.

(4) Space and Naval Warfare. Send re-quests for information on developmenttechnologies regarding battle force ar-chitecture and engineering, space com-munications, navigation, undersea andocean surveillance, oceanographic mat-ters, anti-submarine warfare, informa-tion transfer systems, and informationmanagement systems to the Com-mander, Space and Naval Warfare Sys-tems Command, 2451 Crystal Drive, Ar-lington, VA 22245–5200.

(5) Supply. Send requests for informa-tion on naval supply matters to theCommander, Naval Supply SystemsCommand, 1931 Jefferson Davis High-way, Arlington, VA 22341–5360, and forMarine Corps supply matters to theCommandant of the Marine Corps, HQUSMC, 2 Navy Annex, Washington, DC20380–0001.

(n) Ships decklogs. Send requests forships decklogs originating after 30June 1945 to the Director, Naval Histor-ical Center, Ships’ Histories Branch,901 M Street SE., Washington NavyYard, Washington, DC 20374–0571. Thoseoriginated prior to 1945 are held by theChief, Military Reference Branch, Mili-tary Archives Division, National Ar-chives, Washington, DC 20408.

(o) Supply catalogs. Send requests forNavy and Federal supply catalogs,master cross-reference indexes, and re-lated cataloging publications (catalog-ing handbooks such as H2-1 and H2-3and Federal manuals for supply cata-loging, such as M1-1, -2 and -3) to Su-perintendent of Documents, UnitedStates Government Printing Office,Washington, DC 20402-9325.

(p) Technical reports. Send requestsfor unclassified technical reports orpublications to the Director, National

Technical Information Service, 5285Port Royal Road, Springfield, VA 20402.

(q) Unknown. If requesters are unableto determine the official having cog-nizance over the requested records,they should send their request fornaval matters to the Chief of Naval Op-erations (N09B30), 2000 Navy Pentagon,Washington, DC 20350–2000, and MarineCorps matters to Commandant of theMarine Corps (Code ARAD), HQ USMC,2 Navy Annex, Washington, DC 20380–0001.

[56 FR 66574, Dec. 24, 1991, as amended at 59FR 29722 June 9, 1994]

§ 701.32 Locations at which Depart-ment of the Navy records are avail-able for public inspection.

(a) Navy Department Library. TheNavy Department Library is located atthe Washington Navy Yard, Building44, 9th and M Streets, SE, Washington,DC 20374-0571.

(1) Hours of Operation. 9 a.m. to 4p.m., Monday through Friday, exceptholidays.

(2) Type of Materials Held. The libraryhas 130,000 volumes of information ofinterest to the Navy, such as naval andgeneral history, international law anddiplomacy, naval architecture andshipbuilding, naval customs and tradi-tions, naval shore stations, yards andbases, uniforms, insignia, awards andflags, geography, travel and guidebooks, aviation, Navy music, etc. Alsocontained are approximately 5,000 rarebook collections. Additionally, the li-brary has an index by subject matter ofmaterials held, i.e., NAVPUBINST5215.1B, Consolidated Subject Index, aquarterly publication which lists in-structions originated by WashingtonHeadquarters organizations and MarineCorps directives system checklist of di-rectives distributed outside Head-quarters, U.S. Marine Corps. The li-brary is equipped with desks and studycarrels for library users and has spe-cialized devices to facilitate research,such as microfilm reader/printers, copymachines, and outlets for tape record-ers.

(b) Defense Reading Room. The De-fense Reading Room is located in Room2E165 of the Pentagon, Washington, DC20310-1400. Due to building security,upon arrival at the Pentagon, call 695-


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32 CFR Ch. VI (7–1–98 Edition)§ 701.40

3973 to arrange for an escort to theReading Room.


(2) Type of Materials Held. Microfichecopies of indexes and decisional docu-ments regarding Navy Discharge Re-view Board and Board for Correction ofNaval Records proceedings.

(c) Law Library of the Judge AdvocateGeneral. The law library is located atthe Hoffman Building 2, Room 9S47, 200Stovall Street, Alexandria, VA 22332-2400.


(2) Type of Materials Held. The libraryhas published and unpublished deci-sions of the Navy-Marine Corps Courtof Military Review, Navy and MarineCorps directives, miscellaneous super-seded manuals, and courts-martial or-ders and the Navy Department Bul-letin.

Subpart D—Fee Guidelines


§ 701.40 FOIA fees.(a) Background. The FOIA Reform

Act of 1986 brought about significantchanges on how FOIA fees are assessed.Subpart D of this part highlights in de-tail the changes made and conformswith the Office of Management andBudget (OMB) Uniform Fee Scheduleand Guidelines which were issued as aresult of the Reform Act. OMB guide-lines for fees reflect direct costs forsearch, review (in the case of commer-cial requesters), and duplication of doc-uments, collection of which are per-mitted by FOIA.

(b) DD Forms 2086/2086-1. Naval activi-ties are encouraged to utilize DDForms 2086/2086-1 to track costs foreach FOIA request processed, unless astandard processing cost can be com-puted for routine kinds of requests.The form is designed to track all costsand is utilized to compile fee informa-tion for the Annual FOIA Report.While not all costs can be charged tothe requester for recoupment, they arenonetheless reportable as they provide

Congress with an indepth look at thecosts and time the Navy is expendingto process FOIA requests.

(c) Scope. (1) The guidelines set forthbelow are not intended to imply thatfees must be charged for providing in-formation to the public in the routinecourse of business, nor are they meantas a substitute for any other scheduleof fees, such as those inNAVCOMPTMAN, Vol. 3, CH-339, whichdoes not supersede the collection offees under FOIA.

(2) Subpart D of this part does not su-persede fees chargeable under a statutespecifically setting the level of fees forparticular types of records. A ‘‘statutespecifically providing for setting thelevel of fees for particular types ofrecords’’ means any statute that en-ables a government agency, such as theGovernment Printing Office (GPO) orthe National Technical InformationService (NTIS), to set and collect fees.Naval activities should ensure thatwhen documents that would be respon-sive to a request are maintained fordistribution by agencies operatingstatutory based fee schedule programssuch as GPO or NTIS, inform request-ers of the steps necessary to obtainrecords from those sources.

(c) Resolution of fees. The issue of feesshould be resolved prior to a naval ac-tivity expending resources to process aFOIA request. Specifically, a requestershould have an opportunity to decidewhether or not to pursue a request iffees are applicable and the requesterhas failed to agree to pay those fees.There have been instances where navalactivities have worked a costly requestonly to be told by the requester that itis no longer needed, since it will resultin a cost. Additionally, if a requesterhas agreed to pay fees up to a specifiedamount and the costs of processing therequest will exceed those fees, navalactivities must resolve the issue of ad-ditional fees prior to continuing withthe processing of the request.

(d) Responses. Naval activities shallensure that final responses to the re-quester address FOIA fees.

EDITORIAL NOTE: At 56 FR 66592, Dec. 24,1991, §701.40 was revised. Paragraph (c) wasinadvertently added twice. The duplicatedesignations are of differing content. The


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Agency will publish a correction in the FED-ERAL REGISTER at a later date.

§ 701.41 Definitions.The following definitions set forth

the parameters for determining FOIAfees:

(a) Direct costs. Direct costs meansthose expenditures a naval activity ac-tually incurs in searching for, review-ing (in the case of commercial request-ers), and duplicating documents to re-spond to a FOIA request. Direct costsinclude, for example, the salary of theemployee performing the work (theemployee’s basic rate of pay plus 16percent of that rate to cover benefits),and the costs of operating duplicatingmachinery. Not included are overheadexpenses such as costs of space, heat-ing, or lighting the facility whererecords are stored.

(b) Search time. Search time includesall time spent looking for material re-sponsive to a request and a page-by-page or line-by-line identification (ifnecessary) of material in the documentto determine if it, or portions thereof,are responsive to the request. Naval ac-tivities should ensure that searches areefficient and completed in the least ex-pensive manner to minimize costs tothe naval activity and the requester.For example, naval activities shouldnot do a line-by-line search when dupli-cating an entire document containingresponsive information would be lessexpensive and quicker to comply withthe request. Time spent reviewing doc-uments to determine whether to applyone or more of the statutory exemp-tions is not search time, but reviewtime.

(c) Duplication. Duplication refers tothe process of making a copy of a docu-ment in response to a FOIA request.Copies can be paper copy, microfiche,audiovisual, or machine readable docu-mentation (e.g., magnetic tape or disc).Every effort will be made to ensurethat the copy provided is in a form rea-sonably usable by requesters. If copiesare not clearly usable, the requesterwill be notified that their copy is thebest available and the agency’s mastercopy will be made available for reviewupon appointment. For duplicating ofcomputer tapes and audiovisuals, thecost, including the operator’s time

shall be charged. If a naval activity es-timates that assessable duplicationcharges may exceed $25, it shall notifythe requester of the estimate, unlessthe requester has indicated in advancehis or her willingness to pay fees ashigh as those anticipated. Such noticeshall offer the requester the oppor-tunity to confer with naval personnelto reformulate the request to meet hisor her needs at a lower cost.

(d) Review. Review time refers to ex-amining documents responsive to aFOIA request to determine whetherone or more of the statutory exemp-tions permit withholding. It also in-cludes processing the documents fordisclosure, such as excising them forrelease. Review does not include timespent resolving general legal or policyissues on applying the exemptions.Charges may be assessed only for theinitial review. Naval activities maynot charge for reviews during an ad-ministrative appeal of an exemption al-ready applied. Records or portions ofrecords withheld in full under an ex-emption subsequently determined notto apply, may be reviewed again to de-termine the applicability of other ex-emptions not previously considered andthe costs for such a subsequent reviewcould be assessed.

(e) Commercial use request. A commer-cial use request is a request from or onbehalf of one seeking information for ause or purpose that furthers the com-mercial, trade, or profit interest of therequester. In determining whether a re-quester belongs to this category, navalactivities must determine the request-er’s use of the documents requested.Naval activities should seek additionalclarification before assigning the re-quest to a specific category whendoubting the intended use of the re-quester, or where the use is not clearfrom the request itself.

(f) Educational institution. An edu-cational institution is a preschool, pub-lic or private elementary or secondaryschool, institution of graduate highereducation, institution of undergradu-ate higher education, institution ofprofessional education, and an institu-tion of vocational education operatinga program(s) of scholarly research.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.42

(g) Non-commercial scientific institu-tion. A non-commercial scientific insti-tution is operated solely for conductingscientific research the results of whichare not intended to promote any par-ticular product or industry and not op-erated on a ‘‘commercial’’ basis.

(h) Representative of the news media.Representative of the new media is aperson actively gathering news for anentity organized and operated to pub-lish or broadcast news to the public.‘‘News’’ means information about cur-rent events or of current interest tothe public. Examples of news media en-tities include television or radio sta-tion broadcasting to the public at largeand publishers of periodicals whenqualifying as disseminators of ‘‘news’’who make their products available forpurchase or subscription by the generalpublic. Those examples are not all-in-clusive. As traditional methods of newsdelivery evolve (e.g., electronic dis-semination of newspapers through tele-communications services) alternativemedia would be included in this cat-egory. ‘‘Free-lance’’ journalists may beconsidered as working for a news orga-nization if they can demonstrate abasis for expecting publication by thatorganization, even if not actually em-ployed. Proof may be by publicationcontract, but naval activities may alsolook to the requester’s past publicationrecord in making this determination.Representatives of the news media donot include private libraries, privaterepositories of Government records, ormiddlemen such as information ven-dors or data brokers.

(i) All other requesters. All other re-questers refers to persons who do notqualify as an educational institution,non-commercial scientific institution,representative of the news media, orcommercial use requester. An exampleis a nonprofit organization.

§ 701.42 Application.(a) Commercial requesters. When

records are requested for commercialuse, fees shall be assessed to recoverreasonable standard charges for docu-ment search, review, and duplication.Requesters must reasonably describethe records sought. When naval activi-ties review a request for documents forcommercial use, they should assess

charges which recover the full directcosts of searching for, reviewing for re-lease, and duplicating the recordssought. Commercial requesters, are notentitled to 2 hours of free search timeand 100 free pages of reproduction ofdocuments. However, fees totaling $15or less must be waived. Commercial re-questers are not normally entitled to awaiver or reduction of fees based uponan assertion that disclosure would bein the public interest. Because use ofthe requested material is the exclusivedetermining criteria, a commercial en-terprise may make a request that isnot for commercial use. It is also pos-sible that a nonprofit organizationcould make a request for commercialuse. Such situations must be addressedon a case-by-case basis.

(b) Educational institution requesters.When a request is made by an edu-cational institution whose purpose isscholarly research fees shall be limitedto reasonable standard charges for doc-ument duplication (excluding chargesfor the first 100 pages). Requestersmust reasonably describe the recordsbeing sought and must show that therequest is made under the auspices of aqualifying institution and that therecords are not sought for commercialuse, but in furtherance of scholarly re-search.

(c) Non-commercial scientific institutionrequesters. When the request is made bya non-commercial scientific institutionwhose purpose is scientific researchfees shall be limited to only reasonablestandard charges for document duplica-tion (excluding charges for the first 100pages). Requesters must reasonably de-scribe the records sought and mustshow that the request is being madeunder the auspices of a qualifying in-stitution and that records are notsought for commercial use, but in fur-therance of scientific research.

(d) Representatives of the news media.(1) When the request is made by a rep-resentative of the news media, feesshall be limited to only reasonablestandard charges for document duplica-tion (excluding charges for the first 100pages). Requesters must reasonably de-scribe the records sought.

(2) Representatives of the news mediamust meet the criteria defined in para-graph (h) of § 701.41, and the request


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must not be made for commercial use.A request for records supporting thenews dissemination function of the re-quester shall not be considered to be arequest that is for a commercial use.For example, a request by a newspaperfor records relating to an investigationof a defendant in a current criminaltrial of public interest could be pre-sumed to be a request from an entityeligible for inclusion in this category,and entitled to records at the cost ofduplication alone (excluding chargesfor the first 100 pages).

(3) ‘‘Representative of the newsmedia’’ does not include private librar-ies, private repositories of Governmentrecords, or middlemen, such as infor-mation vendors or data brokers.

(e) All other requesters. Naval activi-ties shall charge requesters who do notfit into any of the above categories feesto recover the full direct cost of searchand duplicating records, except thefirst 2 hours of search time and thefirst 100 pages of duplication shall befurnished without charge. Requestersmust reasonably describe the recordssought. Requests from subjects aboutthemselves will continue to be treatedunder the fee provisions of 5 U.S.C.552a, which permit fees only for dupli-cation. Naval activities are remindedthat this category of requester may beeligible for a waiver or reduction offees if disclosure of the information isin the public interest.

§ 701.43 Fee restrictions.

(a) A naval activity may not chargefees if the costs of routine collectionand processing of the fee are likely toequal or exceed the amount of the fee.Except for requesters seeking docu-ments for a commercial use, naval ac-tivities shall provide the first 2 hoursof search time and the first 100 pages ofduplication without charge. For exam-ple, for a request (other than one froma commercial requester) involving 2hours and 10 minutes of search timeand 105 pages of documents, a naval ac-tivity would recover the cost of onlyten minutes of search time and fivepages of duplication. If this processingcost was equal to or less than the costto the naval activity for billing the re-quester and processing the fee col-

lected (i.e., $15), no charges would re-sult.

(b) Requesters are entitled to thefirst 2 hours of search and 100 pages ofduplication without charge once per re-quest. Consequently, if after complet-ing its portion of a request, a naval ac-tivity, refers the request to anothernaval activity to act on their portionof the request, the referring naval ac-tivity shall inform the recipient of theamount of search time and duplicationcost to date so the final Navy responsewill address all fees in the processing ofthe request. For referrals to other fed-eral agencies or Department of Defensecomponents, if the naval costs of proc-essing the request are chargeable basedon fee guidelines, the fees should becollected from the requester and therecipient of the referral advised of thefee status of the request. If the fees arenot chargeable based on the fee guide-lines, the recipient of the referralshould be advised of the naval fees as-sociated with the processing of the re-quest.

(c) In determining the ‘‘cost of col-lecting a fee’’ consider administrativecosts to the naval activity of receivingand recording a remittance, and proc-essing the fee for deposit in the Treas-ury Department’s special account. TheTreasury’s cost to handle such remit-tance is negligible and shall not be con-sidered in a naval activity’s determina-tion.

(d) To determine cost, ‘‘pages’’ refersto standard size paper copies normally8 1/2’’ x 11’’ or 11’’ x 14’’. Thus, request-ers would not be entitled to 100 micro-fiche or 100 computer disks, for exam-ple. A microfiche containing the equiv-alent of 100 pages or 100 pages of com-puter printouts, meets the restriction.

(e) For computer searches, the first 2free hours will be determined by thesalary scale of the individual doing thecomputer search. For example, whenthe direct costs of the computer cen-tral processing unit, input-output de-vices, and memory capacity equal $24 (2hours of equivalent search at the cleri-cal level), computer costs in excess ofthat amount are chargeable as com-puter search time.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.44

§ 701.44 Fee waivers.(a) When the naval activity deter-

mines that waiver or reduction of feesis in the public interest, documentswill be furnished without charge or ata reduced charge. It is in the public in-terest when furnishing the informationis likely to contribute significantly topublic understanding of the operationsor activities of the Department of theNavy, and is not primarily in the com-mercial interest of the requester.

(b) Fees shall be waived automati-cally for all requesters when directcosts for a FOIA request total $15 orless.

(c) Decisions to waive or reduce feesthat exceed the automatic fee waiverthreshold shall be made on a case-by-case basis when:

(1) Disclosure of the information ‘‘isin the public interest because it is like-ly to contribute significantly to publicunderstanding of the operations or ac-tivities of the government.’’

(i) Subject of the request. Naval activi-ties should analyze whether the subjectmatter of the request involves issueswhich will significantly contribute tothe public understanding of the oper-ations or activities of the Departmentof the Navy. Requests for records inthe possession of the Department ofthe Navy originated by non-govern-ment organizations and sought fortheir intrinsic content rather than in-formative value will not likely contrib-ute to public understanding of the op-erations or activities of the Depart-ment of the Navy. Examples of suchrecords are press clippings, magazinearticles, or records forwarding a par-ticular opinion or concern from a mem-ber of the public regarding a naval ac-tivity. Similarly, disclosures of recordsof considerable age may or may notbear directly on the current activitiesof the Department of the Navy; how-ever, the age of a particular recordshall not be the sole criteria for deter-mining the value of a document. Theserequests must be closely reviewedwhile considering the requester’s stat-ed purpose for the records and the po-tential for public understanding of theoperations and activities of the Depart-ment of the Navy.

(ii) Informative value of the informa-tion to be disclosed. Naval activities

should analyze the substantive con-tents of a record or portion of therecord to determine whether disclosureis meaningful and will inform the pub-lic on Department of the Navy’s oper-ations or activities. While the subjectof a request may contain informationon operations or activities of the De-partment of the Navy, it may not havegreat potential for contributing to ameaningful understanding of these op-erations or activities. An examplewould be a heavily redacted record,with only random words, fragmentedsentences, or paragraph headings. A de-termination as to whether that type ofrecord will contribute to the public un-derstanding of the operations or activi-ties of the Department of the Navymust be weighed against the request-er’s intended use. Another example isdisclosure of information already inthe public domain or nearly identicalinformation may add no meaningfulnew information on Department of theNavy operations and activities.

(iii) Contribution to the public’s under-standing from disclosure. Disclosure con-tributes to the public’s understandingwhen disclosure will inform or have thepotential to inform the public, ratherthan the individual requester or smallsegment of interested persons. The re-quester’s identity determines whetherthe requester has the capability and in-tention to disseminate the informationto the public. Assertions of plans towrite a book, research a particular sub-ject, doctoral desertion work, orindigency are insufficient. Requestermust demonstrate the capacity to dis-close the information in a manner in-formative to the general public. Re-questers should describe their quali-fications, nature of their research, pur-pose of the requested information, andintended means of dissemination to thepublic.

(iv) The significance of the contributionto public understanding. Naval activitiesmust assess the significance or impactof disclosure against the current levelof public knowledge or understandingprior to the disclosure. In other words,will disclosure on a current subject ofwide public interest be unique in con-tributing previous unknown facts,thereby enhancing public knowledge,


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or will it basically duplicate what is al-ready known by the general public.Naval activities shall not make valuejudgments whether the information isimportant enough to be made public.

(2) Disclosure of the information ‘‘isnot primarily in the commercial inter-est of the requester.’’

(i) Existence and magnitude of a com-mercial interest. If the request is a com-mercial interest, naval activitiesshould address the magnitude of thatinterest to see if the requester’s com-mercial interest is primary, as opposedto any secondary personal or non-com-mercial interest. In addition to profit-making organizations, individual per-sons or other organizations may have acommercial interest in obtaining cer-tain records. Where it is difficult to de-termine whether this is a commercialrequester, naval activities may infer itfrom the requester’s identity and cir-cumstances of the request. The re-quester’s commercial benefit mustclearly override any personal or non-profit interest to apply FOIA commer-cial standards.

(ii) The primary interest in disclosure.Once a requester’s commercial interesthas been determined, naval activitiesshould then determine if disclosurewould be primarily in that interest.That requires balancing the commer-cial interest of the request against anypublic benefit derived as a result ofthat disclosure. Where the public inter-est served is beyond that of the re-quester’s commercial interest, a waiveror reduction of fees would be appro-priate. Conversely, even if a significantpublic interest exists and the relativecommercial interest of the requester isgreater than the public interest, then awaiver or reduction of fees would be in-appropriate. For example, while newsmedia organizations have a commer-cial interest as business organizations,their role of disseminating news to thepublic can ordinarily be presumed to beof a primary interest. Therefore, anycommercial interest is secondary tothe primary interest in serving thepublic. Similarly, scholars writingbooks or engaged in other forms of aca-demic research may recognize a com-mercial benefit, either directly or indi-rectly (through the institution theyrepresent); however, normally such

pursuits are primarily undertaken foreducational purposes, and charging afee would be inappropriate. Conversely,data brokers or others who compilegovernment information for marketingcan normally be presumed to primarilyhave a commercial interest.

(iii) The above factors and examples arenot all inclusive. Each fee decision mustbe considered on a case-by-case basisthe merits of the information providedin each request. When the decision tocharge, reduce, or waive the fee cannotbe clearly resolved, naval activitiesshould rule in favor of the requester.

(d) The following additional cir-cumstances describe situations wherewaiver or reduction of fees are mostlikely warranted:

(1) A record is voluntarily created topreclude an otherwise burdensome ef-fort to provide voluminous amounts ofavailable records, including additionalinformation not requested.

(2) A previous denial of records is re-versed in total, or in part, and the as-sessable costs are not substantial (e.g.,$15 - $30).

§ 701.45 Fee assessment.(a) Fees may not be used to discour-

age requesters. FOIA fees are limitedto standard charges for direct docu-ment search, review (in the case ofcommercial requesters), and duplica-tion.

(b) To be responsive as possible toFOIA requests while minimizing un-warranted costs to the taxpayer, navalactivities shall:

(1) Analyze each request to determinethe category of the requester. If thenaval activity’s determination of thecategory of the requester is differentthan that claimed by the requester, thenaval activity will:

(i) Notify the requester that addi-tional justification should be providedto support the category claimed, andthat a search for responsive recordswill not be initiated until agreementon the category of the requester. Ab-sent further category justificationfrom the requester and a reasonable pe-riod of time (i.e., 30 calendar days), thenaval activity shall render a final cat-egory determination and notify the re-quester of the determination, includingadministrative appeal rights.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.45

(ii) Advise the requester that asearch for responsive records will notbe initiated until the requester indi-cates a willingness to pay assessablecosts for the category determined bythe naval activity.

(2) Requesters must submit a fee dec-laration appropriate for these cat-egories:

(i) Commercial requesters must indi-cate a willingness to pay all search, re-view, and duplication costs.

(ii) Educational or non-commercial sci-entific institution or news media rep-resentatives. Requesters must indicate awillingness to pay duplication chargesin excess of 100 pages, if more than 100pages of records are desired.

(iii) All others. Requesters must indi-cate a willingness to pay assessablesearch and duplication costs if morethan 2 hours of search effort or 100pages of records are desired and the re-sultant fees will exceed the $15 feewaiver threshold.

(3) If the above conditions are notmet, then the request need not be proc-essed and the requester shall be so in-formed within 10 working days.

(4) As described above, naval activi-ties must be prepared to provide an es-timate of assessable fees to the re-quester. While searches vary amongnaval activities and an estimate isoften difficult prior to an actualsearch, requesters desiring estimatesare entitled to them before committingto a willingness to pay. Should navalactivity costs exceed the amount of theestimate or the amount agreed to bythe requester, the amount in excess ofthe estimate or the amount agreed toshall not be charged without the re-quester’s agreement.

(5) A naval activity may not requireadvance payment of any fee (i.e., pay-ment before work is commenced orcontinued on a request) unless the re-quester previously failed to timely payfees or the agency determined that thefee exceeds $250. A timely fashion is 30calendar days from the date of billingby the naval activity.

(6) Where a naval activity estimatesor determines that allowable chargesthat a requester may be required topay are likely to exceed $250, the navalactivity should notify the requester ofthe likely cost and obtain satisfactory

assurance of full payment where the re-quester has a history of prompt pay-ments, or require an advance paymentof an amount up to the full estimatedcharges for requesters without a his-tory of payment.

(7) Where a requester has previouslyfailed to pay a fee charged in a timelyfashion (i.e., within 30 calendar daysfrom the date of the billing), the navalactivity may require the requester topay the full amount owed, plus any ap-plicable interest, or demonstrate thatthe fee had been paid, and to make anadvance payment of the full amount ofthe estimated fee before the naval ac-tivity begins to process a new or pend-ing request. Interest will be at the rateprescribed in 31 U.S.C. 3717 and con-firmed with respective accounting andfinance offices.

(8) After all work is completed on arequest and the documents are readyfor release, naval activities may re-quest payment prior to forwarding thedocuments if there is no payment his-tory on the requester or if the re-quester has previously failed to pay afee in a timely fashion (i.e., within 30calendar days of the billing). If the re-quester fails to pay in a timely fashion,paragraph (b)(7) of § 701.45 applies.Naval activities may not hold docu-ments ready for release pending pay-ment from requesters with a history ofprompt payment.

(9) When naval activities act under§ 701.45 number (b)(1) through (7), FOIAtime limits (10 working days from re-ceipt of initial requests and 20 workingdays from receipt of appeals, plus per-missible extensions of time) begin afterthe naval activity has received a will-ingness to pay fees or fee payments, ifappropriate.

(10) Naval activities may charge fortime spent in searching for records,even if that search fails to locaterecords responsive to the request.Naval activities may also chargesearch and review (in the case of com-mercial requesters) time if records lo-cated are determined to be exemptfrom disclosure. In practice, if thenaval activity estimates that searchcharges are likely to exceed $25, it

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shall notify the requester of the esti-mated amount of fees, unless the re-quester has indicated in advance a will-ingness to pay fees up to the estimatedamount. Such notice shall offer the re-quester the opportunity to confer withthe naval activity with the object ofreformulating the request to meet hisor her needs at a lower cost.

§ 701.46 Aggregating requests.Except for commercial requesters, a

naval activity may not charge for thefirst 2 hours of search time or for thefirst 100 pages of reproduction. A re-quester may not file multiple requestsat the same time each seeking portionsof a document or documents to avoidpayment of fees. When a naval activityreasonably believes that a requester or,a group of requesters acting in concertis attempting to break a request into aseries of requests to evade fees, thenaval activity may aggregate the re-quests and charge accordingly. In de-termining whether it is reasonable toaggregate the requests, consider thetime period of the requests. For exam-ple, it would be reasonable to presumethat multiple requests of this typemade within a 30-day period had beenmade to avoid fees. It is harder tomake that presumption for requestsover a longer time period. Before ag-gregating requests from more than onerequester, naval activities must have aconcrete basis to conclude that the re-questers are acting in concert to avoidpayment of fees. Naval activities maynot aggregate multiple requests fromone requester on unrelated subjects.

§ 701.47 Effect of the Debt CollectionAct of 1982 (Pub. L. 97-365).

The Debt Collection Act of 1982 (Pub.L. 97-365) provides for a minimum an-nual rate of interest on overdue debtsto the Federal Government. Naval ac-tivities may charge an interest penaltyfor fees outstanding 30 days from thedate of billing (the first demand no-tice). The interest rate shall be as pre-scribed in 31 U.S.C. 3717. Naval activi-ties should verify the current interestrate with respective accounting and fi-nance offices. After one demand letterhas been sent and 30 calendar dayshave lapsed with no payment, naval ac-tivities may submit the debt to the re-

spective accounting and finance officesfor collection under the Debt Collec-tion Act of 1982.

§ 701.48 Computation of fees.The fee schedule in Subpart D of this

part shall be used to compute search,review (in the case of commercial re-questers), and duplication costs forprocessing FOIA requests. Costs shallbe computed on time actually spent.Time-based and dollar-based minimumcharges for search, review (in the caseof commercial requesters), and duplica-tion are not authorized.

§ 701.49 Collection of fees.Collect FOIA fees when providing the

documents to the requester when therequester specifically states that costsare acceptable or acceptable up to aspecified amount. Collection may notbe made in advance unless the re-quester has failed to pay previously as-sessed fees within 30 calendar daysfrom the date of the billing by thenaval activity, or the naval activitydetermines the fee will be in excess of$250.

§ 701.50 Search time costs.The following schedules outline au-

thorized fees:(a) Manual search.

Type GradeHour-

lyRate

Clerical ...................... E9/GS8 and below ............... $12Professional .............. 01-06/GS9-GS/GM15 ........... 25Executive .................. 07/GS/GM16/ES1 and above 45

(b) Computer search. Computer searchis based on the direct cost of the cen-tral processing unit, input-output de-vices, and memory capacity of thecomputer configuration. The cost ofcomputer search is based on the com-puter operator/programmer’s time indetermining how to conduct and subse-quently executing the search and ischarged at the rate of a manual search.

(c) Duplication costs.

Type Cost per Page

Pre-printed material (i.e., unaltered direc-tives, publications) ................................ $.02

Office copy (i.e., xeroxed copies) ............ .15Microfiche ................................................. .25


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32 CFR Ch. VI (7–1–98 Edition)§ 701.51

Type Cost per Page

Computer copies (tapes or reprints) ........ Actual cost 1

1 This means the cost of duplicating the tape or printout,which includes the operator’s time and cost of the tape.

(d) Review time (only applies in the caseof commercial requesters).

Type GradeHour-

lyRate

Clerical ...................... E9/GS8 and below ............... $12Professional .............. 01-06/GS9-GS/GM15 ........... 25Executive .................. 07/GS/GM16/ES1 and above 45

(e) Audiovisual documentary materials.Compute search costs as for any otherrecord. Duplication cost is the actualdirect cost of reproducing the material,including the wage of the person doingthe work. Audiovisual materials pro-vided to a requester need not be in re-producible format or quality.

(f) Other records. Compute directsearch and duplication cost for anyrecord not described above as describedfor audiovisual documentary material.

(g) Costs for special services. Comply-ing with requests for special services isat the discretion of the naval activity.FOIA and its fee structure do not coverthese kinds of services. Naval activi-ties may recover the costs of specialservices asked for by the requesterafter agreement has been obtainedfrom the requester to pay for one ormore of the following services:

(1) Certifying that records are truecopies.

(2) Sending records by special meth-ods such as express mail, etc.

§ 701.51 FOIA fee remittance/receiptcontrols.

(a) Naval activities shall implementprocedures to track FOIA fee remit-tances. At a minimum, the trackingsystem should include the name of therequester, company (if applicable),amount of fee charged (identify bytotal and breakdown, i.e., $250: $100search, $50.00 review, $100 reproduc-tion), date and serial number of cor-respondence to the requester whichseeks the fee remittance, date remit-tance received, number of check, datesent to local disbursing office, and copyof NAVCOMPT Form 2277. This track-ing system can be manual or auto-mated and should be designed to iden-

tify outstanding FOIA remittances sothat follow-up letters can be sent ad-vising the requester that his/her ac-count requires prompt action.

(b) Naval activities shall advise re-questers to make their check/moneyorder payable to the Treasurer of theUnited States. Upon receipt of a check/money order, the receiving activityshall submit a NAVCOMPT Form 2277,Voucher for Disbursement and/or Col-lection, and the check/money order tothe local disbursing office for process-ing. ‘‘FOIA Receipt Account Number3210’’ shall be annotated on theNAVCOMPT Form 2277 when process-ing all FOIA fees, except those receivedby Defense Business Operating Fund(DBOF) and non-appropriated funded(NAF) activities.

(c) Remittances received by DBOFactivities shall be made payable to theactivity and the requester should indi-cate on the check ‘‘FOIA Remittance.’’The remittance shall be deposited inthe DBOF activity account.

(d) Remittances received by NAF ac-tivities shall be made payable to theactivity and the requester should indi-cate on the check ‘‘FOIA Remittance.’’The remittance shall be deposited inthe NAF activity account.


§ 701.52 Technical data fees.(a) General. Technical data, recorded

information, regardless of the form ormethod of the recording, of a scientificor technical nature (including com-puter software documentation). Thisterm does not include computer soft-ware or data incidental to contract ad-ministration, such as financial and/ormanagement information. Technicaldata requiring release under FOIA,shall be released after the requesterpays all reasonable costs for search,duplication, and review of the recordsto be released.

(b) Definition. Technical data meansrecorded information, regardless of theform of method of the recording of ascientific or technical nature (includ-ing computer software documentation).This term does not include computersoftware or data incidental to contractadministration, such as financial and/or management information.


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(c) Retention of funds. Naval activi-ties shall retain fees received from re-leasing technical data. The funds shallbe available for the same purpose andthe same time period as the appropria-tion from which the costs were in-curred in complying with the request.Reasonable costs are the full costs tothe Government of rendering the serv-ice, or fair market value of the service,whichever is greater. Fair marketvalue shall be determined by commer-cial rates in the local geographicalarea. In the absence of a known marketvalue, charges shall be based on recov-ery of full costs to the Government.The full cost includes all direct and in-direct costs to conduct the search andto duplicate records responsive to therequest. This cost is different from thedirect costs allowable under the FOIA.

(d) Waiver. Naval activities shallwaive the payment of costs for tech-nical data when greater than the costsrequired for release of this same infor-mation under FOIA, if:

(1) The request is made by a UnitedStates citizen or a United States cor-poration who certifies that the tech-nical data requested is needed to sub-mit an offer, or determine capability ofsubmitting an offer. The technical datamust relate to the product which willbe provided to the United States or acontractor with the United States.However, naval activities may requirethe citizen or corporation to pay a de-posit of not more than the cost of com-plying with the request, which will berefunded upon submission of an offerby the citizen or corporation;

(2) The release of technical data is re-quested to comply with an inter-national agreement; or,

(3) The naval activity determinesthat waiver is in the interest of theUnited States.

(e) Fee rates. (1) Search time is com-puted as follows:

(i) Manual Search.

Type Grade HourlyRate

Clerical .................... E9/GS8 and below ............. $13.25(Minimum Charge) .. ............................................. 8.30

Professional and Executive hourly rateof fees are established at actual hourlyrate prior to search. A minimum

charge will be established at 1/2-hourlyrates.

(ii) Computer search is the total costof the central processing unit, input-output devices, and memory capacityof the actual computer configuration.The wage for the computer analyst/op-erator determining how to conduct andsubsequently executing the search willbe recorded as part of the computersearch and is at the same rate of themanual search scale.

(2) Duplication costs are as follows:

Type Cost

Aerial photographs, specifications, per-mits, charts, blueprints, and othertechnical documents ............................ $2.50 each

Engineering data (microfilm): ...................Aperture cards: .................................

Silver duplicate negative ........... $.75 per card(When keypunched and veri-

fied) ........................................ .85 per cardDiazo duplicate negative ........... .65 per card(When keypunched and veri-

fied) ........................................ .75 per card35mm roll film .......................................... $.50 per frame16mm roll film .......................................... .45 per framePaper prints (engineering drawings) ....... $1.50 eachPaper reprints of microfilm indices .......... .10 each

(3) Review time is computed as fol-lows:

Type Grade HourlyRate

Clerical .................... E9/GS8 and below ............. $13.25(Minimum Charge) .. ............................................. 8.30

Professional and Executive hourly rateof fees are established at actual hourlyrate prior to review. A minimumcharge will be established at 1/2-hourlyrates.

§ 701.53 Other technical data records.

Charges for services not specificallyprovided above are at the followingrates:

Type Cost

Minimum charge for office copy (up tosix images) ........................................... $3.50

Each additional image ............................. .10Each typewritten page ............................. 3.50Certification and validation with seal ....... 5.20Hand-drawn plots and sketches, each

hour or fraction thereof ........................ 12.00


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32 CFR Ch. VI (7–1–98 Edition)§ 701.61

Subpart E—Indexing, Public In-spection, and Federal Reg-ister Publication of Depart-ment of the Navy Directivesand Other Documents Affect-ing the Public

SOURCE: 59 FR 46760, Sept. 12, 1994, unlessotherwise noted.

§ 701.61 Purpose.

This subpart implements 5 U.S.C.552(a)(1) and (2) and provisions of De-partment of Defense Directive 5400.7,May 13, 1988 (32 CFR part 286, 55 FR53104); Department of Defense Directive5400.9, December 23, 1974 (32 CFR part336, 40 FR 4911); and the Regulations ofthe Administrative Committee of theFederal Register (1 CFR chaps. I and II)by delineating responsibilities and pre-scribing requirements, policies, cri-teria, and procedures applicable to:

(a) Publishing the following Depart-ment of the Navy documents in theFEDERAL REGISTER:

(1) Certain classes of regulatory, or-ganizational, policy, substantive, andprocedural documents required to bepublished for the guidance of the pub-lic;

(2) Certain classes of proposed regu-latory documents required to be pub-lished for public comment prior toissuance; and

(3) Certain public notices required bylaw or regulation to be published;

(b) Making available, for public in-spection and copying, certain classes ofdocuments having precedential effecton decisions concerning members ofthe public;

(c) Maintaining current indexes ofdocuments having precedential effecton decisions concerning members ofthe public, and publishing such indexesor making them available by othermeans;

(d) Receiving and considering peti-tions of members of the public for theissuance, revision, or cancellation ofregulatory documents of some classes;and

(e) Distributing the FEDERAL REG-ISTER for official use within the De-partment of the Navy.

§ 701.62 Scope and applicability.This subpart prescribes actions to be

executed by, or at the direction of,Navy Department [as defined in§ 700.104(c) of this chapter] componentsand specified headquarters activitiesfor apprising members of the public ofDepartment of the Navy regulations,policies, substantive and proceduralrules, and decisions which may affectthem, and for enabling members of thepublic to participate in Department ofthe Navy rulemaking processes in mat-ters of substantial and direct concernto the public. This subpart com-plements subpart A, which implementsNavy-wide requirements for furnishingdocuments to members of the publicupon request. That a document may bepublished or indexed and made avail-able for public inspection and copyingunder this instruction does not affectthe possible requirement under subpartA for producing it for examination, orfurnishing a copy, in response to a re-quest made under that subpart.

§ 701.63 Policy.In accordance with the spirit and in-

tent of 5 U.S.C. 552, the public has theright to the maximum informationconcerning the organization and func-tions of the Department of the Navy.This includes information on the poli-cies and the substantive and proceduralrules used by the Department of theNavy in its dealings with the public. Inaccordance with Department of De-fense policy described in 32 CFR part336, 40 FR 4911, moreover, the public isencouraged to participate in Depart-ment of the Navy rulemaking when theproposed rule would substantially anddirectly affect the public.

§ 701.64 Publication of adopted regu-latory documents for the guidanceof the public.

(a) Classes of documents to be pub-lished. Subject to the provisions of 5U.S.C. 552(b) which exempt specifiedmatters from requirements for releaseto the public [see subpart B of thispart], the classes of Department of theNavy documents required to be pub-lished on a current basis in the FED-ERAL REGISTER are listed below.

(1) Naval organization and points ofcontact—descriptions of the central


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and field organization of the Depart-ment of the Navy and the locations atwhich, the members or employees fromwhom, and the methods whereby, thepublic may obtain information, makesubmittals or requests, or obtain deci-sions;

(2) Methods and procedures for businesswith the public—statements of the gen-eral course and methods by which De-partment of the Navy functions affect-ing members of the public are chan-neled and determined, including thenature and requirements of all formaland informal procedures available;

(3) Procedural rules and forms—rules ofprocedure for functions affecting mem-bers of the public, descriptions of formsavailable or the places at which formsmay be obtained, and instructions as tothe scope and contents of all papers, re-ports, or examinations required to besubmitted under such rules of proce-dures; and

(4) Substantive rules and policies—sub-stantive rules of general applicabilityadopted as authorized by law, andstatements of general policy or inter-pretations of general applicability for-mulated and adopted by the Depart-ment of the Navy. Such rules are com-monly contained in directives, manu-als, and memorandums.

(i) ‘‘General applicability’’ defined. Thedefinition prescribed in 1 CFR 1.1 per-tains to the classes of documents con-templated in § 701.64(b)(4).

(ii) Internal personnel rules and inter-nal practices. In addition to the otherexemptions listed in 5 U.S.C. 552(b) andsubpart B of this part, particular at-tention is directed to the exemptionpertaining to internal personnel rulesand internal practices.

(iii) Local regulations. It is unneces-sary to publish in the FEDERAL REG-ISTER a regulation which is essentiallylocal in scope or application, such as adirective issued by a base commanderin the implementation of hisresponsiblity and authority under sub-part G of part 700 of this title forguarding the security of the installa-tion or controlling the access and con-duct of visitors or tradesmen. However,such publication may be authorizedunder extraordinary circumstances, asdetermined by the Chief of Naval Oper-ations or the Commandant of the Ma-

rine Corps, as appropriate, with theconcurrence of the Judge AdvocateGeneral.

(iv) Incorporation by reference. Withthe approval of the Director of the Fed-eral Register given in the limited in-stances authorized in 1 CFR Part 51and 32 CFR 336.5(c), the requirementfor publication in the FEDERAL REG-ISTER may be satisfied by reference inthe FEDERAL REGISTER to other publi-cations containing the informationwhich must otherwise be published inthe FEDERAL REGISTER. In general,matters eligible for incorporation byreference are restricted to materials inthe nature of published data, criteria,standards, specifications, techniques,illustrations, or other published infor-mation which are reasonably availableto members of the class affected.

(b) Public inspection. When feasible,Department of the Navy and Depart-ment of Defense documents publishedin the FEDERAL REGISTER should bemade available for inspection andcopying, along with available indexesof such documents, in the same loca-tions used for public inspection andcopying of the documents con-templated in § 701.65.

§ 701.65 Availability, public inspection,and indexing of other documents af-fecting the public.

(a) Discussion. Section 552(a) of title5, United States Code, requires the De-partment of the Navy to make avail-able for public inspection and copyingdocuments which have precedentialsignificance on those Department ofthe Navy decisions which affect thepublic. These documents must be keptreadily available for public inspectionand copying at designated locations,unless they are promptly published andcopies are offered for sale. Addition-ally, documents issued after July 4,1967, are required to be indexed on acurrent basis. These indexes, or supple-ments thereto, must be published atleast quarterly in accordance with theprovisions of this paragraph. In deter-mining whether a particular documentis subject to the requirements of thisparagraph, consideration should begiven to the statutory purposes andlegal effect of the provisions.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.65

(1) Statutory purposes. In general, thepurpose of the requirement to providemembers of the public with essentialinformation is to enable them to dealeffectively and knowledgeably withFederal agencies; to apprise membersof the public of the existence and con-tents of documents which have poten-tial legal consequences as precedentsin administrative determinationswhich may affect them; and to permitpublic examination of the basis for ad-ministrative actions which affect thepublic.

(2) Legal effect. If a document is re-quired to be indexed and made avail-able under this paragraph, it may notbe used or asserted as a precedentagainst a member of the public unlessit was so indexed and made available,or unless the person against whom it isasserted had actual and timely noticeof its contents.

(b) Classes of documents affected. (1)Subject to the provisions of 5 U.S.C.552(b) which exempt specified mattersfrom the requirements of public disclo-sure, the following classes of Depart-ment of the Navy documents are in-cluded in the requirements of thisparagraph:

(i) Final adjudicative opinions and or-ders—opinions (including concurringand dissenting opinions) and orderswhich are issued as part of the finaldisposition of adjudication proceedings(as defined in 5 U.S.C. 551) and whichmay have precedential effect in the dis-position of other cases affecting mem-bers of the public;

(ii) Policy statements and interpreta-tions—statements of policy and inter-pretations of less than general applica-bility (i. e., applicable only to specificcases; organizations, or persons), whichare not required to be published in theFEDERAL REGISTER, but which mayhave precedential effect in the disposi-tion of other cases affecting membersof the public;

(iii) Manuals and instructions—admin-istrative staff manuals, directives, andinstructions to staff, or portions there-of, which establish Department of theNavy policy or interpretations of pol-icy that serve as a basis for determin-ing the rights of members of the publicwith regard to Department of the Navyfunctions. In general, manuals and in-

structions relating only to internalmanagement aspects of property or fis-cal accounting, personnel administra-tion, and most other ‘‘proprietary’’functions of the department are notwithin the scope of this provision. Thisprovision also does not apply to in-structions for employees on methods,techniques, and tactics to be used inperforming their duties; for example:

(A) Instructions or manuals issuedfor audit, investigation, and inspectionpurposes;

(B) Those which prescribe oper-ational tactics; standards of perform-ance; criteria for defense, prosecution,or settlement of cases; or negotiatingor bargaining techniques, limitations,or positions; and

(C) Operations and maintenancemanuals and technical informationconcerning munitions, equipment, andsystems, and foreign intelligence oper-ations.

(2) In determining whether a docu-ment has precedential effect, the pri-mary test is whether it is intended asguidance to be followed either in deci-sions or evaluations by the issuingauthority’s subordinates, or by theissuing authority itself in the adjudica-tion or determination of future casesinvolving similar facts or issues. Thekinds of orders or opinions which clear-ly would have precedential effect arethose that are intended to operate bothas final dispositions of the questionsinvolved in the individual cases pre-sented, and as rules of decision to befollowed by the issuing authority or itssubordinates in future cases involvingsimilar questions. By contrast, manyadjudicative orders and opinions issuedwithin the Department of the Navy op-erate only as case-by-case applicationsof policies or interpretations estab-lished in provisions of manuals or di-rectives and are not themselves used,cited, or relied on as rules of decisionin future cases. In these instances, theunderlying manual or directive provi-sions obviously would have preceden-tial effect, but the orders and opinionsthemselves would not have. A rec-ommendation by an official who is notauthorized to adjudicate, or to issue abinding statement of policy or inter-pretation in a particular matter wouldnot have precedential effect, though an


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order, opinion, statement of policy, orinterpretation issued by an authorizedofficial pursuant to such recommenda-tion might have that effect.

(c) Deletion of identifying details. (1)Although the exemptions from publicdisclosure described in 5 U.S.C. 552 andsubpart B of this part are applicable todocuments which are required to be in-dexed and made available for public in-spection and copying under this para-graph, there is no general requirementthat any segregable portions of par-tially exempt documents be so indexedand made available for public inspec-tion and copying. As a general rule, arecord may therefore be held exempt inits entirety from the requirements ofthis paragraph if it is determined thatit contains exempt matter and that itis reasonably foreseeable that disclo-sure would be harmful to an interestprotected by that exemption. An excep-tion to this general rule does exist withregard to a record which would be ex-empt only because it contains informa-tion which, if disclosed, would result ina clearly unwarranted invasion of pri-vacy.

(2) Where necessary to prevent aclearly unwarranted invasion of a per-son’s privacy, identifying detailsshould be deleted from a record whichis required to be indexed and madeavailable for public inspection andcopying under this paragraph. In everysuch case, the justification for the de-letion must be fully stated in writingin a manner which avoids creating in-ferences that could be injurious to theperson whose privacy is involved. Usualreasons for deletion of identifying de-tails include protection of privacy in aperson’s business affairs, medical mat-ters, or private family matters; human-itarian considerations; and avoidanceof embarrassment to a person.

(d) Publication of indexes—(1) Form ofindexes. Each index should be arrangedtopically or by descriptive words, sothat members of the public may be ableto locate the pertinent documents bysubject, rather than by case name orby a numbering system.

(2) Time of publication. Each compo-nent having cognizance of records re-quired under this paragraph to be in-dexed shall compile and maintain anindex of such records on a continually

current basis. Each such index was re-quired to initially be published by July1, 1975. An updated version of each suchindex, or a current supplement thereto,shall be published by an authorizedmethod at least annually thereafter.

(3) Methods of publication. The meth-ods authorized for publication of theindexes contemplated in this paragraphare:

(i) Publication in the FEDERAL REG-ISTER;

(ii) Commercial publication, providedthat such commercial publication isreadily available to members of thepublic, or will be made available uponrequest and payment of costs (if thismethod is utilized, information on thecost of copies and the address fromwhich they may be obtained shall bepublished in the FEDERAL REGISTER); or

(iii) Furnishing internally repro-duced copies upon request, at cost notto exceed the direct cost of duplicationin accordance with subpart D of thispart, provided that it is determined, byan order published in the FEDERALREGISTER, that the publication of theindex by methods § 701.65(d)(3) (i) or (ii)would be unnecessary or impracticable.Such order shall state the cost of cop-ies and the address from which theymay be obtained. The Chief of NavalOperations (N09B30) is authorized toissue such an order in a proper case.

(4) Public inspection of indexes. In ad-dition to publication by one of the fore-going methods, each index will be madeavailable for public inspection andcopying in accordance with § 701.65(e)at the locations where Department ofthe Navy records are available for pub-lic inspection.

(e) Where records may be inspected. Lo-cations and times at which Departmentof the Navy records, and indexes there-of, are available for public inspectionand copying are shown in § 701.32.

(f) Cost. Fees for copying services, ifany, furnished at locations shown in§ 701.32 shall be determined in accord-ance with subpart D of this part.

(g) Records of the United States Navy-Marine Corps Court of Military Review.The United States Navy-Marine CorpsCourt of Military Review is deemed tobe a ‘‘court of the United States’’ with-in the meaning of 5 U.S.C. 551 and is


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32 CFR Ch. VI (7–1–98 Edition)§ 701.66

therefore excluded from the require-ments of 5 U.S.C. 552. Nevertheless, un-published decisions of the UnitedStates Navy-Marine Corps Court ofMilitary Review, although not indexed,are available for public inspection atthe location shown in § 701.32(c).

§ 701.66 Publication of proposed regu-lations for public comment.

(a) Discussion. The requirements ofthis section are not imposed by stat-ute, but are the implementation ofpolicies and procedures created admin-istratively in 32 CFR part 336. In effect,the pertinent provisions of 32 CFR part336 establish, within the Department ofDefense and its components, proce-dures that are analogous to the publicrulemaking procedures applicable tosome functions of other Federal agen-cies under 5 U.S.C. 553. While the ad-ministrative policy of encouraging themaximum practicable public participa-tion in the Department of the Navyrulemaking shall be diligently fol-lowed, determinations by the Depart-ment of the Navy as to whether a pro-posed regulatory requirement origi-nated by it comes within the purviewof this paragraph and the correspond-ing provisions of 32 CFR part 336, andas to whether inviting public commentis warranted, shall be conclusive andfinal.

(b) Classes of documents affected. Eachproposed regulation or other documentof a class described in § 701.64(a) (or aproposed revision of an adopted docu-ment of any of those classes) whichwould ‘‘originate’’ within the Depart-ment of the Navy a requirement of gen-eral applicability and future effect forimplementing, interpreting, or pre-scribing law or policy, or practice andprocedure requirements constitutingauthority for prospective actions hav-ing substantial and direct impact onthe public, or a significant portion ofthe public, must be evaluated to deter-mine whether inviting public commentprior to issuance is warranted. Docu-ments that merely implement regula-tions previously issued by higher navalauthorities or by the Department ofDefense will not be deemed to ‘‘origi-nate’’ requirements within the purviewof this section. If a proposed documentis within the purview of this section,

publication to invite public commentwill be warranted unless, upon evalua-tion, it is affirmatively determinedboth that a significant and legitimateinterest of the Department of the Navyor the public will be served by omittingsuch publication for public comment,and that the document is subject toone or more of the following excep-tions:

(1) It pertains to a military or foreignaffairs function of the United Stateswhich has been determined under thecriteria of an Executive Order or stat-ute to require a security classificationin the interests of national defense orforeign policy;

(2) It relates to naval management,naval military or civilian personnel, orpublic contracts (e.g., Navy Procure-ment Directives), including non-appropriated fund contracts;

(3) It involves interpretative rules,general statements of policy, or rulesof agency organization, procedure, orpractice; or

(4) It is determined with regard tothe document, for good cause, that in-viting public comment is impractica-ble, unnecessary, or contrary to thepublic interest.

(c) Procedures—(1) Normal case. Unlessthe official having cognizance of a pro-posed regulatory document determinesunder the criteria of § 701.66(b) that in-viting public comment is not war-ranted, he or she shall cause it to bepublished in the FEDERAL REGISTERwith an invitation for the public tosubmit comments in the form of writ-ten data, views, or arguments during aspecified period of not less than 30 daysfollowing the date of publication. Anopportunity for oral presentation nor-mally will not be provided, but may beprovided at the sole discretion of theofficial having cognizance of the pro-posed directive if he or she deems it tobe in the best interest of the Depart-ment of the Navy or the public to doso. After careful consideration of allrelevant matters presented within theperiod specified for public comment,the proposed document may be issuedin final form. After issuance, theadopted document, and a preamble ex-plaining the relationship of the adopt-ed document to the proposed documentand the nature and effect of public


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1 Copies may be obtained, at cost, from theNational Technical Information Service, 5285Port Royal Road, Springfield, VA 22161.

2 See footnote 1 to § 701.100.

comments, shall be published in theFEDERAL REGISTER for the guidance ofthe public.

(2) Where public comment is not war-ranted. The official having cognizanceof a proposed document within the pur-view of this paragraph shall, if he orshe determines that inviting publiccomment concerning the document isnot warranted under the criteria of§ 701.66(b), incorporate that determina-tion, and the basis therefor, in the doc-ument when it is issued or submittedto a higher authority for issuance.After issuance, such document shall bepublished in the FEDERAL REGISTER forthe guidance of the public, if requiredunder § 701.64(b).

§ 701.67 Petitions for issuance, revi-sion, or cancellation of regulationsaffecting the public.

In accordance with the provisions of32 CFR part 336, the Department of theNavy shall accord any interested per-son the right to petition, in writing,for the issuance, revision, or cancella-tion of regulatory document that origi-nates, or would originate, for the De-partment of the Navy, a policy, re-quirement, or procedure which is, orwould be, within the purview of § 701.66.The official having cognizance of theparticular regulatory document in-volved, or having cognizance of thesubject matter of a proposed document,shall give full and prompt consider-ation to any such petition. Such offi-cial may, at his or her absolute discre-tion, grant the petitioner an oppor-tunity to appear, at his or her own ex-pense, for the purpose of supporting thepetition, if this is deemed to be com-patible with orderly conduct of publicbusiness. The petitioner shall be ad-vised in writing of the disposition, andthe reasons for the disposition, of anypetition within the purview of this sec-tion.

Subpart F—Department of theNavy Privacy Act Program

AUTHORITY: Pub. L. 93–579, 88 stat. 1896 (5U.S.C. 552a).

SOURCE: 59 FR 55348, Nov. 7, 1994, unlessotherwise noted.

§ 701.100 Purpose.

Subparts F and G of this part imple-ment the Privacy Act (5 U.S.C. 552a),and DoD Directive 5400.11 1, and DoD5400.11–R 2, (see 32 CFR part 310) andprovides Department of the Navy poli-cies and procedures for:

(a) Governing the collection, safe-guarding, maintenance, use, access,amendment, and dissemination of per-sonal information kept by Departmentof the Navy in systems of records;

(b) Notifying individuals if any sys-tems of records contain a record per-taining to them;

(c) Verifying the identity of individ-uals who request their records beforethe records are made available tothem;

(d) Notifying the public of the exist-ence and character of each system ofrecords.

(e) Exempting systems of recordsfrom certain requirements of the Pri-vacy Act; and

(f) Governing the Privacy Act rulesof conduct for Department of the Navypersonnel, who will be subject to crimi-nal penalties for noncompliance with 5U.S.C. 552a, as amended by the Com-puter Matching Act of 1988.

§ 701.101 Applicability.

This subpart and subpart G of thispart apply throughout the Departmentof the Navy. It is also applicable tocontractors by contract or other le-gally binding action, whenever a De-partment of the Navy contract pro-vides for the operation of a system ofrecords or portion of a system ofrecords to accomplish a Department ofthe Navy function. For the purposes ofany criminal liabilities adjudged, anycontractor or any employee of suchcontractor is considered to be an em-ployee of Department of the Navy. Incase of a conflict, this subpart and sub-part G of this part take precedenceover any existing Department of theNavy directive that deals with the per-sonal privacy and rights of individuals


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32 CFR Ch. VI (7–1–98 Edition)§ 701.102

3 Copies available from Chief of Naval Oper-ations (N09B30), 2000 Navy Pentagon, Wash-ington, DC 20350–2000.

regarding their personal records, ex-cept for disclosure of personal informa-tion required by 5 U.S.C. 552 (1988) asamended by the Freedom of Informa-tion Reform Act and implemented bySecretary of the Navy Instruction5720.42E 3, ‘‘Department of the NavyFreedom of Information Act Program.’’

§ 701.102 Definitions.For the purposes of this subpart and

subpart G of this part, the followingmeanings apply.

(a) Access. The review or copying of arecord or parts thereof contained in asystem of records by any individual.

(b) Agency. For the purposes of dis-closing records subject to the PrivacyAct between or among Department ofDefense (DoD) components, the Depart-ment of Defense is considered a singleagency. For all other purposes, Depart-ment of the Navy is considered anagency within the meaning of PrivacyAct.

(c) Confidential source. A person or or-ganization who has furnished informa-tion to the Federal Government eitherunder an express promise that the per-son’s or the organization’s identity willbe held in confidence or under an im-plied promise of such confidentiality ifthis implied promise was made beforeSeptember 27, 1975.

(d) Defense Data Integrity Board. Con-sists of members of the Defense Pri-vacy Board, as outlined in DoD Direc-tive 5400.11 and, in addition, the DoDInspector General or the designee,when convened to oversee, coordinateand approve or disapprove all DoDcomponent computer matching coveredby the Privacy Act.

(e) Disclosure. The transfer of anypersonal information from a system ofrecords by any means of communica-tion (such as oral, written, electronic,mechanical, or actual review), to anyperson, private entity, or governmentagency, other than the subject of therecord, the subject’s designated agentor the subject’s legal guardian.

(f) Federal personnel. Officers and em-ployees of the Government of theUnited States, members of the uni-

formed services (including members ofthe Reserve Components), individualsor survivors thereof, entitled to receiveimmediate or deferred retirement bene-fits under any retirement program ofthe Government of the United States(including survivor benefits).

(g) Individual. A living citizen of theUnited States or alien lawfully admit-ted to the U.S. for permanent resi-dence. The legal guardian of an individ-ual has the same rights as the individ-ual and may act on his or her behalf.No rights are vested in the representa-tive of a deceased person under this in-struction and the term ‘‘individual’’does not embrace an individual actingin a non-personal capacity (for exam-ple, sole proprietorship or partnership).

(h) Individual access. Access to infor-mation pertaining to the individual bythe individual or his or her designatedagent or legal guardian.

(i) Maintain. Includes maintain, col-lect, use, or disseminate.

(j) Member of the public. Any individ-ual or party acting in a private capac-ity.

(k) Minor. Under this subpart andsubpart G of this part, a minor is an in-dividual under 18 years of age, who isnot a member of the U.S. Navy or Ma-rine Corps, nor married.

(l) Official use. Under this subpart andsubpart G of this part, this term is usedwhen Department of the Navy officialsand employees have a demonstratedneed for the use of any record or the in-formation contained therein in the per-formance of their official duties.

(m) Personal information. Informationabout an individual that is intimate orprivate to the individual, as distin-guished from information related sole-ly to the individual’s official functionsor public life.

(n) Privacy Act (PA) request. A requestfrom an individual for notification asto the existence of, access to, oramendment of records pertaining tothat individual. These records must bemaintained in a system of records.

(o) Record. Any item, collection, orgrouping of information about an indi-vidual that is maintained by a navalactivity including, but not limited to,the individual’s education, financialtransactions, and medical, criminal, oremployment history, and that contains


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the individual’s name or other identify-ing particulars assigned to the individ-ual, such as a finger or voice print or aphotograph.

(p) Review authority. An officialcharged with the responsibility to ruleon administrative appeals of initial de-nials of requests for notification, ac-cess, or amendment of records. TheSecretary of the Navy has delegatedhis review authority to the AssistantSecretary of the Navy (Manpower andReserve Affairs (ASN(M&RA)), theGeneral Counsel (OGC), and the JudgeAdvocate General (NJAG). Addition-ally, the Office of Personnel Manage-ment (OPM) is the review authority forcivilian official personnel folders orrecords contained in any other OPMrecord.

(q) Risk assessment. An analysis whichconsiders information sensitivity, vul-nerability, and cost to a computer fa-cility or word processing center in safe-guarding personal information proc-essed or stored in the facility or center.

(r) Routine use. Disclosure of a recordoutside the Department of Defense fora purpose that is compatible with thepurpose for which the record was col-lected and maintained by the Depart-ment of Defense. The routine use musthave been included in the notice for thesystem of records published in the FED-ERAL REGISTER.

(s) Statistical record. A record main-tained only for statistical research, orreporting purposes, and not used inwhole or in part in making any deter-mination about a specific individual.

(t) System manager. An official whohas overall responsibility for a systemof records. He or she may serve at anylevel in Department of the Navy. Sys-tems managers are indicated in thepublished record systems notices. Ifmore than one official is indicated as asystem manager, initial responsibilityresides with the manager at the appro-priate level (i.e., for local records, atthe local activity).

(u) System of records. A group ofrecords under the control of a Depart-ment of the Navy activity from whichinformation is retrieved by the individ-ual’s name or by some identifyingnumber, symbol, or other identifyingparticular assigned to the individual.System notices for all Privacy Act sys-

tems of records must be published inthe FEDERAL REGISTER and are alsopublished in periodic Chief of Naval Op-erations Notes (OPNAVNOTEs) 5211 4.

(v) Word processing equipment. Anycombination of electronic hardwareand computer software integrated in avariety of forms (firmware, program-mable software, hard wiring, or similarequipment) that permits the processingof textual data. Generally, the equip-ment contains a device to receive in-formation, a computer-like processorwith various capabilities to manipulatethe information, a storage medium,and an output device.

(w) Word processing system. A com-bination of equipment employing auto-mated technology, systematic proce-dures, and trained personnel for theprimary purpose of manipulatinghuman thoughts and verbal or writtencommunications into a form suitableto the originator. The results are writ-ten or graphic presentations intendedto communicate verbally or visuallywith another individual.

(x) Working day. All days excludingSaturday, Sunday, and legal holidays.

§ 701.103 Policy.It is the policy of Department of the

Navy to:(a) Ensure that all its personnel com-

ply fully with 5 U.S.C. 552a, DoD Direc-tive 5400.11 and DoD 5400.11–R, to pro-tect individuals from unwarranted in-vasions of privacy. Individuals coveredby this protection are living citizens ofthe U.S. or aliens lawfully admitted forpermanent residence. A legal guardianof an individual or parent of a minorwhen acting on the individual’s or mi-nor’s behalf, has the same rights as theindividual or minor. (A member of theArmed Forces is not a minor for thepurposes of this subpart and subpart Gof this part).

(b) Collect, maintain, and use onlythat personal information needed tosupport a Navy function or program asauthorized by law or E.O., and disclosethis information only as authorized by5 U.S.C. 552a and this subpart and sub-part G of this part. In assessing need,consideration shall be given to alter-natives, such as use of information not


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32 CFR Ch. VI (7–1–98 Edition)§ 701.104

individually identifiable or use of sam-pling of certain data for certain indi-viduals only. Additionally, consider-ation is to be given to the length oftime information is needed, and thecost of maintaining the informationcompared to the risks and adverse con-sequences of not maintaining the infor-mation.

(c) Keep only personal informationthat is timely, accurate, complete, andrelevant to the purpose for which itwas collected.

(d) Let individuals have access to,and obtain copies of, all or portions oftheir records, subject to exemptionprocedures authorized by law and thissubpart and subpart G of this part.

(e) Let individuals request amend-ment of their records when discrep-ancies proven to be erroneous, un-timely, incomplete, or irrelevant arenoted.

(f) Let individuals request an admin-istrative review of decisions that denythem access, or refuse to amend theirrecords.

(g) Ensure that adequate safeguardsare enforced to prevent misuse, unau-thorized disclosure, alteration, or de-struction of personal information inrecords.

(h) Maintain no records describinghow an individual exercises his or herrights guaranteed by the First Amend-ment (freedom of religion, political be-liefs, speech, and press; peaceful assem-blage; and petition for redress of griev-ances), unless they are:

(1) Expressly authorized by statute;(2) Authorized by the individual;(3) Within the scope of an authorized

law enforcement activity; or(4) For the maintenance of certain

items of information relating to reli-gious affiliation for members of thenaval service who are chaplains. Thisshould not be construed, however, asrestricting or excluding solicitation ofinformation which the individual iswilling to have in his or her record con-cerning religious preference, particu-larly that required in emergency situa-tions.

(5) Maintain only systems of recordswhich have been published in the FED-ERAL REGISTER, in accordance withperiodic Chief of Naval OperationsNotes (OPNAVNOTEs) 5211 and

§ 701.105. These OPNAVNOTEs 5211 pro-vide a listing of all Department of theNavy Privacy Act systems of recordsand identify the Office of PersonnelManagement (OPM) government-widesystems containing information on De-partment of the Navy civilian employ-ees, even though technically, Depart-ment of the Navy does not have cog-nizance over them. A Privacy Act sys-tems notice outlines what kinds of in-formation may be collected and main-tained by naval activities. When col-lecting/maintaining information in aPrivacy Act system of records, reviewthe systems notice to ensure activitycompliance is within the scope of thesystem. If you determine the systemsnotice does not meet your needs, con-tact the systems manager or Chief ofNaval Operations (N09B30) with yourconcerns so that amendment of thesystem may be considered.

§ 701.104 Responsibility and authority.(a) Chief of Naval Operations (CNO).

CNO is designated as the official re-sponsible for administering and super-vising the execution of 5 U.S.C. 552a,DoD Directive 5400.11, and DoD 5400.11–R. CNO has designated the AssistantVice Chief of Naval Operations (N09B30)as principal Privacy Act Coordinatorfor the Department of the Navy to:

(1) Set Department of the Navy pol-icy on the provisions of the PrivacyAct.

(2) Serve as principal advisor on allPrivacy Act matters.

(3) Oversee the administration of thePrivacy Act program, which includespreparing the Department of the NavyPrivacy Act report for submission toCongress.

(4) Develop Navy-wide Privacy Acttraining program and serve as training-oversight manager.

(5) Conduct staff assistance visitswithin Department of the Navy to re-view compliance with 5 U.S.C. 552a andthis subpart and subpart G of this part.

(6) Coordinate and prepare responsesfor Privacy Act requests received forOffice of the Secretary of the Navyrecords.

(b) Commandant of the Marine Corps(CMC). CMC is responsible for admin-istering and supervising the executionof this subpart and subpart G of this


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5 Copies available from the Judge AdvocateGeneral, Navy Department, 200 StovallStreet, Alexandria, VA 22332–2400.

part within the Marine Corps. TheCommandant has designated the Direc-tor, Manpower Management Informa-tion Systems Division (HQMC (CodeMI)) as the Privacy Act coordinator forHeadquarters, U.S. Marine Corps.

(c) Privacy Act Coordinator. Each ad-dressee is responsible for implementingand administering a Privacy Act pro-gram under this subpart and subpart Gof this part. Each addressee shall des-ignate a Privacy Act Coordinator to:

(1) Serve as principal point of contacton Privacy Act matters.

(2) Provide training for activity/com-mand personnel on the provisions of 5U.S.C. 552a and this subpart and sub-part G of this part.

(3) Issue implementing instructionwhich designates the activity’s PrivacyAct Coordinator, Privacy Act recordsdisposition, Privacy Act processingprocedures, identification of PrivacyAct systems of records under their cog-nizance, and training aids for thosepersonnel involved with systems ofrecords.

(4) Review internal directives, prac-tices, and procedures, including thosehaving Privacy Act implications andwhere Privacy Act Statements (PASs)are needed.

(5) Compile input and submit consoli-dated Privacy Act report to Echelon 2Privacy Act Coordinator, who, in turn,will provide consolidated report to CNO(N09B30).

(6) Maintain liaison with recordsmanagement officials (i.e., mainte-nance and disposal procedures andstandards, forms, and reports), as ap-propriate.

(7) Provide guidance on handling Pri-vacy Act requests and scope of PrivacyAct exemptions.

(8) Conduct staff assistance visitswithin command and lower echeloncommands to ensure compliance withthe Privacy Act.

(9) Echelon 2 Privacy Act Coordina-tors shall provide CNO (N09B30) with acomplete listing of all Privacy Act Co-ordinators under their jurisdiction.Such information should include activ-ity name and address, office code,name of Privacy Act Coordinator, com-mercial and DSN telephone number,and FAX number, if applicable.

(d) Release authority. Officials havingcognizance over the requested subjectmatter are authorized to respond to re-quests for notification, access, and/oramendment of records. These officialscould also be systems managers (see§ 701.104(g)).

(e) Denial authority. Within the De-partment of the Navy, the followingchief officials, their respective vicecommanders, deputies, principal assist-ants, and those officials specificallydesignated by the chief official are au-thorized to deny requests, either inwhole or in part, for notification, ac-cess and amendment, made under thissubpart and subpart G of this part,when the records relate to matterswithin their respective areas of respon-sibility or chain of command:

(1) Department of the Navy. CivilianExecutive Assistants; CNO; CMC; Chiefof Naval Personnel; Commanders of theNaval Systems Commands, Office ofNaval Intelligence, Naval SecurityGroup Command, Naval Imaging Com-mand, and Naval Computer and Tele-communications Command; Chief, Bu-reau of Medicine and Surgery; AuditorGeneral of the Navy; Naval InspectorGeneral; Director, Office of CivilianPersonnel Management; Chief of NavalEducation and Training; Commander,Naval Reserve Force; Chief of NavalResearch; Commander, Naval Oceanog-raphy Command; heads of Departmentof the Navy Staff Offices, Boards, andCouncils; Flag Officers and General Of-ficers. NJAG and his Deputy, and OGCand his Deputies are excluded from thisgrant of authorization. While NJAGand OGC are not denial authorities,they are authorized to further delegatethe authority conferred here to othersenior officers/officials within NJAGand OGC.

(2) For the shore establishment.(i) Allofficers authorized under Article 22,Uniform Code of Military Justice(UCMJ) or designated in section 0120,Manual of the Judge Advocate General(JAGINST 5800.7C) 5, to convene generalcourts-martial.

(ii) Commander, Naval InvestigativeService Command.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.105


(iii) Deputy Commander, Naval LegalService Command.

(3) In the Operating Forces. All officersauthorized by Article 22, Uniform Codeof Military Justice (UCMJ), or des-ignated in section 0120, Manual of theJudge Advocate General (JAGINST5800.7C), to convene general courts-martial.

(f) Review authority. (1) The AssistantSecretary of the Navy (Manpower andReserve Affairs), is the Secretary’s des-ignee, and shall act upon requests foradministrative review of initial denialsof requests for amendment of recordsrelated to fitness reports and perform-ance evaluations of military personnel(see § 701.111(c)(3)).

(2) The Judge Advocate General andGeneral Counsel, as the Secretary’sdesignees, shall act upon requests foradministrative review of initial denialsof records for notification, access, oramendment of records, as set forth in§ 701.111(c)(2) and (4).

(3) The authority of the Secretary ofthe Navy (SECNAV), as the head of anagency, to request records subject tothe Privacy Act from an agency exter-nal to the Department of Defense forcivil or criminal law enforcement pur-poses, under subsection (b)(7) of 5U.S.C. 552a, is delegated to the Com-mandant of the Marine Corps, the Di-rector of Naval Intelligence, the JudgeAdvocate General, and the GeneralCounsel.

(g) Systems manager. Systems man-agers, as designated in Department ofthe Navy’s compilation of systems no-tices (periodic Chief of Naval Oper-ations Notes (OPNAVNOTEs) 5211 6,‘‘Current Privacy Act Issuances’’)shall:

(1) Ensure the system has been pub-lished in the FEDERAL REGISTER andthat any additions or significantchanges are submitted to CNO (N09B30)for approval and publication. The sys-tems of records should be maintainedin accordance with the systems noticesas published in the periodic Chief ofNaval Operations Notes(OPNAVNOTEs) 5211, ‘‘Current PrivacyAct Issuances.’’

(2) Maintain accountability recordsof disclosures.

(h) Department of the Navy employees.Each employee of the Department ofthe Navy has certain responsibilitiesfor safeguarding the rights of others.These include:

(1) Not disclosing any informationcontained in a system of records byany means of communication to anyperson or agency, except as authorizedby this subpart and subpart G of thispart.

(2) Not maintaining unpublished offi-cial files which would fall under theprovisions of 5 U.S.C. 552a.

(3) Safeguarding the privacy of indi-viduals and confidentiality of personalinformation contained in a system ofrecords.

§ 701.105 Systems of records.To be subject to this subpart and sub-

part G of this part, a ‘‘system ofrecords’’ must consist of ‘‘records’’that are retrieved by the name, orsome other personal identifier, of anindividual and be under the control ofDepartment of the Navy.

(a) Retrieval practices. (1) Records in agroup of records that are not retrievedby personal identifiers are not coveredby this subpart and subpart G of thispart, even if the records contain infor-mation about individuals and are underthe control of Department of the Navy.The records must be retrieved by per-sonal identifiers to become a system ofrecords.

(2) If records previously not retrievedby personal identifiers are rearrangedso they are retrieved by personal iden-tifiers, a new system notice must besubmitted in accordance with § 701.107.

(3) If records in a system of recordsare rearranged so retrieval is no longerby personal identifiers, the records areno longer subject to this subpart andsubpart G of this part and the recordssystem notice should be deleted in ac-cordance with § 701.107.

(b) Recordkeeping standards. A recordmaintained in a system of records sub-ject to this subpart and subpart G ofthis part must meet the following cri-teria:

(1) Be accurate. All information inthe record must be factually correct.

(2) Be relevant. All information con-tained in the record must be related tothe individual who is the record subject


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and also must be related to a lawfulpurpose or mission of the Departmentof the Navy activity maintaining therecord.

(3) Be timely. All information in therecord must be reviewed periodically toensure that it has not changed due totime or later events.

(4) Be complete. It must be able tostand alone in accomplishing the pur-pose for which it is maintained.

(5) Be necessary. All information inthe record must be needed to accom-plish a Department of the Navy mis-sion or purpose established by FederalLaw or E.O. of the President.

(c) Authority to establish systems ofrecords. Identify the specific Federalstatute or E.O. of the President thatauthorizes maintaining each system ofrecords. When a naval activity uses its‘‘internal housekeeping’’ statute, i.e., 5U.S.C. 301, Departmental Regulations,the naval instruction that implementsthe statute should also be identified. Astatute or E.O. authorizing a system ofrecords does not negate the responsibil-ity to ensure the information in thesystem of records is relevant and nec-essary.

(d) Exercise of First Amendment rights.(1) Do not maintain any records de-scribing how an individual exercisesrights guaranteed by the First Amend-ment of the U.S. Constitution unlessexpressly authorized by Federal law;the individual; or pertinent to andwithin the scope of an authorized lawenforcement activity.

(2) First amendment rights include,but are not limited to, freedom of reli-gion, freedom of political beliefs, free-dom of speech, freedom of the press,the right to assemble, and the right topetition.

(e) System manager’s evaluations andreviews. (1) Evaluate each new systemof records. Before establishing a sys-tem of records, evaluate the informa-tion to be included and consider thefollowing:

(i) The relationship of each item ofinformation to be collected and re-tained to the purpose for which thesystem is maintained (all informationmust be relevant to the purpose);

(ii) The specific impact on the pur-pose or mission if each category of in-formation is not collected (all informa-

tion must be necessary to accomplish alawful purpose or mission.);

(iii) The ability to meet the informa-tional needs without using personalidentifiers (will anonymous statisticalrecords meet the needs?);

(iv) The length of time each item ofinformation must be kept;

(v) The methods of disposal;(vi) The cost of maintaining the in-

formation; and(vii) Whether a system already exists

that serves the purpose of the new sys-tem.

(2) Evaluate and review all existingsystems of records.

(i) When an alteration or amendmentof an existing system is prepared pur-suant to § 701.107(b) and (c), do the eval-uation described in § 701.105(e).

(ii) Conduct the following reviews an-nually and be prepared to report, in ac-cordance with § 701.104(c)(8), the resultsand corrective actions taken to resolveproblems uncovered.

(A) Training practices to ensure allpersonnel are familiar with the re-quirements of 5 U.S.C. 552a, and DoDDirective 5400.11, ‘‘DoD Privacy Pro-gram’’, this subpart and subpart G ofthis part, and any special needs theirspecific jobs entail.

(B) Recordkeeping and disposal prac-tices to ensure compliance with thissubpart and subpart G of this part.

(C) Ongoing computer matching pro-grams in which records from the sys-tem have been matched with non-DoDrecords to ensure that the require-ments of § 701.115 have been met.

(D) Actions of Department of theNavy personnel that resulted in eitherDepartment of the Navy being foundcivilly liable or a person being foundcriminally liable under 5 U.S.C. 552a, todetermine the extent of the problemand find the most effective way of pre-venting the problem from occurring inthe future.

(E) Each system of records notice toensure it accurately describes the sys-tem. Where major changes are needed,alter the system notice in accordancewith § 701.107(b). If minor changes areneeded, amend the system notice pur-suant to § 701.107(c).

(iii) Every even-numbered year, re-view a random sample of Departmentof the Navy contracts that provide for


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32 CFR Ch. VI (7–1–98 Edition)§ 701.105

7 Copies available from OPNAV/SECNAVDirectives Control Office, Washington NavyYard, Building 200, Washington, DC 20350–2000.

the operation of a system of records toaccomplish a Department of the Navyfunction, to ensure the wording of eachcontract complies with the provisionsof 5 U.S.C. 552a and § 701.105(h).

(iv) Every three years, beginning in1992, review the routine use disclosuresassociated with each system of recordsto ensure the recipient’s use of therecords continues to be compatiblewith the purpose for which the infor-mation was originally collected.

(v) Every three years, beginning in1993, review each system of records forwhich exemption rules have been estab-lished to determine whether each ex-emption is still needed.

(vi) When directed, send the reportsthrough proper channels to the CNO(N09B30).

(f) Discontinued information require-ments. (1) Immediately stop collectingany category or item of informationabout individuals that is no longer jus-tified, and when feasible, remove theinformation from existing records.

(2) Do not destroy records that mustbe kept in accordance with retentionand disposal requirements establishedunder SECNAVINST 5212.5 7, ‘‘Disposalof Navy and Marine Corps Records.’’

(g) Review records before disclosing out-side the Federal government. Before dis-closing a record from a system ofrecords to anyone outside the Federalgovernment, take reasonable steps toensure the record which is being dis-closed is accurate, relevant, timely,and complete for the purposes it isbeing maintained.

(h) Federal government contractors—(1)Applicability to Federal government con-tractors. (i) When a naval activity con-tracts for the operation of a system ofrecords to accomplish its function, theactivity must ensure compliance withthis subpart and subpart G of this partand 5 U.S.C. 552a. For the purposes ofthe criminal penalties described in 5U.S.C. 552a, the contractor and its em-ployees shall be considered employeesof the agency during the performanceof the contract.

(ii) Consistent with Parts 24 and 52 ofthe Federal Acquisition Regulation

(FAR), contracts for the operation of asystem of records shall identify specifi-cally the record system and the workto be performed, and shall include inthe solicitations and resulting contractthe terms as prescribed by the FAR.

(iii) If the contractor must userecords that are subject to this subpartand subpart G of this part to performany part of a contract, the contractoractivities are subject to this subpartand subpart G of this part.

(iv) This subpart and subpart G ofthis part do not apply to records of acontractor that are:

(A) Established and maintained sole-ly to assist the contractor in makinginternal contractor management deci-sions, such as records maintained bythe contractor for use in managing thecontract;

(B) Maintained as internal contractoremployee records, even when used inconjunction with providing goods orservices to the naval activity;

(C) Maintained as training records byan educational organization contractedby a naval activity to provide trainingwhen the records of the contract stu-dents are similar to and commingledwith training records of other students,such as admission forms, transcripts,and academic counseling and similarrecords; or

(D) Maintained by a consumer report-ing agency to which records have beendisclosed under contract in accordancewith 31 U.S.C. 952d.

(v) For contracting that is subject tothis subpart and subpart G of this part,naval activities shall publish instruc-tions that:

(A) Furnish Privacy Act guidance topersonnel who solicit, award, or admin-ister Government contracts;

(B) Inform prospective contractors oftheir responsibilities under this sub-part and subpart G of this part and theDepartment of the Navy Privacy Pro-gram;

(C) Establish an internal system forreviewing contractor’s performance forcompliance with the Privacy Act; and

(D) Provide for the biennial review ofa random sample of contracts that aresubject to this subpart and subpart Gof this part.

(2) Contracting procedures. The De-fense Acquisition Regulatory (DAR)


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Council, which oversees the implemen-tation of the FAR within the Depart-ment of Defense, is responsible for de-veloping the specific policies and pro-cedures for soliciting, awarding, andadministering contracts that are sub-ject to this subpart and subpart G ofthis part and 5 U.S.C. 552a.

(3) Contractor compliance. Naval ac-tivities shall establish contract sur-veillance programs to ensure contrac-tors comply with the procedures estab-lished by the DAR Council under thepreceding subparagraph.

(4) Disclosing records to contractors.Disclosing records to a contractor foruse in performing a contract let by anaval activity is considered a disclo-sure within Department of the Navy.The contractor is considered the agentof Department of the Navy when re-ceiving and maintaining the records forthat activity.

§ 701.106 Safeguarding records in sys-tems of records.

Establish appropriate administrative,technical, and physical safeguards toensure the records in every system ofrecords are protected from unauthor-ized alteration, destruction, or disclo-sure. Protect the records from reason-ably anticipated threats or hazardsthat could result in substantial harm,embarrassment, inconvenience, or un-fairness to any individual on whom in-formation is maintained.

(a) Minimum standards. (1) Conductrisk analysis and management plan-ning for each system of records. Con-sider sensitivity and use of the records,present and projected threats andvulnerabilities, and present and pro-jected cost-effectiveness of safeguards.The risk analysis may vary from an in-formal review of a small, relatively in-sensitive system to a formal, fullyquantified risk analysis of a large,complex, and highly sensitive system.

(2) Train all personnel operating asystem of records or using records froma system of records in proper record se-curity procedures.

(3) Label information exempt fromdisclosure under this subpart and sub-part G of this part to reflect their sen-sitivity, such as ‘‘FOR OFFICIAL USEONLY,’’ ‘‘PRIVACY ACT SENSITIVE:DISCLOSE ON A NEED-TO-KNOW

BASIS ONLY,’’ or some other state-ment that alerts individuals of the sen-sitivity to the records.

(4) Administer special administra-tive, physical, and technical safeguardsto protect records processed or storedin an automated data processing orword processing system to protectthem from threats unique to those en-vironments.

(b) Records disposal. (1) Dispose ofrecords from systems of records so asto prevent inadvertent disclosure. Dis-posal methods are considered adequateif the records are rendered unrecogniz-able or beyond reconstruction (i.e.,such as tearing, burning, melting,chemical decomposition, burying,pulping, pulverizing, shredding, or mu-tilation). Magnetic media may becleared by completely erasing, over-writing, or degaussing the tape.

(2) The transfer of large volumes ofrecords (e.g., printouts and computercards) in bulk to a disposal activitysuch as a Defense Reutilization andMarketing Office for authorized dis-posal is not a disclosure of records, ifthe volume of records, coding of the in-formation, or some other factor renderit impossible to recognize any personalinformation about a specific individ-ual.

(3) When disposing or destroyinglarge quantities of records from a sys-tem of records, care must be taken toensure that the bulk of the records ismaintained to prevent easy identifica-tion of specific records. If such bulk ismaintained, no special procedures arerequired. If bulk is not maintained, orif the form of the records makes indi-vidually identifiable information easilydiscernable, dispose of the records inaccordance with § 701.106(b)(1).

§ 701.107 Criteria for creating, alter-ing, amending and deleting PrivacyAct systems of records.

(a) Criteria for a new system of records.A new system of records is one forwhich no existing system notice hasbeen published in the FEDERAL REG-ISTER. If a notice for a system ofrecords has been canceled or deleted,and it is determined that it should bereinstated or reused, a new system no-tice must be published in the FEDERALREGISTER. Advance public notice must


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32 CFR Ch. VI (7–1–98 Edition)§ 701.108

be given before a naval activity maybegin to collect information for or usea new system of records. The followingprocedures apply:

(1) Describe in the record system no-tice the contents of the record systemand the purposes and routine uses forwhich the information will be used anddisclosed.

(2) The public shall be given 30 daysto comment on any proposed routineuses before the routine uses are imple-mented.

(3) The notice shall contain the datethe system of records will become ef-fective.

(b) Criteria for an alteration to a systemof records notice. A system is consideredaltered when any one of the followingactions occur or is proposed:

(1) A significant increase or changein the number or types of individualsabout whom records are maintained.For example, a decision to expand asystem of records that originally cov-ered personnel assigned to only onenaval activity to cover personnel atseveral installations would constitutean altered system. An increase or de-crease in the number of individualscovered due to normal growth or de-crease is not an alteration.

(2) A change that expands the typesor categories of information main-tained. For example, a personnel filethat has been expanded to include med-ical records would be an alteration.

(3) A change that alters the purposefor which the information is used. Inorder to be an alteration, the changemust be one that is not reasonably in-ferred from any of the existing pur-poses.

(4) A change to equipment configura-tion (either hardware or software) thatcreates substantially greater use ofrecords in the system. For example,placing interactive computer terminalsat regional offices when the systemwas formerly used only at the head-quarters would be an alteration.

(5) A change in the manner in whichrecords are organized or in the methodby which records are retrieved.

(6) Combining record systems due toa reorganization within Department ofthe Navy.

(7) Retrieving by Social SecurityNumbers (SSNs), records that pre-

viously were retrieved only by nameswould be an alteration if the presentnotice failed to indicate retrieval bySSNs. An altered system of recordsmust be published in the FEDERAL REG-ISTER. Submission for an alterationmust contain a narrative statement,the specific changes altering the sys-tem, and the system of records notice.

(c) Criteria for amending a systems ofrecords notice. Minor changes to pub-lished system of records notices areconsidered amendments. All amend-ments should be forwarded to CNO(N09B30) for publication in the FED-ERAL REGISTER. When submitting anamendment to a system of records no-tice, the naval activity must include adescription of the specific changes pro-posed and the system of records notice.

(d) Criteria for deleting a system ofrecords notice. When a system of recordsis discontinued, incorporated into an-other system, or determined to be nolonger subject to this subpart and sub-part G of this part, a deletion noticemust be published in the FEDERAL REG-ISTER. The deletion notice shall includethe system identification number, sys-tem name, and the reason for deletingit. If a system is deleted through incor-poration into or merger with anothersystem, identify the successor systemin the deletion notice.

§ 701.108 Collecting information aboutindividuals.

(a) Collecting directly from the individ-ual. To the greatest extent practicable,collect information for systems ofrecords directly from the individual towhom the record pertains if the recordmay be used to make an adverse deter-mination about the individual’s rights,benefits, or privileges under the Fed-eral programs.

(b) Collecting information about indi-viduals from third persons. It might notalways be practical to collect all infor-mation about an individual directlyfrom that person, such as verifying in-formation through other sources for se-curity or employment suitability de-terminations; seeking other opinions,such as a supervisor’s comments onpast performance or other evaluations;obtaining the necessary informationdirectly from the individual would beexceptionally difficult or would result


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8 Copies available from the Office of Per-sonnel Management, 1900 E Street, Washing-ton, DC 20415.

in unreasonable costs or delays; or, theindividual requests or consents to con-tacting another person to obtain theinformation.

(c) Soliciting the social security number(SSN). (1) It is unlawful for any Fed-eral, State, or local government agencyto deny an individual a right, benefit,or privilege provided by law becausethe individual refuses to provide his orher SSN. However, this prohibitiondoes not apply if a Federal law requiresthat the SSN be provided, or the SSNis required by a law or regulationadopted before January 1, 1975, to ver-ify the individual’s identity for a sys-tem of records established and in usebefore that date.

(2) Before requesting an individual toprovide the SSN, the individual mustbe advised whether providing the SSNis mandatory or voluntary; by whatlaw or other authority the SSN is so-licited; and what uses will be made ofthe SSN.

(3) The preceding advice relates onlyto the SSN. If other information aboutthe individual is solicited for a systemof records, a Privacy Act statement(PAS) also must be provided to him/her.

(4) The notice published in the FED-ERAL REGISTER for each system ofrecords containing SSNs solicited fromindividuals must indicate the author-ity for soliciting the SSNs and whetherit is mandatory for the individuals toprovide their SSNs. E.O. 9397 requiresfederal agencies to use SSNs as numer-ical identifiers for individuals in mostfederal records systems, however, itdoes not make it mandatory for indi-viduals to provide their SSNs.

(5) When entering military service orcivilian employment with the Depart-ment of the Navy, individuals mustprovide their SSNs. This is then the in-dividual’s numerical identifier and isused to establish personnel, financial,medical, and other official records (asauthorized by E.O. 9397). The individ-uals must be given the notification de-scribed above. Once the individual hasprovided his or her SSN to establishthe records, a notification is not re-quired when the SSN is requested onlyfor identification or to locate therecords.

(6) The Federal Personnel Manual 8

must be consulted when solicitingSSNs for use in systems of recordsmaintained by the Office of PersonnelManagement.

(7) A Department of the Navy activ-ity may request an individual’s SSNeven though it is not required by Fed-eral statute, or is not for a system ofrecords in existence and operatingprior to January 1, 1975. However, theseparate Privacy Act Statement forthe SSN, alone, or a merged PrivacyAct Statement covering both the SSNand other items of personal informa-tion, must make clear that disclosureof the number is voluntary. If the indi-vidual refuses to disclose his or herSSN, the activity must be prepared toidentify the individual by alternatemeans.

(d) Contents of Privacy Act Statement.(1) When an individual is requested tofurnish information about himself/her-self for a system of records, a PrivacyAct Statement must be provided to theindividual, regardless of the methodused to collect the information (i.e.,forms, personal or telephonic inter-view, etc). If the information requestedwill not be included in a system ofrecords, a Privacy Act Statement isnot required.

(2) The Privacy Act Statement shallinclude the following:

(i) The Federal law or E.O. that au-thorizes collecting the information(i.e., E.O. 9397 authorizes collection ofSSNs);

(ii) Whether or not it is mandatoryfor the individual to provide the re-quested information (It is only manda-tory when a Federal law or E.O. of thePresident specifically imposes a re-quirement to furnish the informationand provides a penalty for failure to doso. If furnishing information is a condi-tion for granting a benefit or privilegevoluntarily sought by the individual, itis voluntary for the individual to givethe information.);

(iii) The principle purposes for col-lecting the information;

(iv) The routine uses that will bemade of the information (i.e., to whom


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32 CFR Ch. VI (7–1–98 Edition)§ 701.109

and why it will be disclosed outside theDepartment of Defense); and

(v) The possible effects on the indi-vidual if the requested information isnot provided.

(3) The Privacy Act Statement mustappear on the form used to collect theinformation or on a separate form thatcan be retained by the individual col-lecting the information. If the informa-tion is collected by means other than aform completed by the individual, i.e.,solicited over the telephone, the Pri-vacy Act Statement should be read tothe individual and if requested by theindividual, a copy sent to him/her.There is no requirement that the indi-vidual sign the Privacy Act Statement.

(e) Format for Privacy Act Statement.When forms are used to collect infor-mation about individuals for a systemof records, the Privacy Act Statementshall appear as follows (listed in theorder of preference):

(1) Immediately below the title of theform,

(2) Elsewhere on the front page of theform (clearly indicating it is the Pri-vacy Act Statement),

(3) On the back of the form with a no-tation of its location below the title ofthe form, or

(4) On a separate form which the indi-vidual may keep.

§ 701.109 Access to records.(a) Individual access to records— (1)

Right of access. Only individuals whoare subjects of records maintained insystems of records and by whose per-sonal identifiers the records are re-trieved have the right of individual ac-cess under this subpart and subpart Gof this part, unless they provide writ-ten authorization for their representa-tive to act on their behalf. Legalguardians or parents acting on behalfof a minor child also have the right ofindividual access under this subpartand subpart G of this part.

(2) Notification of record’s existence.Each naval activity shall establish pro-cedures for notifying an individual, inresponse to his or her request, if a sys-tem of records identified by him/hercontains a record pertaining to the in-dividual.

(3) Individual request for access. Indi-viduals shall address requests for ac-

cess to records in systems of records tothe system manager or the office des-ignated in the Department of the Navycompilation of system notices (periodicChief of Naval Operations Notes(OPNAVNOTEs) 5211, ‘‘Current PrivacyAct Issuances’’).

(4) Verifying identity. (i) An individualshall provide reasonable verification ofidentity before obtaining access torecords.

(ii) When requesting records in writ-ing, naval activities may not insistthat a requester submit a notarizedsignature. The courts have ruled thatan alternative method of verifyingidentity must be established for indi-viduals who do not have access to no-tary services. This alternative permitsrequesters to provide an unsworn dec-laration that states ‘‘I declare underperjury or penalty under the laws ofthe United States of American that theforegoing is true and correct.’’

(iii) When an individual seeks accessin person, identification can be verifiedby documents normally carried by theindividual (i.e., identification card,driver’s license, or other license, per-mit or pass normally used for identi-fication purposes).

(iv) When access is requested otherthan in writing, identity may be veri-fied by the individual’s providing mini-mum identifying data such as fullname, date and place of birth, or otherinformation necessary to locate therecord sought. If the informationsought is sensitive, additional identify-ing data may be required. Telephonicrequests should not be honored.

(v) Allow an individual to be accom-panied by a person of his or her choicewhen viewing the record; however, re-quire the individual to provide writtenauthorization to have the record dis-cussed in front of the other person.

(vi) Do not deny access to an individ-ual who is the subject of the recordsolely for refusing to divulge his or herSSN, unless it is the only means of re-trieving the record or verifying iden-tity.

(vii) Do not require the individual toexplain why he or she is seeking accessto a record under this subpart and sub-part G of this part.

(viii) Only a designated denial au-thority may deny access. The denial


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must be in writing and contain the in-formation required by § 701.109(d).

(5) Blanket requests not honored. Donot honor requests from individuals fornotification and/or access concerningall Department of the Navy systems ofrecords. In these instances, notify theindividual that requests for notifica-tion and/or access must be directed tothe appropriate system manager forthe particular record system being re-quested, as indicated in the periodicChief of Naval Operations Notes(OPNAVNOTEs) 5211, ‘‘Current PrivacyAct Issuances’’; and the request musteither designate the particular systemof records to be searched, or providesufficient information for the systemmanager to identify the appropriatesystem. Also, provide the individualwith any other information needed forobtaining consideration of his or herrequest.

(6) Granting individual access torecords. (i) Grant the individual accessto the original record (or exact copy)without any changes or deletions,other than those made in accordancewith § 701.113.

(ii) Grant the individual’s request foran exact copy of the record, upon thesigned authorization of the individual,and provide a copy to anyone des-ignated by the individual. In eithercase, the copying fees may be assessedto the individual pursuant to§ 701.109(b).

(iii) If requested, explain any recordor portion of a record that is not un-derstood, as well as any changes or de-letions.

(7) Illegible or incomplete records. Donot deny an individual access solely be-cause the physical condition or formatof the record does not make it readilyavailable (i.e., when the record is in adeteriorated state or on magnetictape). Either prepare an extract or re-copy the document exactly.

(8) Access by parents and legal guard-ians. (i) The parent of any minor, orthe legal guardian of any individual de-clared by a court of competent juris-diction to be incompetent due to phys-ical or mental incapacity or age, mayobtain access to the record of theminor or incompetent individual if theparent or legal guardian is acting onbehalf or for the benefit of the minor or

incompetent. However, with respect toaccess by parents and legal guardiansto medical records and medical deter-minations about minors, use the fol-lowing procedures:

(A) In the United States, the laws ofthe state where the records are locatedmight afford special protection to cer-tain medical records (i.e., drug and al-cohol abuse treatment, and psychiatricrecords). The state statutes mightapply even if the records are main-tained by a naval medical facility.

(B) For installations located outsidethe U.S., the parent or legal guardianof a minor shall be denied access if allfour of the following conditions aremet:

(1) The minor at the time of thetreatment or consultation was 15, 16, or17 years old;

(2) The treatment or consultationwas within a program authorized bylaw or regulation to provide confiden-tiality to the minor;

(3) The minor indicated a desire thatthe treatment or consultation recordbe handled in confidence and not dis-closed to a parent or guardian; and

(4) The parent or legal guardian doesnot have the written authorization ofthe minor or a valid court order grant-ing access.

(ii) A minor or incompetent has thesame right of access as any other indi-vidual under this subpart and subpartG of this part. The right of access ofthe parent or legal guardian is in addi-tion to that of the minor or incom-petent.

(9) Access to information compiled inreasonable anticipation of a civil proceed-ing. (i) An individual is not entitledunder this subpart and subpart G ofthis part to access information com-piled in reasonable anticipation of acivil action or proceeding.

(ii) The term ‘‘civil action or pro-ceeding’’ includes quasi-judicial andpre-trial judicial proceedings, as wellas formal litigation.

(iii) Section 701.109(9)(i) and (ii) donot prohibit access to records compiledor used for purposes other than litiga-tion, nor prohibit access to systems ofrecords solely because they are fre-quently subject to litigation. The in-formation must have been compiled forthe primary purpose of litigation.


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32 CFR Ch. VI (7–1–98 Edition)§ 701.109

(10) Personal notes or records not underthe control of the Department of theNavy. (i) Certain documents under thecontrol of a Department of the Navyemployee and used to assist him/her inperforming official functions are notconsidered Department of the Navyrecords within the meaning of this sub-part and subpart G of this part. Thesedocuments are not systems of recordsthat are subject to this subpart andsubpart G of this part, if they are:

(A) Maintained and discarded solelyat the discretion of the author;

(B) Created only for the author’s per-sonal convenience;

(C) Not the result of official directionor encouragement, whether oral orwritten; and

(D) Not shown to other persons forany reason or filed in agency files.

(11) Relationship between the PrivacyAct and FOIA. In some instances, indi-viduals requesting access to recordspertaining to themselves may notknow which Act to cite as the appro-priate statutory authority. The follow-ing guidelines are to ensure that theindividuals receive the greatest degreeof access under both Acts:

(i) Access requests that specificallystate or reasonably imply that they aremade under 5 U.S.C. 552 (1988) asamended by the Freedom of Informa-tion Reform Act of 1986, are processedunder Secretary of the Navy Instruc-tion 5720.42E, ‘‘Department of the NavyFreedom of Information Act Program.’’

(ii) Access requests that specificallystate or reasonably imply that they aremade under 5 U.S.C. 552a are processedunder this subpart and subpart G ofthis part.

(iii) Access requests that cite both 5U.S.C. 552a, as amended by the Com-puter Matching Act of 1988 and 5 U.S.C.552 (1988) as amended by the Freedomof Information Reform Act are proc-essed under the Act that provides thegreater degree of access. Inform the re-quester which instruction was used ingranting or denying access.

(iv) Do not penalize the individualaccess to his or her records otherwisereleasable under 5 U.S.C. 552a and peri-odic Chief of Naval Operations Notes(OPNAVNOTEs) 5211, ‘‘Current PrivacyAct Issuances’’, simply because he or

she failed to cite the appropriate stat-ute or instruction.

(12) Time Limits. Acknowledge re-quests for access made under PrivacyAct or this subpart and subpart G ofthis part within 10 working days afterreceipt, and advise the requester ofyour decision to grant/deny accesswithin 30 working days.

(b) Reproduction fees. Normally, onlyone copy of any record or documentwill be provided. Checks or money or-ders for fees should be made payable tothe Treasurer of the United States anddeposited to the miscellaneous receiptsof the treasury account maintained atthe finance office servicing the activ-ity.

(1) Fee schedules shall include onlythe direct cost of reproduction andshall not include costs of:

(i) Time or effort devoted to search-ing for or reviewing the record bynaval personnel;

(ii) Fees not associated with the ac-tual cost of reproduction;

(iii) Producing a copy when it mustbe provided to the individual withoutcost under another regulation, direc-tive, or law;

(iv) Normal postage;(v) Transportation of records or per-

sonnel; or(vi) Producing a copy when the indi-

vidual has requested only to review therecord and has not requested a copy tokeep, and the only means of allowingreview is to make a copy (e.g., therecord is stored in a computer and acopy must be printed to provide indi-vidual access, or the naval activitydoes not wish to surrender temporarilythe original record for the individual toreview).

(2) Fee schedules.(i) Office copy (per page)............$.10(ii) Microfiche (per fiche)............$.25(3) Fee waivers. Waive fees automati-

cally if the direct cost of reproductionis less than $15, unless the individual isseeking an obvious extension or dupli-cation of a previous request for whichhe or she was granted a waiver. Deci-sions to waive or reduce fees that ex-ceed $15 are made on a case-by-casebasis.

(c) Denying individual access. (1) Denythe record subject access to requested


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record only if it was compiled in rea-sonable anticipation of a civil action orproceeding or is in a system of recordsthat has been exempt from the accessprovisions of § 701.113.

(2) Deny the individual access only tothose portions of the record for whichthe denial will serve a legitimate gov-ernment purpose. An individual may berefused access for failure to complywith established procedural require-ments, but must be told the specificreason for the refusal and the properaccess procedures.

(3) Deny the individual access to hisor her medical and psychologicalrecords if it is determined that accesscould have an adverse affect on themental or physical health of the indi-vidual. This determination normallyshould be made in consultation with amedical practitioner. If it is medicallyindicated that access could have an ad-verse mental or physical effect on theindividual, provide the record to amedical practitioner named by the in-dividual, along with an explanation ofwhy access without medical super-vision could be harmful to the individ-ual. In any case, do not require thenamed medical practitioner to requestthe record for the individual. If, how-ever, the individual refuses or fails todesignate a medical practitioner, ac-cess shall be refused. The refusal is notconsidered a denial for reporting pur-poses under the Privacy Act.

(d) Notifying the individual. Writtendenial of access must be given to theindividual. The denial letter shall in-clude:

(1) The name, title, and signature ofa designated denial authority;

(2) The date of the denial;(3) The specific reason for the denial,

citing the appropriate subsections of 5U.S.C. 552a or this subpart and subpartG of this part authorizing the denial;

(4) The individual’s right to appealthe denial within 60 calendar days ofthe date the notice is mailed; and

(5) The title and address of the reviewauthority.

§ 701.110 Amendment of records.(a) Individual review and amendment.

Encourage individuals to review peri-odically, the information maintainedabout them in systems of records, and

to avail themselves of the amendmentprocedures established by this subpartand subpart G of this part.

(1) Right to amend. An individual mayrequest to amend any record retrievedby his or her personal identifier from asystem of records, unless the systemhas been exempt from the amendmentprocedures under this subpart. Amend-ments under this subpart and subpartG of this part are limited to correctingfactual matters, not matters of opinion(i.e., information contained in evalua-tions of promotion potential or per-formance appraisals). When recordssought to be amended are covered byanother issuance, the administrativeprocedures under that issuance must beexhausted before using the PrivacyAct. In other words, the Privacy Actmay not be used to avoid the adminis-trative procedures required by theissuance actually covering the recordsin question.

(2) In writing. Amendment requestsshall be in writing, except for routineadministrative changes, such as changeof address.

(3) Content of amendment request. Anamendment request must include a de-scription of the information to beamended; the reason for the amend-ment; the type of amendment actionsought (i.e., deletion, correction, or ad-dition); and copies of available docu-mentary evidence supporting the re-quest.

(b) Burden of proof. The individualmust provide adequate support for therequest.

(c) Verifying identity. The individualmay be required to provide identifica-tion to prevent the inadvertent or in-tentional amendment of another’srecord. Use the verification guidelinesprovided in § 701.109(a)(4).

(d) Limits on amending judicial andquasi-judicial evidence and findings. Thissubpart and subpart G of this part donot permit the alteration of evidencepresented in the course of judicial orquasi-judicial proceedings. Amend-ments to such records must be made inaccordance with procedures establishedfor such proceedings. This subpart andsubpart G of this part do not permit acollateral attack on a judicial or quasi-judicial finding; however, this subpartand subpart G of this part may be used


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to challenge the accuracy of recordingthe finding in a system of records.

(e) Standards for amendment requestdeterminations. The record which the in-dividual requests to be amended mustmeet the recordkeeping standards es-tablished in § 701.105. The record mustbe accurate, relevant, timely, com-plete, and necessary. If the record inits present state does not meet each ofthe criteria, grant the amendment re-quest to the extent necessary to meetthem.

(f) Time limits. Within 10 working daysof receiving an amendment request, thesystems manager shall provide the in-dividual a written acknowledgement ofthe request. If action on the amend-ment request is completed within the10 working days and the individual isso informed, no separate acknowledg-ment is necessary. The acknowledg-ment must clearly identify the requestand advise the individual when to ex-pect notification of the completed ac-tion. Only under exceptional cir-cumstances should more than 30 work-ing days be required to complete theaction on an amendment request.

(g) Granting an amendment request inwhole or in part—(1) Notify the requester.To the extent the amendment requestis granted, the systems manager shallnotify the individual and make the ap-propriate amendment.

(2) Notify previous recipients. Notifyall previous recipients of the informa-tion (as reflected in the disclosure ac-counting record) that the amendmenthas been made and provide each a copyof the amended record. Recipients whoare known to be no longer retainingthe record need not be advised of theamendment. If it is known that othernaval activities, DoD components, orFederal agencies have been providedthe information that now requiresamendment, or if the individual re-quests that these agencies be notified,provide the notification of amendmenteven if those activities or agencies arenot listed on the disclosure accountingform.

(h) Denying an amendment request inwhole or in part. If the amendment re-quest is denied in whole or in part,promptly notify the individual in writ-ing. Include in the notification to theindividual the following:

(1) Those sections of 5 U.S.C. 552a orthis subpart and subpart G of this partupon which the denial is based;

(2) His or her right to appeal to thehead of the activity for an independentreview of the initial denial;

(3) The procedures for requesting anappeal, including the title and addressof the official to whom the appealshould be sent; and

(4) Where the individual can receiveassistance in filing the appeal.

(i) Requests for amending OPM records.The records in an OPM government-wide system of records are only tempo-rarily in the custody of naval activi-ties. Requests for amendment of theserecords must be processed in accord-ance with OPM Regulations and theFederal Personnel Manual. The denialauthority may deny a request, but alldenials are subject to review by the As-sistant Director for Workforce Infor-mation, Personnel Systems OversightGroup, Office of Personnel Manage-ment, 1900 E Street, NW, Washington,DC 20415.

(j) Individual’s statement of disagree-ment. (1) If the review authority refusesto amend the record as requested, theindividual may submit a concise state-ment of disagreement listing the rea-sons for disagreeing with the refusal toamend.

(2) If possible, incorporate the state-ment of disagreement into the record.If that is not possible, annotate therecord to reflect that the statementwas filed and maintain the statementso that it can be readily obtained whenthe disputed information is used or dis-closed.

(3) Furnish copies of the statement ofdisagreement to all individuals listedon the disclosure accounting form (ex-cept those known to be no longer re-taining the record), as well as to allother known holders of copies of therecord.

(4) Whenever the disputed informa-tion is disclosed for any purpose, en-sure that the statement of disagree-ment also is used or disclosed.

(k) Department of the Navy statementof reasons. (1) If the individual files astatement of disagreement, the navalactivity may file a statement of rea-sons containing a concise summary of


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the activity’s reasons for denying theamendment request.

(2) The statement of reasons shallcontain only those reasons given to theindividual by the appellate official andshall not contain any comments on theindividual’s statement of disagree-ment.

(3) At the discretion of the naval ac-tivity, the statement of reasons may bedisclosed to those individuals, activi-ties, and agencies that receive thestatement of disagreement.

§ 701.111 Privacy Act appeals.

(a) How to file an appeal. The follow-ing guidelines shall be followed by indi-viduals wishing to appeal a denial ofnotification, access, or amendment ofrecords.

(1) The appeal must be received bythe cognizant review authority (i.e.,ASN (M&RA), NJAG, OGC, or OPM)within 60 calendar days of the date ofthe response.

(2) The appeal must be in writing andrequesters should provide a copy of thedenial letter and a statement of theirreasons for seeking review.

(b) Time of receipt. The time limits forresponding to an appeal commencewhen the appeal reaches the office ofthe review authority having jurisdic-tion over the record. Misdirected ap-peals should be referred expeditiouslyto the proper review authority.

(c) Review authorities. ASN (M&RA),NJAG, and OGC are authorized to adju-dicate appeals made to SECNAV. NJAGand OGC are further authorized to dele-gate this authority to a designated As-sistant NJAG and the Principal DeputyGeneral or Deputy General Counsel, re-spectively, under such terms and condi-tions as they deem appropriate.

(1) If the record is from a civilian Of-ficial Personnel Folder or is containedon any other OPM forms, send the ap-peal to the Assistant Director forWorkforce Information, Personnel Sys-tems and Oversight Group, Office ofPersonnel Management, 1900 E Street,NW, Washington, DC 20415. Records inall systems of records maintained inaccordance with the OPM government-wide systems notices are only in thetemporary custody of the Departmentof the Navy.

(2) If the record pertains to the em-ployment of a present or former Navyand Marine Corps civilian employee,such as Navy or Marine Corps civilianpersonnel records or an employee’sgrievance or appeal file, to the GeneralCounsel, Navy Department, Washing-ton, DC 20360–5110.

(3) If the record pertains to a presentor former military member’s fitness re-ports or performance evaluations tothe Assistant Secretary of the Navy(Manpower and Reserve Affairs), NavyDepartment, Washington, DC 20350–1000.

(4) All other records dealing withpresent or former military members tothe Judge Advocate General, Navy De-partment, 200 Stovall Street, Alexan-dria, VA 22332–2400.

(d) Appeal procedures. (1) If the appealis granted, the review authority shalladvise the individual that his or herappeal has been granted and provideaccess to the record being sought.

(2) If the appeal is denied totally orin part, the appellate authority shalladvise the reason(s) for denying the ap-peal, citing the appropriate subsectionsof 5 U.S.C. 552a or this subpart and sub-part G of this part that apply; the dateof the appeal determination; the name,title, and signature of the appellate au-thority; and a statement informing therequester of his or her right to seek ju-dicial relief in the Federal DistrictCourt.

(e) Final action, time limits and docu-mentation. (1) The written appeal notifi-cation granting or denying access isthe final naval activity action on theinitial request for access.

(2) All appeals shall be processedwithin 30 working days of receipt, un-less the appellate authority finds thatan adequate review cannot be com-pleted within that period. If additionaltime is needed, notify the applicant inwriting, explaining the reason for thedelay and when the appeal will be com-pleted.

(f) Denial of appeal by activity’s failureto act. An individual may consider hisor her appeal denied if the appellateauthority fails to:

(1) Take final action on the appealwithin 30 working days of receipt whenno extension of time notice was given;or


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(2) Take final action within the pe-riod established by the notice to theappellate authority of the need for anextension of time to complete actionon the appeal.

§ 701.112 Disclosure of records.(a) Conditions of disclosure. (1) 5 U.S.C.

552a prohibits an agency from disclos-ing any record contained in a system ofrecords to any person or agency, exceptwhen the record subject gives writtenconsent for the disclosure or when oneof the 12 conditions listed below in thissubsection applies.

(2) Except for disclosures made under5 U.S.C. 552 (1988) as amended by theFreedom of Information Reform Act of1986 and Secretary of the Navy Instruc-tion 5720.42E, ‘‘Department of the NavyFreedom of Information Act Program,’’before disclosing any record from a sys-tem of records to any recipient otherthan a Federal agency, make reason-able efforts to ensure the record is ac-curate, relevant, timely, and completefor Department of the Navy purposes.Records discovered to have been im-properly filed in the system of recordsshould be removed before disclosure.

(i) If validation cannot be obtainedfrom the record itself, the naval activ-ity may contact the record subject (ifreasonably available) to verify the ac-curacy, timeliness, completeness, andrelevancy of the information.

(ii) If validation cannot be obtainedfrom the record and the record subjectis not reasonably available, advise therecipient that the information is be-lieved to be valid as of a specific dateand reveal any factors bearing on thevalidity of the information.

(b) Nonconsensual disclosures. 5 U.S.C.552a provides 12 instances when arecord in a system of records may bedisclosed without the written consentof the record subject:

(1) Disclosures within the Departmentof Defense. For purposes of disclosingrecords, the Department of Defense isconsidered a single agency; hence, arecord may be disclosed to any officeror employee in the Department of De-fense (including private contractor per-sonnel who are engaged to performservices needed in connection with theoperation of a system of records for aDoD component), who have a need for

the record in the performance of theirduties, provided this use is compatiblewith the purpose for which the recordis maintained. This provision is basedon the ‘‘need to know’’ concept.

(i) For example, this may include dis-closure to personnel managers, reviewboards, discipline officers, courts-mar-tial personnel, medical officers, inves-tigating officers, and representatives ofthe Judge Advocate General, AuditorGeneral, Naval Inspector General, orthe Naval Investigative Service, whorequire the information in order to dis-charge their official duties. Examplesof personnel outside the Department ofthe Navy who may be included are:Personnel of the Joint Staff, ArmedForces Entrance and Examining Sta-tions, Defense Investigative Service, orthe other military departments, whorequire the information in order to dis-charge an official duty.

(ii) It may also include the transferof records between naval componentsand non-DoD agencies in connectionwith the Personnel Exchange Program(PEP) and interagency support agree-ments. Disclosure accountings are notrequired for intra-agency disclosureand disclosures made in connectionwith interagency support agreementsor the PEP. Although some disclosuresauthorized by this paragraph mightalso meet the criteria for disclosureunder other exceptions specified in thefollowing paragraphs of this section,they should be treated under this para-graph for disclosure accounting pur-poses.

(2) Disclosures required by the FOIA. (i)A record must be disclosed if requiredby 5 U.S.C. 552 (1988) as amended by theFreedom of Information Reform Act of1986, which is implemented by Sec-retary of the Navy Instruction 5720.42E,‘‘Department of the Navy Freedom ofInformation Act Program.’’

(ii) 5 U.S.C. 552 (1988) as amended bythe Freedom of Information ReformAct of 1986 and Secretary of the NavyInstruction 5720.42E, ‘‘Department ofthe Navy Freedom of Information ActProgram’’ require that records be madeavailable to any person requestingthem in writing, unless the record isexempt from disclosure under one ofthe nine FOIA exemptions. Therefore,


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if a record is not exempt from disclo-sure, it must be provided to the re-quester.

(iii) Certain records, such as person-nel, medical, and similar files, are ex-empt from disclosure under exemption(b)(6) of 5 U.S.C. 552 (1988) as amendedby the Freedom of Information Act Re-form Act of 1986. Under that exemp-tion, disclosure of information pertain-ing to an individual can be denied onlywhen the disclosure would be a clearlyunwarranted invasion of personal pri-vacy. The first step is to determinewhether a viable personal privacy in-terest exists in these records involvingan identifiable living person. The sec-ond step is to consider how disclosurewould benefit the general public inlight of the content and context of theinformation in question. The third stepis to determine whether the identifiedpublic interests qualify for consider-ation. The fourth step is to balance thepersonal privacy interests against thequalifying public interest. Numerousfactors must be considered such as: Thenature of the information to be dis-closed (i.e., Do individuals normallyhave an expectation of privacy in thetype of information to be disclosed?);importance of the public interestserved by the disclosure and prob-ability of further disclosure which mayresult in an unwarranted invasion ofprivacy; relationship of the requesterto the public interest being served;newsworthiness of the individual towhom the information pertains (i.e.,high ranking officer, public figure); de-gree of sensitivity of the informationfrom the standpoint of the individualor the individual’s family, and its po-tential for being misused to the harm,embarrassment, or inconvenience ofthe individual or the individual’s fam-ily; the passage of time since the eventwhich is the topic of the record (i.e., todisclose that an individual has been ar-rested and is being held for trial bycourt-martial is normally permitted,while to disclose an arrest which didnot result in conviction might not bepermitted after the passage of time);and the degree to which the informa-tion is already in the public domain oris already known by the particular re-quester.

(iv) Records or information from in-vestigatory records, including person-nel security investigatory records, areexempt from disclosure under thebroader standard of ‘‘an unwarrantedinvasion of personal privacy’’ found inexemption (b)(7)(C) of 5 U.S.C. 552. Thisbroader standard applies only torecords or information compiled forlaw enforcement purposes.

(v) A disclosure under 5 U.S.C. 552about military members must be in ac-cordance with Secretary of the NavyInstruction 5720.42E, ‘‘Department ofthe Navy Freedom of Information ActProgram’’, but the following informa-tion normally may be disclosed frommilitary personnel records (except forthose personnel assigned to sensitive orroutinely deployable units, or locatedin a foreign territory), without a clear-ly unwarranted invasion of personalprivacy: Full name, rank, date of rank,base pay, past duty stations, presentduty station and future duty station (iffinalized), unless the stations havebeen determined by the Department ofthe Navy to be sensitive, routinelydeployable, or located in a foreign ter-ritory, office or duty telephone num-ber, source of commission, promotionsequence number, awards and decora-tions, attendance at professional mili-tary schools, and duty status at anygiven time.

(vi) The following information nor-mally may be disclosed from civilianemployee records about CONUS em-ployees: Full name, present and pastposition titles and occupational series,present and past grades, present andpast annual salary rates (including per-formance awards or bonuses, incentiveawards, merit pay amount, Meritoriousand Distinguished Executive Ranks,and allowances and differentials), pastduty stations, present duty station andfuture duty station (if finalized), in-cluding room numbers, shop designa-tions, or other identifying informationregarding buildings or places of em-ployment, unless the duty stationshave been determined by the Depart-ment of the Navy to be sensitive, rou-tinely deployable, or located in a for-eign territory, position descriptions,identification of job elements, andthose performance standards (but notactual performance appraisals) that


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the disclosure of which would notinterfere with law enforcement pro-grams or severely inhibit Departmentof the Navy effectiveness.

(viii) Disclosure of home addressesand home telephone numbers normallyis considered a clearly unwarranted in-vasion of personal privacy and is pro-hibited. However, they may be dis-closed if the individual has consentedto the disclosure; the disclosure is re-quired by the FOIA; the disclosure isrequired by another law, such as 42U.S.C. 653, which provides assistance tostates in locating parents who have de-faulted on child support payments, orthe collection of alimony, and to stateand local tax authorities for the pur-pose of enforcing tax laws. However,care must be taken prior to release toensure that a written record is pre-pared to document the reasons for therelease determination.

(A) When compiling home addressesand telephone numbers, the individualmay be offered the option of authoriz-ing disclosure of the information with-out further consent for specific pur-poses, such as locator services. In thatcase, the information may be disclosedfor the stated purpose without furtherconsent. If the information is to be dis-closed for any other purpose, a signedconsent permitting the additional dis-closure must be obtained from the indi-vidual.

(B) Before listing home addresses andtelephone numbers in Department ofthe Navy telephone directories, givethe individual the opportunity torefuse such a listing. If the individualrequests that the home address or tele-phone number not be listed in the di-rectory, do not assess any additionalfee associated with maintaining an un-listed number for government-ownedtelephone services.

(C) The sale or rental of lists ofnames and addresses is prohibited un-less such action is specifically author-ized by Federal law. This does not pro-hibit the disclosure of names and ad-dresses made under Secretary of theNavy Instruction 5720.42E, ‘‘Depart-ment of the Navy Freedom of Informa-tion Act Program.’’

(D) In response to FOIA requests, in-formation concerning special and gen-eral courts-martial results (e.g.,

records of trial) are releasable. How-ever, information regarding summarycourts-martial and non-judicial punish-ment are generally not releasable. Thebalancing of interests must be done. Itis possible that in a particular case, in-formation regarding non-judicial pun-ishment should be disclosed pursuantto a FOIA request (i.e., the facts lead-ing to a nonjudicial punishment areparticularly newsworthy or the case in-volves a senior official abusing thepublic trust through office-related mis-conduct, such as embezzlement). An-nouncement of nonjudicial punishmentdispositions under JAGMAN, sub-section 0107, is a proper exercise ofcommand authority and not a releaseof information under FOIA or this sub-part and subpart G of this part. Excep-tions to this policy must be coordi-nated with CNO (N09B30) or CMC (MI–3) prior to responding to requesters, in-cluding all requests for this type of in-formation from members of Congress.

(3) Disclosures for established routineuses. (i) Records may be disclosed out-side the Department of the Navy if thedisclosure is for an established routineuse.

(ii) A routine use shall:(A) Be compatible with and related to

the purpose for which the record wascreated;

(B) Identify the persons or organiza-tions to whom the record may be dis-closed;

(C) Identify specifically the uses forwhich the information may be em-ployed by the receiving person or orga-nization; and

(D) Have been published previously inthe FEDERAL REGISTER.

(iii) A routine use shall be estab-lished for each user of the informationoutside the Department of the Navywho needs the information for an offi-cial purpose.

(iv) Routine uses may be established,discontinued, or amended without theconsent of the individuals to whom therecords pertain. However, new andamended routine uses must be pub-lished in the FEDERAL REGISTER atleast 30 days before the informationmay be disclosed under their provi-sions.

(v) In addition to the routine uses es-tablished by the Department of the


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Navy for each system of records, com-mon ‘‘Blanket Routine Uses,’’ applica-ble to all record systems maintainedwith the Department of the Navy, havebeen established. These ‘‘Blanket Rou-tine Uses’’ are published at the begin-ning of the Department of the Navy’sFEDERAL REGISTER compilation ofrecord systems notices rather than ateach system notice and are also re-flected in periodic Chief of Naval Oper-ations Notes (OPNAVNOTEs) 5211,‘‘Current Privacy Act Issuances.’’ Un-less a system notice specifically ex-cludes a system of records from a‘‘Blanket Routine Use,’’ all ‘‘BlanketRoutine Uses’’ apply to that system.

(vi) If the recipient has not beenidentified in the FEDERAL REGISTER orif the recipient, though identified, in-tends to employ the information for apurpose not published in the FEDERALREGISTER, the written consent of theindividual is required before the disclo-sure can be made.

(4) Disclosures to the Bureau of theCensus. Records may be disclosed tothe Bureau of the Census for purposesof planning or carrying out a census,survey, or related activities authorizedby 13 U.S.C. 8.

(5) Disclosures for statistical research orreporting. Records may be disclosed to arecipient for statistical research or re-porting if:

(i) Prior to the disclosure, the recipi-ent has provided adequate written as-surance that the records shall be usedsolely for statistical research or re-porting; and

(ii) The records are transferred in aform that does not identify individuals.

(6) Disclosures to the National Archivesand Records Administration. (i) Recordsmay be disclosed to the National Ar-chives and Records Administration forevaluation to determine whether therecords have sufficient historical orother value to warrant preservation bythe Federal government. If preserva-tion is warranted, the records will beretained by the National Archives andRecord Administration, which becomesthe official owner of the records.

(ii) Records may be disclosed to theNational Archives and Records Admin-istration to carry out records manage-ment inspections required by Federallaw.

(iii) Records transferred to a FederalRecords Center operated by the Na-tional Archives and Records Adminis-tration for storage are not within thiscategory. Those records continue to bemaintained and controlled by thetransferring naval activity. The Fed-eral Records Center is considered theagent of Department of the Navy andthe disclosure is made under§ 701.112(b)(1).

(7) Disclosures when requested for lawenforcement purposes. (i) A record maybe disclosed to another agency or aninstrumentality of any governmentaljurisdiction within or under the con-trol of the U.S. for a civil or criminallaw enforcement activity if:

(A) The civil or criminal law enforce-ment activity is authorized by law (fed-eral, state or local); and

(B) The head of the agency (or his orher designee) has made a written re-quest to the naval activity specifyingthe particular record or portion desiredand the law enforcement purpose forwhich it is sought.

(ii) Blanket requests for any and allrecords pertaining to an individualshall not be honored. The requestingagency must specify each record orportion desired and how each relates tothe authorized law enforcement activ-ity.

(iii) If a naval activity discloses arecord outside the Department of De-fense for law enforcement purposeswithout the individual’s consent andwithout an adequate written request,the disclosure must be under an estab-lished routine use, such as the ‘‘Blan-ket Routine Use’’ for law enforcement.

(iv) Disclosure to foreign law enforce-ment agencies is not governed by theprovisions of 5 U.S.C. 552a and thisparagraph, but may be made onlyunder established ‘‘Blanket RoutineUses,’’ routine uses published in the in-dividual record system notice, or toother governing authority.

(8) Disclosure to protect the health orsafety of an individual. Disclosure maybe made under emergency conditionsinvolving circumstances affecting thehealth and safety of an individual (i.e.,when the time required to obtain theconsent of the individual to whom therecords pertain might result in a delaywhich could impair the health or safety


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9 Copies available from the Judge AdvocateGeneral, Navy Department, (Code 34), 200Stovall Street, Alexandria, VA 22332–2400.

of a person) provided notification ofthe disclosure is sent to the record sub-ject. Sending the notification to thelast known address is sufficient. In in-stances where information is requestedby telephone, an attempt will be madeto verify the inquirer’s and medical fa-cility’s identities and the caller’s tele-phone number. The requested informa-tion, if then considered appropriate andof an emergency nature, may be pro-vided by return call.

(9) Disclosures to Congress.(i) A record may be disclosed to ei-

ther House of Congress at the requestof either the Senate or House of Rep-resentatives as a whole.

(ii) A record also may be disclosed toany committee, subcommittee, or jointcommittee of Congress if the disclosurepertains to a matter within the legisla-tive or investigative jurisdiction of thecommittee, subcommittee, or jointcommittee.

(iii) Disclosure may not be made to aMember of Congress requesting in hisor her individual capacity. However,for Members of Congress making in-quiries on behalf of individuals who aresubjects of records, a ‘‘Blanket RoutineUse’’ has been established to permitdisclosures to individual Members ofCongress.

(A) When responding to a congres-sional inquiry made on behalf of a con-stituent by whose identifier the recordis retrieved, there is no need to verifythat the individual has authorized thedisclosure to the Member of Congress.

(B) The oral or written statement ofa Congressional staff member is suffi-cient to establish that a request hasbeen received from the individual towhom the record pertains.

(C) If the constituent inquiry is madeon behalf of an individual other thanthe record subject, provide the Memberof Congress only that information re-leasable under 5 U.S.C. 552. Advise theMember of Congress that the writtenconsent of the record subject is re-quired before additional informationmay be disclosed. Do not contact therecord subject to obtain consent for thedisclosure to the Member of Congressunless the Congressional office specifi-cally requests it be done.

(10) Disclosures to the Comptroller Gen-eral for the General Accounting Office

(GAO). Records may be disclosed to theComptroller General of the U.S., or au-thorized representative, in the courseof the performance of the duties of theGAO.

(11) Disclosures under court orders. (i)Records may be disclosed under theorder of a court of competent jurisdic-tion.

(ii) When a record is disclosed underthis provision and the compulsory legalprocess becomes a matter of publicrecord, make reasonable efforts to no-tify the individual to whom the recordpertains. Notification sent to the lastknown address of the individual is suf-ficient. If the order has not yet becomea matter of public record, seek to beadvised as to when it will become pub-lic. Neither the identity or the party towhom the disclosure was made nor thepurpose of the disclosure shall be madeavailable to the record subject unlessthe court order has become a matter ofpublic record.

(iii) The court order must bear thesignature of a federal, state, or localjudge. Orders signed by court clerks orattorneys are not deemed to be ordersof a court of competent jurisdiction. Aphotocopy of the order, regular on itsface, will be sufficient evidence of thecourt’s exercise of its authority of theminimal requirements ofSECNAVINST 5820.8A 9, ‘‘Release of Of-ficial Information for Litigation Pur-poses and Testimony by Department ofthe Navy Personnel.’’

(12) Disclosures to consumer reportingagencies. Certain information may bedisclosed to consumer reporting agen-cies (i.e., credit reference companiessuch as TRW and Equifax, etc.) as de-fined by the Federal Claims CollectionAct of 1966 (31 U.S.C. 952d). Under theprovisions of that Act, the followinginformation may be disclosed to a con-sumer reporting agency:

(i) Name, address, taxpayer identi-fication number (SSN), and other infor-mation necessary to establish the iden-tity of the individual;

(ii) The amount, status, and historyof the claim; and


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(iii) The agency or program underwhich the claim arose. 31 U.S.C. 952dspecifically requires that the FEDERALREGISTER notice for the system ofrecords from which the informationwill be disclosed indicate that the in-formation may be disclosed to a con-sumer reporting agency.

(c) Disclosures to commercial enter-prises. Records may be disclosed tocommercial enterprises only under thecriteria established by Secretary of theNavy Instruction 5720.42E and 42 U.S.C.653, Parent Locator Service for En-forcement of Child Support.

(1) Any information required to bedisclosed by Secretary of the Navy In-struction 5720.42E and 42 U.S.C. 653,Parent Locator Service for Enforce-ment of Child Support may be dis-closed to a requesting commercial en-terprise.

(2) Commercial enterprises maypresent a consent statement signed bythe individual indicating specific con-ditions for disclosing information froma record. Statements such as the fol-lowing, if signed by the individual, areconsidered sufficient to authorize thedisclosure: I hereby authorize the De-partment of the Navy to verify my SSNor other identifying information and todisclose my home address and tele-phone number to authorized represent-atives of (name of commercial enter-prise) to be used in connection with mycommercial dealings with that enter-prise. All information furnished will beused in connection with my financialrelationship with (name of commercialenterprise).

(3) When a consent statement as de-scribed in the preceding subsection ispresented, provide the information tothe commercial enterprise, unless thedisclosure is prohibited by another reg-ulation or Federal law.

(4) Blanket consent statements thatdo not identify the Department of De-fense or Department of the Navy, orthat do not specify exactly the infor-mation to be disclosed, may be honoredif it is clear that the individual, insigning the consent statement, wasseeking a personal benefit (i.e., loan fora house or automobile) and was awareof the type of information necessary toobtain the benefit sought.

(5) Do not honor requests from com-mercial enterprises for official evalua-tions of personal characteristics suchas personal financial habits.

(d) Disclosure of Health Care Records tothe Public. This paragraph applies todisclosure of information to the newsmedia and the public concerning indi-viduals treated or hospitalized in De-partment of the Navy medical facilitiesand, when the cost of care is paid bythe Department of the Navy, in non-Federal facilities.

(1) Disclosures without the individ-ual’s consent. Normally, the followinginformation may be disclosed withoutthe individual’s consent:

(i) Information required to be re-leased by Secretary of the Navy In-struction 5720.42E and OPM Regula-tions and the Federal Personnel Man-ual, as well as the information listed in§ 701.112(b)(2)(v) for military personneland in § 701.112(b)(2).

(ii) For civilian employees; and(iii) General information concerning

medical conditions, i.e., date of admis-sion or disposition; present medical as-sessment of the individual’s conditionif the medical practitioner has volun-teered the information, i.e., the indi-vidual’s condition presently is (stable)(good) (fair) (serious) (critical), and thepatient is (conscious) (semi-conscious)(unconscious).

(2) Disclosures with the individual’sconsent. With the individual’s informedconsent, any information about the in-dividual may be disclosed. If the indi-vidual is a minor or has been declaredincompetent by a court of competentjurisdiction, the parent of the minor orappointed legal guardian of the incom-petent may give consent on behalf ofthe individual.

(e) Disclosure of Personal Informationon Group/Bulk Orders. Do not use per-sonal information including completeSSNs, home addresses and phone num-bers, dates of birth, etc., on group/bulkorders. This personal informationshould not be posted on lists that ev-eryone listed on the orders sees. Such adisclosure of personal information vio-lates the Privacy Act and this subpartand subpart G of this part.

(f) Disclosure Accounting. Keep an ac-curate record of all disclosures madefrom a record (including those made


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with the consent of the individual) ex-cept those made to DoD personnel foruse in performing their official duties;and those made under the FOIA. Dis-closure accounting is to permit the in-dividual to determine what agencies orpersons have been provided informa-tion from the record, enable Depart-ment of the Navy activities to adviseprior recipients of the record of anysubsequent amendments or statementsof dispute concerning the record, andprovide an audit trial of Department ofthe Navy’s compliance with 5 U.S.C.552a.

(1) Disclosure accountings shall con-tain the date of the disclosure; a de-scription of the information disclosed;the purpose of the disclosure; and thename and address of the person oragency to whom the disclosure wasmade.

(2) The record subject has the right ofaccess to the disclosure accounting ex-cept when the disclosure was made atthe request of a civil or criminal lawenforcement agency under§ 701.112(b)(7); or when the system ofrecords has been exempted from the re-quirement to provide access to the dis-closure accounting.

(g) Methods of disclosure accounting.Since the characteristics of variousrecords maintained within the Depart-ment of the Navy vary widely, no uni-form method for keeping disclosure ac-countings is prescribed. The primarycriteria are that the selected methodbe one which will:

(1) Enable an individual to ascertainwhat persons or agencies have receiveddisclosures pertaining to him/her;

(2) Provide a basis for informing re-cipients of subsequent amendments orstatements of dispute concerning therecord; and

(3) Provide a means to prove, if nec-essary that the activity has compliedwith the requirements of 5 U.S.C. 552aand this subpart and subpart G of thispart.

(h) Retention of Disclosure Accounting.Maintain a disclosure accounting ofthe life of the record to which the dis-closure pertains, or 5 years after thedate of the disclosure, whichever islonger. Disclosure accounting recordsare normally maintained with the

record, as this will ensure compliancewith § 701.112(f).

§ 701.113 Exemptions.

(a) Using exemptions. No system ofrecords is automatically exempt fromall provisions of 5 U.S.C. 552a. A systemof records is exempt from only thoseprovisions of 5 U.S.C. 552a that areidentified specifically in the exemptionrule for the system. Subpart G of thispart contains the systems designatedas exempt, the types of exemptionsclaimed, the authority and reasons forinvoking the exemptions and the provi-sions of 5 U.S.C. 552a from which eachsystem has been exempt. Exemptionsare discretionary on the part of De-partment of the Navy and are not effec-tive until published as a final rule inthe FEDERAL REGISTER. The naval ac-tivity maintaining the system ofrecords shall make a determinationthat the system is one for which an ex-emption may be established and thenpropose an exemption rule for the sys-tem. Submit the proposal to CNO(N09B30) for approval and publicationin the FEDERAL REGISTER.

(b) Types of exemptions. There are twotypes of exemptions permitted by 5U.S.C. 552a.

(1) General exemptions. Those that au-thorize the exemption of a system ofrecords from all but specifically identi-fied provisions of 5 U.S.C. 552a.

(2) Specific exemptions. Those thatallow a system of records to be exemptfrom only a few designated provisionsof 5 U.S.C. 552a.

(c) Establishing exemptions. (1) 5 U.S.C.552a authorizes the Secretary of theNavy to adopt rules designating eligi-ble systems of records as exempt fromcertain requirements. The Secretary ofthe Navy has delegated the CNO(N09B30) to make a determination thatthe system is one for which an exemp-tion may be established and then pro-pose and establish an exemption rulefor the system. No system of recordswithin Department of the Navy shallbe considered exempt until the CNO(N09B30) has approved the exemptionand an exemption rule has been pub-lished as a final rule in the FEDERALREGISTER. A system of records is ex-empt from only those provisions of 5


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U.S.C. 552a that are identified specifi-cally in the Department of the Navyexemption rule for the system.

(2) No exemption may be establishedfor a system of records until the sys-tem itself has been established by pub-lishing a notice in the FEDERAL REG-ISTER, at least 30 days prior to the ef-fective date, describing the system.This allows interested persons an op-portunity to comment. An exemptionmay not be used to deny an individualaccess to information that he or shecan obtain under Secretary of the NavyInstruction 5720.42E, ‘‘Department ofthe Navy Freedom of Information ActProgram.’’

(d) Exemption for classified material.All systems of records maintained bythe Department of the Navy shall beexempt under section (k)(1) of 5 U.S.C.552a, to the extent that the systemscontains any information properlyclassified under E.O. 12958 and that isrequired by that E.O. to be kept secretin the interest of national defense orforeign policy. This exemption is appli-cable to parts of all systems of recordsincluding those not otherwise specifi-cally designated for exemptions hereinwhich contain isolated items of prop-erly classified information.

NOTE: Department of the Navy Privacy Actsystems of records which contain classifiedinformation automatically qualify for a(k)(1) exemption, without establishing an ex-emption rule.

(e) Exempt records in nonexempt sys-tems. (1) An exemption rule applies tothe system of records for which it wasestablished. If a record from an exemptsystem is incorporated intentionallyinto a system that has not been ex-empt, the published notice and rulesfor the nonexempt system will apply tothe record and it will not be exemptfrom any provisions of 5 U.S.C. 552a.

(2) A record from one component’s(i.e., Department of the Navy) exempt-ed system that is temporarily in thepossession of another component (i.e.,Army) remains subject to the publishedsystem notice and rules of the originat-ing component’s (i.e., Department ofthe Navy). However, if the non-origi-nating component incorporates therecord into its own system of records,the published notice and rules for thesystem into which it is incorporated

shall apply. If that system of recordshas not been exempted, the record shallnot be exempt from any provisions of 5U.S.C. 552a.

(3) A record accidentally misfiledinto a system of records is governed bythe published notice and rules for thesystem of records in which it actuallyshould have been filed.

(f) General exemptions—(1) Central In-telligence Agency (CIA). The Depart-ment of the Navy is not authorized toestablish an exemption for recordsmaintained by the CIA under sub-section (j)(1) of 5 U.S.C. 552a.

(2) Law enforcement. (i) The generalexemption provided by subsection (j)(2)of 5 U.S.C. 552a may be established toprotect criminal law enforcementrecords maintained by Department ofthe Navy.

(ii) To be eligible for the (j)(2) exemp-tion, the system of records must bemaintained by an element that per-forms, as one of its principal functions,the enforcement of criminal laws. TheNaval Investigative Service, Naval In-spector General, and military policeactivities qualify for this exemption.

(iii) Criminal law enforcement in-cludes police efforts to detect, prevent,control, or reduce crime, or to appre-hend criminals, and the activities ofprosecution, court, correctional, proba-tion, pardon, or parole authorities.

(iv) Information that may be pro-tected under the (j)(2) exemption in-cludes:

(A) Information compiled for the pur-pose of identifying criminal offendersand alleged criminal offenders consist-ing of only identifying data and nota-tions of arrests; the nature and disposi-tion of criminal charges; and sentenc-ing, confinement, release, parole, andprobation status;

(B) Information compiled for the pur-pose of a criminal investigation, in-cluding reports of informants and in-vestigators, and associated with anidentifiable individual; and

(C) Reports identifiable to an individ-ual, compiled at any stage of the en-forcement process, from arrest, appre-hension, indictment, or preferral ofcharges through final release from thesupervision that resulted from thecommission of a crime.


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(v) The (j)(2) exemption does notapply to:

(A) Investigative records maintainedby a naval activity having no criminallaw enforcement duties as one of itsprinciple functions, or

(B) Investigative records compiled byany element concerning individual’ssuitability, eligibility, or qualificationfor duty, employment, or access toclassified information, regardless ofthe principle functions of the naval ac-tivity that compiled them.

(vi) The (j)(2) exemption establishedfor a system of records maintained bya criminal law enforcement activitycannot protect law enforcementrecords incorporated into a nonexemptsystem of records or any system ofrecords maintained by an activity notprincipally tasked with enforcingcriminal laws. All system managers,therefore, are cautioned to complystrictly with Department of the Navyregulations or instructions prohibitingor limiting the incorporation of crimi-nal law enforcement records into sys-tems other than those maintained bycriminal law enforcement activities.

(g) Specific exemptions. Specific ex-emptions permit certain categories ofrecords to be exempted from specificprovisions of 5 U.S.C. 552a. Subsections(k)(1)-(7) of 5 U.S.C. 552a allow exemp-tions for seven categories of records.To be eligible for a specific exemption,the record must meet the correspond-ing criteria.

NOTE: Department of the Navy Privacy Actsystems of records which contain classifiedinformation automatically qualify for a(k)(1) exemption, without an established ex-emption rule.

(1) (k)(1) exemption: Informationproperly classified under Secretary ofthe Navy Instruction 5720.42E, ‘‘Depart-ment of the Navy Freedom of Informa-tion Act Program’’ and E.O. 12958, inthe interest of national defense or for-eign policy.

(2) (k)(2) exemption: Investigatory in-formation (other than that informationwithin the scope of § 701.113(f)(2) com-piled for law enforcement purposes. Ifmaintaining the information causes anindividual to be ineligible for or deniedany right, benefit, or privilege that heor she would otherwise be eligible foror entitled to under Federal law, then

he or she shall be given access to theinformation, except for the informa-tion that would identify a confidentialsource (see § 701.113(h), ‘‘confidentialsource’’). The (k)(2) exemption, whenestablished, allows limited protectionon investigative records maintained foruse in personnel and administrative ac-tions.

(3) (k)(3) exemption: Records main-tained in connection with providingprotective services to the President ofthe United States and other individualsunder 18 U.S.C. 3056.

(4) (k)(4) exemption: Records requiredby Federal law to be maintained andused solely as statistical records thatare not used to make any determina-tion about an identifiable individual,except as provided by 13 U.S.C. 8.

(5) (k)(5) exemption: Investigatorymaterial compiled solely for the pur-pose of determining suitability, eligi-bility, or qualifications for Federal ci-vilian employment, military service,Federal contracts, or access to classi-fied information, but only to the ex-tent such material would reveal theidentity of a confidential source. (See§ 701.113(h), ‘‘confidential source’’). Thisexemption allows protection of con-fidential sources in background inves-tigations, employment inquiries, andsimilar inquiries used in personnelscreening to determine suitability, eli-gibility, or qualifications.

(6) (k)(6) exemption: Testing or exam-ination material used solely to deter-mine individual qualifications for ap-pointment or promotion in the Federalor military service if the disclosurewould compromise the objectivity orfairness of the testing or examinationprocess.

(7) (k)(7) exemption: Evaluation ma-terial used to determine potential forpromotion in the military services, butonly to the extent that disclosurewould reveal the identity of a confiden-tial source. (See § 701.113(h), ‘‘confiden-tial source’’.)

(h) Confidential Source. Promises ofconfidentiality are to be given on alimited basis and only when essentialto obtain the information sought. Es-tablish appropriate procedures forgranting confidentiality and designate


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those categories of individuals author-ized to make such promises.

[59 FR 55348, Nov. 7, 1994, as amended at 61FR 2917, Jan. 30, 1996]

§ 701.114 Enforcement actions.

(a) Administrative remedies. An indi-vidual who alleges he or she has beenaffected adversely by a naval activity’sviolation of 5 U.S.C. 552a or this sub-part and subpart G of this part shall bepermitted to seek relief from SECNAVthrough proper administrative chan-nels.

(b) Civil court actions. After exhaust-ing all administrative remedies, an in-dividual may file suit in Federal courtagainst a naval activity for any of thefollowing acts:

(1) Denial of an amendment request.The activity head, or his or her des-ignee wrongfully refuses the individ-ual’s request for review of the initialdenial of an amendment or, after re-view, wrongfully refuses to amend therecord;

(2) Denial of access. The activitywrongfully refuses to allow the individ-ual to review the record or wrongfullydenies his or her request for a copy ofthe record;

(3) Failure to meet recordkeeping stand-ards. The activity fails to maintain anindividual’s record with the accuracy,relevance, timeliness, and complete-ness necessary to assure fairness in anydetermination about the individual’srights, benefits, or privileges and, infact, makes an adverse determinationbased on the record; or

(4) Failure to comply with Privacy Act.The activity fails to comply with anyother provision of 5 U.S.C. 552a or anyrule or regulation promulgated under 5U.S.C. 552a and thereby causes the indi-vidual to be adversely affected.

(c) Criminal penalties. Subsection (i)(1)of 5 U.S.C. 552a authorizes three crimi-nal penalties against individuals forviolations of its provisions. All threeare misdemeanors punishable by finesof $5,000.

(1) Wrongful disclosure. Any memberor employee of Department of the Navywho, by virtue of his or her employ-ment or position, has possession of oraccess to records and willfully makes adisclosure knowing that disclosure is

in violation of 5 U.S.C. 552a or this sub-part and subpart G of this part.

(2) Maintaining unauthorized records.Any member or employee of Depart-ment of the Navy who willfully main-tains a system of records for which anotice has not been published underperiodic Chief of Naval OperationsNotes (OPNAVNOTEs) 5211, ‘‘CurrentPrivacy Act Issuances.’’

(3) Wrongful requesting or obtainingrecords. Any person who knowingly andwillfully requests or obtains informa-tion concerning an individual underfalse pretenses.

§ 701.115 Computer matching program.

(a) General. 5 U.S.C. 552a and this sub-part and subpart G of this part are ap-plicable to certain types of computermatching, i.e., the computer compari-son of automated systems of records.There are two specific kinds of match-ing programs that are fully governedby 5 U.S.C. 552a and this subpart andsubpart G of this part:

(1) Matches using records from Fed-eral personnel or payroll systems ofrecords;

(2) Matches involving Federal benefitprograms to accomplish one or more ofthe following purposes:

(i) To determine eligibility for a Fed-eral benefit.

(ii) To comply with benefit programrequirements.

(iii) To effect recovery of improperpayments or delinquent debts from cur-rent or former beneficiaries.

(b) The record comparison must be acomputerized one. Manual comparisonsare not covered, involving records fromtwo or more automated systems ofrecords (i.e., systems of records main-tained by Federal agencies that aresubject to 5 U.S.C. 552a); or a Depart-ment of the Navy automated systemsof records and automated recordsmaintained by a non-Federal agency(i.e., State or local government oragent thereof). A covered computermatching program entails not only theactual computerized comparison, butalso preparing and executing a writtenagreement between the participants,securing approval of the Defense DataIntegrity Board, publishing a matchingnotice in the FEDERAL REGISTER before


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the match begins, ensuring that inves-tigation and due process are completed,and taking ultimate action, if any.

Subpart G—Privacy ActExemptions

AUTHORITY: Pub. L. 93–579, 88 Stat. 1896 (5U.S.C. 552a).

SOURCE: 59 FR 55363, Nov. 7, 1994, unlessotherwise noted.

§ 701.116 Purpose.Subparts F and G of this part contain

rules promulgated by the Secretary ofthe Navy, pursuant to 5 U.S.C. 552a (j)and (k), and subpart F, § 70l.113, to ex-empt certain systems of Department ofthe Navy records from specified provi-sions of 5 U.S.C. 552a.

§ 70l.117 Exemption for classifiedrecords.

All systems of records maintained bythe Department of the Navy shall beexempt from the requirements of theaccess provision of the Privacy Act (5U.S.C. 552a(d)) under the (k)(1) exemp-tion, to the extent that the systemcontains information properly classi-fied under E.O. 12958 and that is re-quired by that E.O. to be kept secret inthe interest of national defense or for-eign policy. This exemption is applica-ble to parts of all systems of recordsincluding those not otherwise specifi-cally designated for exemptions hereinwhich contain isolated items of prop-erly classified information.


§ 701.118 Exemptions for specific Navyrecord systems.

(a) System Identifier and Name: N01070–9, White House Support Program.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(1), (e)(4) (G) through (I), and (f).

Authority: 5 U.S.C. 552a(k) (1), (2), (3),and (5).

Reasons: Exempted portions of thissystem contain information which hasbeen properly classified under E.O.12958, and which is required to be keptsecret in the interest of national de-fense or foreign policy. Exempted por-tions of this system may also contain

information considered relevant andnecessary to make a determination asto qualifications, eligibility, or suit-ability for access to classified informa-tion, and which was obtained by pro-viding an express or implied promise tothe source that his or her identitywould not be revealed to the subject ofthe record. Exempted portions of thissystem may also contain informationcollected and maintained in connectionwith providing protective services tothe President and other individualsprotected pursuant to 18 U.S.C. 3056.Exempted portions of this system mayalso contain investigative records com-piled for law enforcement purposes, thedisclosure of which could reveal theidentity of sources who provide infor-mation under an express or impliedpromise of confidentiality, compromiseinvestigative techniques and proce-dures, jeopardize the life or physicalsafety of law-enforcement personnel, orotherwise interfere with enforcementproceedings or adjudications.

(b) System Identifier and Name: N01131–1, Officer Selection and AppointmentSystem.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(1), (e)(4)(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(1), (5), (6),and (7).

Reasons: Granting individuals accessto portions of this system of recordscould result in the disclosure of classi-fied material, or the identification ofsources who provided information tothe government under an express orimplied promise of confidentiality. Ma-terial will be screened to permit accessto unclassified material and to infor-mation that does not disclose the iden-tity of a confidential source.

(c) System Identifier and Name: N01133–2, Recruiting Enlisted Selection Sys-tem.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(1), (e)(4)(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(1), (5), (6),and (7).

Reasons: Granting individuals accessto portions of this system of recordscould result in the disclosure of classi-fied material, or the identification of


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sources who provided information tothe government under an express orimplied promise of confidentiality. Ma-terial will be screened to permit accessto unclassified material and to infor-mation that does not disclose the iden-tity of a confidential source.

(d) System Identifier and Name: N01640–1, Individual Correctional Records.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(c)(4), (d), (e)(2), (e)(3), (e)(4)(G) through(I), (e)(5), (e)(8), (f), and (g).

Authority: 5 U.S.C. 552a(j)(2).Reason: Granting individuals access

to portions of these records pertainingto or consisting of, but not limited to,disciplinary reports, criminal inves-tigations, and related statements ofwitnesses, and such other related mat-ter in conjunction with the enforce-ment of criminal laws, could interferewith the orderly investigations, withthe orderly administration of justice,and possibly enable suspects to avoiddetection or apprehension. Disclosureof this information could result in theconcealment, destruction, or fabrica-tion of evidence, and jeopardize thesafety and well-being of informants,witnesses and their families, and lawenforcement personnel and their fami-lies. Disclosure of this informationcould also reveal and render ineffectualinvestigative techniques, sources, andmethods used by these components andcould result in the invasion of the pri-vacy of individuals only incidentallyrelated to an investigation. The exemp-tion of the individual’s right of accessto portions of these records, and thereasons therefor, necessitate the ex-emption of this system of records fromthe requirement of the other cited pro-visions.

(e) System Identifier and Name: N01754–3, Navy Child Development ServicesProgram.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3)and (d).

Authority: 5 U.S.C. 552a(k)(2).Reasons: Exemption is needed in

order to encourage persons havingknowledge of abusive or neglectful actstoward children to report such infor-mation, and to protect such sources

from embarrassment or recrimination,as well as to protect their right to pri-vacy. It is essential that the identitiesof all individuals who furnish informa-tion under an express promise of con-fidentiality be protected. Additionally,granting individuals access to informa-tion relating to criminal and civil lawenforcement, as well as the release ofcertain disclosure accountings, couldinterfere with ongoing investigationsand the orderly administration of jus-tice, in that it could result in the con-cealment, alteration, destruction, orfabrication of information; could ham-per the identification of offenders andthe disposition of charges; and couldjeopardize the safety and well being ofparents and their children.

(f) System Identifier and Name: N03834–1, Special Intelligence Personnel Ac-cess File.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(1), (e)(4) (G) through (I), and (f).

Authority: 5 U.S.C. 552a(k) (1) and (5).Reasons: Exempted portions of this

system contain information that hasbeen properly classified under E.O.12356, and that is required to be keptsecret in the interest of national de-fense or foreign policy. Exempted por-tions of this system also contain infor-mation considered relevant and nec-essary to make a determination as toqualifications, eligibility, or suit-ability for access to classified informa-tion and was obtained by providing anexpress or implied assurance to thesource that his or her identity wouldnot be revealed to the subject of therecord.

(g) System Identifier and Name: N04060–1, Navy and Marine Corps Exchange Se-curity Files.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(4) (G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(2).Reasons: Granting individuals access

to information collected and main-tained by these activities relating tothe enforcement of criminal laws couldinterfere with orderly investigations,with orderly administration of justice,and possibly enable suspects to avoiddetection or apprehension. Disclosure


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of this information could result in theconcealment, destruction, or fabrica-tion of evidence, and could also revealand render ineffectual investigativetechniques, sources, and methods usedby these activities.

(h) [Reserved](i) System identifier and name: N05041–

1, Inspector General (IG) Records.(1) Exemption: Portions of this system

of records may be exempt from the pro-visions of 5 U.S.C. 552a(c)(3); (d); (e)(1);(e)(4)(G), (H), and (I); and (f).

(2) Authority: 5 U.S.C. 552a(k)(1) and(k)(2).

(3) Reasons: (i) From subsection (c)(3)because the release of the disclosureaccounting would permit individuals toobtain valuable information concern-ing the nature of the investigation andwould present a serious impediment tothe orderly conduct of any investiga-tive activities. Such accounting couldresult in the release of properly classi-fied information which would com-promise the national defense or disruptforeign policy.

(ii) From subsections (d) and (f) be-cause access to the records would in-form individuals of the existence andnature of the investigation; provide in-formation that might result in the con-cealment, destruction, or fabrication ofevidence; possibly jeopardize the safetyand well-being of informants, witnessesand their families; likely reveal andrender ineffectual investigatory tech-niques and methods and sources of in-formation; and possibly result in theinvasion of the personal privacy ofthird parties. Access could result in therelease of properly classified informa-tion which could compromise the na-tional defense or disrupt foreign policy.Amendment of the records would inter-fere with the ongoing investigation andimpose an impossible administrativeburden by requiring investigations tobe continually reinvestigated.

(iii) From subsection (e)(1) because inthe course of the investigation it is notalways possible, at least in the earlystages of the inquiry, to determine rel-evance and or necessity as such deter-minations may only occur after the in-formation has bee evaluated. Informa-tion may be obtained concerning theactual or potential violation of laws orregulations other than those relating

to the ongoing investigation. Such in-formation should be retained as it canaid in establishing patterns of im-proper activity and can provide valu-able leads in the conduct of other in-vestigations.

(iv) From subsection (e)(4)(G) and (H)because this system of records is ex-empt from individual access pursuantto subsection (k)(1) and (k)(2) of thePrivacy Act of 1974.

(v) From subsection (e)(4)(I) becauseit is neccessary to protect the con-fidentiality of sources and to protectthe privacy and physical safety of wit-nesses. Although the system is exemptfrom this requirement, the Departmentof the Navy has published a notice inbroad, generic terms in the belief thatthis is all that subsection (e)(4)(I) ofthe Act requires.

(j) System Identifier and Name: N05300–3, Faculty Professional Files.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(4) (G) and (H), and (f).

Authority: 5 U.S.C. 552a(k)(5).Reasons: Exempted portions of this

system contain information consideredrelevant and necessary to make a re-lease determination as to qualifica-tions, eligibility, or suitability for Fed-eral employment, and was obtained byproviding an express or implied prom-ise to the source that his or her iden-tity would not be revealed to the sub-ject of the record.

(k) System Identifier and Name: N05354–1, Equal Opportunity Information Man-agement System.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(4)(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(1) and (5).Reasons: Granting access to informa-

tion in this system of records could re-sult in the disclosure of classified ma-terial, or reveal the identity of asource who furnished information tothe Government under an express orimplied promise of confidentiality. Ma-terial will be screened to permit accessto unclassified material and to infor-mation that will not disclose the iden-tity of a confidential source.


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(l) System Identifier and Name: N05520–1, Personnel Security Eligibility Infor-mation System.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(4)(G) and (I), and (f).

Authority: 5 U.S.C. 552a(k) (1), (2), (5),and (7).

Reasons: Granting individuals accessto information collected and main-tained in this system of records couldinterfere with orderly investigations;result in the disclosure of classifiedmaterial; jeopardize the safety of in-formants, witnesses, and their families;disclose investigative techniques; andresult in the invasion of privacy of in-dividuals only incidentally related toan investigation. Material will bescreened to permit access to unclassi-fied information that will not disclosethe identity of sources who provide theinformation to the government underan express or implied promise of con-fidentiality.

(m) System identifier and name:N05520–4, NCIS Investigative Files Sys-tem.

Exemption (1): Portions of this systemof records are exempt from the follow-ing subsections of the Privacy Act:(c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G)through (I), (e)(5), (e)(8), (f), and (g).

Authority (1): 5 U.S.C. 552a(j)(2).Reason (1): Granting individuals ac-

cess to information collected andmaintained by this activity relating tothe enforcement of criminal laws couldinterfere with the orderly investiga-tions, with the orderly administrationof justice, and possibly enable suspectsto avoid detection or apprehension.Disclosure of this information could re-sult in the concealment, destruction,or fabrication of evidence, and jeopard-ize the safety and well-being of inform-ants, witnesses and their families, andlaw enforcement personnel and theirfamilies. Disclosure of this informationcould also reveal and render ineffectualinvestigative techniques, sources, andmethods used by these components andcould result in the invasion of the pri-vacy of individuals only incidentallyrelated to an investigation. The exemp-tion of the individual’s right of accessto portions of these records, and thereasons therefor, necessitate the ex-

emption of this system of records fromthe requirement of the other cited pro-visions.

Exemption (2): Portions of this systemof records are exempt from the follow-ing subsections of the Privacy Act:(c)(3), (d), (e)(1), (e)(4)(G) through (I),and (f).

Authority (2): 5 U.S.C. 552a(k) (1), (3),(4), (5) and (6).

Reason (2): The release of disclosureaccountings would permit the subjectof an investigation to obtain valuableinformation concerning the nature ofthat investigation, and the informationcontained, or the identity of witnessesor informants, would therefor present aserious impediment to law enforce-ment. In addition, disclosure of the ac-counting would amount to notice tothe individual of the existence of arecord. Access to the records containedin this system would inform the sub-ject of the existence of material com-piled for law enforcement purposes, thepremature release of which could pre-vent the successful completion of in-vestigation, and lead to the improperinfluencing of witnesses, the destruc-tion of records, or the fabrication oftestimony. Exempt portions of thissystem also contain information thathas been properly classified under E.O.12958, and that is required to be keptsecret in the interest of national de-fense or foreign policy.

Exempt portions of this system alsocontain information considered rel-evant and necessary to make a deter-mination as to qualifications, eligi-bility, or suitability for Federal civil-ian employment, military service, Fed-eral contracts, or access to classifiedinformation, and was obtained by pro-viding an express or implied assuranceto the source that his or her identitywould not be revealed to the subject ofthe record. The notice of this system ofrecords published in the FEDERAL REG-ISTER sets forth the basic statutory orrelated authority for maintenance ofthe system.

The categories of sources of recordsin this system have been published inthe FEDERAL REGISTER in broad genericterms. The identity of specific sources,however, must be withheld in order toprotect the confidentiality of the


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32 CFR Ch. VI (7–1–98 Edition)§ 701.118

source, of criminal and other law en-forcement information. This exemptionis further necessary to protect the pri-vacy and physical safety of witnessesand informants.

This system of records is exemptedfrom procedures for notice to an indi-vidual as to the existence of recordspertaining to him/her dealing with anactual or potential civil or regulatoryinvestigation, because such notice toan individual would be detrimental tothe successful conduct and/or comple-tion of an investigation, pending or fu-ture. Mere notice of the fact of an in-vestigation could inform the subject orothers that their activities are under,or may become the subject of, an inves-tigation. This could enable the subjectsto avoid detection, to influence wit-nesses improperly, to destroy records,or to fabricate testimony.

Exempt portions of this system con-taining screening board reports.Screening board reports set forth theresults of oral examination of appli-cants for a position as a special agentwith the Naval Investigation ServiceCommand. Disclosure of these recordswould reveal the areas pursued in thecourse of the examination and thus ad-versely affect the result of the selec-tion process. Equally important, therecords contain the candid views of themembers composing the board. Releaseof the records could affect the willing-ness of the members to provide candidopinions and thus diminish the effec-tiveness of a program which is essen-tial to maintaining the high standardof the Special Agent Corps., i.e., thoserecords constituting examination ma-terial used solely to determine individ-ual qualifications for appointment inthe Federal service.

(n) System identifier and name: N05520–5, Personnel Security Program Man-agement Records System.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of 5 U.S.C. 552a: (d)(1–5).

Authority: 5 U.S.C. 552a(k)(1) and(k)(5).

Reasons: Granting individuals accessto information collected and main-tained in this system of records couldresult in the disclosure of classifiedmaterial; and jeopardize the safety ofinformants, and their families. Fur-

ther, the integrity of the system mustbe ensured so that complete and accu-rate records of all adjudications aremaintained. Amendment could causealteration of the record of adjudica-tion.

(o) System Identifier and Name: N05527–1, Security Incident System.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(c)(4), (d), (e)(2), and (e)(4)(G) through(I), (e)(5), (e)(8), (f) and (g).

Authority: 5 U.S.C. 552a(j)(2).Reasons: Granting individuals access

to information collected and main-tained by this component relating tothe enforcement of criminal laws couldinterfere with orderly administrationof justice, and possibly enable suspectsto avoid detection or apprehension.Disclosure of this information could re-sult in concealment, destruction, orfabrication of evidence, and jeopardizethe safety and well being of inform-ants, witnesses and their families, andof law enforcement personnel and theirfamilies. Disclosure of this informationcould also reveal and render ineffectualinvestigative techniques, sources, andmethods used by this component, andcould result in the invasion of privacyof individuals only incidentally relatedto an investigation.The exemption ofthe individual’s right of access to hisor her records, and the reason there-fore, necessitate the exemption of thissystem of records from the require-ments of other cited provisions.

(p) System Identifier and Name: N05527–4, Naval Security Group Personnel Se-curity/Access Files.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(d), (e)(1), (e)(4)(G) through (I), and(f).Authority: 5 U.S.C. 552a(k)(1)through (k)(5).

Reasons: Exempt portions of this sys-tem contain information that has beenproperly classified under E.O. 12958,and that is required to be kept secretin the interest of national defense orforeign policy. Exempt portions of thissystem also contain information con-sidered relevant and necessary to makea determination as to qualification,eligibility or suitability for access to


119


classified special intelligence informa-tion, and that was obtained by provid-ing an express or implied promise tothe source that his or her identitywould not be revealed to the subject ofthe record.

(q) System Identifier and Name: N05800–1, Legal Office Litigation/Correspond-ence Files.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (d),(e)(1), and (f)(2), (3), and (4).

Authority: 5 U.S.C. 552a(k)(1), (k)(2),(k)(5), (k)(6), and (k)(7).

Reasons: Subsection (d) becausegranting individuals access to informa-tion relating to the preparation andconduct of litigation would impair thedevelopment and implementation oflegal strategy. Accordingly, suchrecords are exempt under the attorney-client privilege. Disclosure might alsocompromise on-going investigationsand reveal confidential informants. Ad-ditionally, granting access to therecord subject would seriously impairthe Navy’s ability to negotiate settle-ments or pursue other civil remedies.Amendment is inappropriate becausethe litigation files contain officialrecords including transcripts, court or-ders, investigatory materials, evi-dentiary materials such as exhibits,decisional memorandum and othercase-related papers. Administrativedue process could not be achieved bythe ‘‘exparte’’ correction of such mate-rials.

Subsection (e)(1) because it is notpossible in all instances to determinerelevancy or necessity of specific infor-mation in the early stages of case de-velopment. What appeared relevant andnecessary when collected, ultimatelymay be deemed unnecessary upon as-sessment in the context of devisinglegal strategy. Information collectedduring civil litigation investigationswhich is not used during subject case isoften retained to provide leads in othercases or to establish patterns of activ-ity.

Subsection (f)(2), (3), and (4) becausethis record system is exempt from theindividual access provisions of sub-section (d).

(r) System Identifier and Name: N01000–5, Naval Clemency and Parole BoardFiles.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(4),(d), (e)(4)(G), and (f).


to records maintained by this Boardcould interfere with internal processesby which Board personnel are able toformulate decisions and policies withregard to clemency and parole in casesinvolving naval prisoners and otherpersons under the jurisdiction of theBoard. Material will be screened to per-mit access to all material except suchrecords or documents as reflect itemsof opinion, conclusion, or recommenda-tion expressed by individual boardmembers or by the board as a whole.

The exemption of the individual’sright to access to portions of theserecords, and the reasons therefore, ne-cessitate the partial exemption of thissystem of records from the require-ments of the other cited provisions.

(s) System Identifier and Name: N06320–2, Family Advocacy Program System.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3)and (d).


Reasons: Exemption is needed inorder to encourage persons havingknowledge of abusive or neglectful actstoward children to report such infor-mation, and to protect such sourcesfrom embarrassment or recrimina-tions, as well as to protect their rightto privacy. It is essential that the iden-tities of all individuals who furnish in-formation under an express promise ofconfidentiality be protected. Addition-ally, granting individuals access to in-formation relating to criminal andcivil law enforcement, as well as therelease of certain disclosure account-ing, could interfere with ongoing inves-tigations and the orderly administra-tion of justice, in that it could resultin the concealment, alteration, de-struction, or fabrication of informa-tion; could hamper the identificationof offenders or alleged offenders andthe disposition of charges; and could


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32 CFR Ch. VI (7–1–98 Edition)§ 701.119

jeopardize the safety and well being ofparents and their children.

Exempted portions of this systemalso contain information consideredrelevant and necessary to make a de-termination as to qualifications, eligi-bility, or suitability for Federal em-ployment and Federal contracts, andthat was obtained by providing an ex-press or implied promise to the sourcethat his or her identity would not berevealed to the subject of the record.

(t) System Identifier and Name: N12930–1, Human Resources Group PersonnelRecords.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (d),(e)(4)(G) and (H), and (f).


Reasons: Exempted portions of thissystem contain information consideredrelevant and necessary to make a de-termination as to qualifications, eligi-bility, or suitability for Federal em-ployment, and was obtained by provid-ing express or implied promise to thesource that his or her identity wouldnot be revealed to the subject of therecord. Exempted portions of this sys-tem also contain test or examinationmaterial used solely to determine indi-vidual qualifications for appointmentor promotion in the Federal service,the disclosure of which would comprisethe objectivity or fairness of the test-ing or examination process.

[59 FR 55363, Nov. 7, 1994, as amended at 61FR 2917, Jan. 30, 1996; 62 FR 15615, Apr. 2,1997; 62 FR 61914, Nov. 20, 1997; 63 FR 25773,May 11, 1998]

§ 701.119 Exemptions for Specific Ma-rine Corps Record Systems.

(a) System Identifier and Name:MMN00018, Base Security Incident Re-porting System.

Exemption: Portions of this system ofrecords are exempt from the followingsubsections of the Privacy Act: (c)(3),(c)(4), (d), (e) (2) and (3), (e)(4)(G)through (I), (e)(5), (e)(8), (f), and (g).


to information collected and main-tained by these activities relating tothe enforcement of criminal laws couldinterfere with orderly investigations,

with the orderly administration of jus-tice, and might enable suspects toavoid detection or apprehension. Dis-closure of this information could resultin the concealment, destruction, orfabrication of evidence, and jeopardizethe safety and well being of inform-ants, witnesses and their families, andlaw enforcement personnel and theirfamilies. Disclosure of this informationcould also reveal and render ineffectualinvestigative techniques, sources, andmethods used by this component, andcould result in the invasion of the pri-vacy of individuals only incidentallyrelated to an investigation. The exemp-tion of the individual’s right of accessto his or her records, and the reasonstherefore, necessitate the exemption ofthis system of records from the re-quirements of other cited provisions.

(b) System Identifier and Name:MIN00001, Personnel and Security Eli-gibility and Access Information Sys-tem.

Exemption: Portions of this system ofrecords are exempt for the followingsubsections of the Privacy Act: (c)(3),(d), (e)(1), (e)(4)(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(2), (k)(3),and (k)(5), as applicable.

Reasons: Exempt portions of this sys-tem contain information that has beenproperly classified under E.O. 12958,and that is required to be kept secretin the interest of national defense orforeign policy.

Exempt portions of this system alsocontain information considered rel-evant and necessary to make a deter-mination as to qualifications, eligi-bility, or suitability for Federal civil-ian employment, military service, Fed-eral contracts, or access to classified,compartmented, or otherwise sensitiveinformation, and was obtained by pro-viding an expressed or implied assur-ance to the source that his or her iden-tity would not be revealed to the sub-ject of the record.

Exempt portions of this system fur-ther contain information that identi-fies sources whose confidentiality mustbe protected to ensure that the privacyand physical safety of these witnessesand informants are protected.



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PART 705—PUBLIC AFFAIRSREGULATIONS

Sec.705.1 Purpose.705.2 Chief of Information and the Office of

Information (CHINFO).705.3 [Reserved]705.4 Communication directly with private

organizations and individuals.705.5 Taking of photos on board naval ships,

aircraft and installations by members ofthe general public.

705.6 Releasing public information materialto the media.

705.7 Radio and television.705.8 Motion pictures.705.9 Availability of motion pictures to ex-

ternal audiences.705.10 Still photography.705.11 Supplying photographs and services

to other than Navy and Marine Corps.705.12 Print media.705.13 Commercial advertising.705.14 Embarkation of media representa-

tives.705.15 Employment of Navy personnel as

correspondents or staff members of civil-ian news media.

705.16 Navy produced public informationmaterial.

705.17 Participation guidelines.705.18 Authority and coordination.705.19 Financing.705.20 Use of Navy material and facilities.705.21 Requests for Navy participation.705.22 Relations with community groups.705.23 Guest cruises.705.24 Exhibits.705.25 Navy Exhibit Center.705.26 Exhibit availability report.705.27–705.28 [Reserved]705.29 Navy Art Collection.705.30 Aerospace Education Workshop.705.31 USS Arizona Memorial, Pearl Harbor.705.32 Aviation events and parachute dem-

onstrations.705.33 Participation by Armed Forces bands,

choral groups, and troops in the publicdomain.

705.34 Other special events.705.35 Armed Forces participation in events

in the public domain.705.36 Government transportation of civil-

ians for public affairs purposes.705.37 Public affairs and public service

awards.

AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 5031.

SOURCE: 41 FR 29101, July 15, 1976, unlessotherwise noted.

§ 705.1 Purpose.The regulations and rules in this part

prescribe policies and procedures for

the Department of the Navy pertainingto public affairs practices.

§ 705.2 Chief of Information and theOffice of Information (CHINFO).

(a) The Chief of Information is the di-rect representative of the Secretary ofthe Navy and of the Chief of Naval Op-erations in all public affairs and inter-nal relations matters. As such, theChief of Information has the authorityto implement public affairs and inter-nal relations policies and to coordinateNavy and Marine Corps public affairsand internal relations activities of mu-tual interest.

(b) The Chief of Information willkeep Navy commands informed of De-partment of Defense policies and re-quirements. No command within theDepartment of the Navy, except Head-quarters, Marine Corps, will deal di-rectly with the Office of the AssistantSecretary of Defense (Public Affairs)on public affairs matters unless au-thorized to do so by the Chief of Infor-mation.

(c) The Chief of Information will beconsulted on all Navy public affairsand internal relations matters and in-formed of all operations and proposedplans and policies which have nationalor international (and in the case ofaudio-visual material, regional) publicaffairs aspects.

(d) The Chief of Information headsthe Navy Office of Information, theNavy Internal Relations Activity(NIRA), the Office of InformationBranch Offices (NAVINFOs), the NavyPublic Affairs Center (NAVPACENs)and the Fleet Home Town News Center(FHTNC). In addition, the Chief of In-formation has responsibility (on behalfof the Secretary of the Navy as Execu-tive Agent for the Department of De-fense) for the High School News Serv-ice and has operational control of theU.S. Navy Band, Washington, DC.

(e) The Navy Office of InformationBranch Offices (NAVINFOs) are locatedin Atlanta, Boston, Chicago, Dallas,Los Angeles, and New York. As rep-resentatives of the Secretary of theNavy, Chief of Naval Operations, andChief of Information, the NAVINFOshave a primary mission of providing di-rect liaison with local and regionalmass communications media.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.2

(1) The function of the NAVINFOsare as follows:

(i) Establish and maintain close per-sonal relationships with local tele-vision, radio, film, publishing, andother mass-media organizations includ-ing minority-group-oriented media.

(ii) Seek ways through these mediato inform the public about naval per-sonnel and activities.

(iii) Provide assistance to media or-ganizations and respond to their inter-est in Navy programs, stories, and fea-tures. In this regard, maintain infor-mal liaison with various informationoffices afloat and ashore in order to re-spond to requests from local media rep-resentatives, particularly those frominland areas, who desire to visit fleetunits or activities ashore.

(iv) Provide advice on Navy coopera-tion and assistance, as appropriate, torepresentatives of national industrialand commercial organizations, includ-ing advertising agencies.

(v) Maintain a library of Navy mo-tion picture films for use by local tele-vision stations, distribute news filmsand audio material, and otherwise per-form normal audio-visual functions atthe local level.

(vi) Provide personnel and other as-sistance as appropriate, to specialCommand Information Bureaus andpublic information staffs of other navalactivities as directed by the Chief ofInformation.

(vii) Advise the Chief of Informationon current trends and significant prob-lems relating to local media require-ments.

(viii) Seek ways to support the long-range goals and immediate priorities ofthe Navy.

(ix) Provide advice and assistance inthe placement of news and feature ma-terials to the field activities of theNavy Recruiting Command.

(x) Perform such other tasks as maybe assigned by the Chief of Informa-tion.

(2) Additionally, NAVINFO Los Ange-les is the Navy representative for allappropriate liaison with motion pic-ture and network television offices inthe Hollywood area. Naval activitieswill channel all requests for informa-tion or assistance from these media to

NAVINFO Los Angeles, which will co-ordinate with CHINFO.

(3) Additionally, NAVINFO New Yorkis the Navy representative for all ap-propriate liaison with television andradio networks in the New York areaand with magazine and book publishersin that area. Requests for assistanceoriginating from these media should bedirected to NAVINFO New York, whichwill coordinate with CHINFO.

(4) Except as specifically directed byCHINFO, the Branch Offices do nothave responsibility or authority forcommunity relations or internal rela-tions.

(5) Direct liaison between NAVINFOsand Naval District public affairs of-fices, Navy recruiters and other navalactivities afloat and ashore is encour-aged.

(f) Areas covered by the respectiveoffices are:

(1) NAVINFO Atlanta: Alabama, theDistrict of Columbia, Florida, Georgia,Kentucky, Maryland, Mississippi,North Carolina, South Carolina, Ten-nessee, Virginia, and Southern WestVirginia.

(2) NAVINFO Boston: Maine, Massa-chusetts, New Hampshire, Rhode Is-land, and Vermont.

(3) NAVINFO Chicago: Illinois, Indi-ana, Iowa, Michigan, Minnesota, Ne-braska, North Dakota, Ohio, South Da-kota, Wisconsin, and Northern WestVirginia.

(4) NAVINFO Dallas: Arkansas, Colo-rado, Kansas, Louisiana, Missouri, NewMexico, Oklahoma, and Texas.

(5) NAVINFO Los Angeles: Arizona,California, Idaho, Montana, Nevada,Oregon, Utah, Washington, and Wyo-ming.

(6) NAVINFO New York: Connecticut,Delaware, New Jersey, New York, andPennsylvania.

(g) The Navy Public Affairs Centers(NAVPACENs) are located in Norfolkand San Diego. The centers have a pri-mary mission of producing Navy sto-ries for dissemination to the mediathrough normal information channels.

(1) The following tasks are includedamong the functions of theNAVPACENs.

(i) Produce written, audio and photo-graphic feature public information ma-terial about fleet and shore personnel,


123


units and activities, as coordinatedwith and approved for policy and con-cept by the respective fleet and shorecommander concerned.

(ii) Serve as public affairs emergencyreaction teams/resource personnel re-sponsive to the requirements of theCNO and CHINFO, and when feasibleand appropriate and as approved byCNO or CHINFO, serve as public affairsemergency reaction teams/resourcepersonnel in support of Fleet Com-manders.

(iii) Develop feature material to sup-port the long range goals and the im-mediate priorities of the Navy. Directliaison is authorized with the Navy Re-cruiting Command, Recruiting Areas,Recruiting Districts, and other Com-manders as appropriate to achieve thisfunction.

(iv) Perform such other tasks as maybe assigned by the Chief of Informa-tion.

(2) NAVPACENs will have no publicaffairs news media responsibilitieswhich conflict with the basic public af-fairs responsibilities of Fleet Com-manders-in-Chief. Specifically,NAVPACENs are excluded from re-sponding to news media queries, releas-ing news information, arranging newsmedia embarkations, or any other day-to-day news media services concerningthe respective fleets. These responsibil-ities remain with the Fleet Com-mander.

(3) NAVPACENs have no direct re-sponsibility or authority for commu-nity relations or internal relations andshall defer in these areas to the cog-nizant Naval District Commandant.

(4) Direct liaison with Fleet Com-manders-in-Chief and NAVINFOs is ap-propriate and authorized. As approvedby the Fleet CINCs, direct liaison withforces afloat and shore activities underthe Fleet CINCs is appropriate.

(5) NAVPACENs will carry out theirmission and functions in such a man-ner as not to interfere with the publicaffairs responsibilities of the DistrictCommandants.

[44 FR 6389, Feb. 1, 1979]

§ 705.3 [Reserved]

§ 705.4 Communication directly withprivate organizations and individ-uals.

(a) Questions from the public and re-quests from groups or individuals forpamphlets, photos, biographies, histor-ical matter, etc., must be promptly an-swered. (32 CFR part 701, subparts A–Drefers.)

(b) Assistance within the command’scapabilities should (and in some cases,must) be given. Where an establishedchannel for obtaining the item exists,such as a publication stocked by theSuperintendent of Documents (Govern-ment Printing Office), or photos, as ex-plained in the subparagraph below, therequester may be directed to it. Undersome circumstances, a charge may bemade. (Consult part 701 or the com-mand’s Freedom of Information au-thority for details.) If a lengthy search,beyond the convenient manpower re-sources of the command, would be re-quired, the requester may be offeredthe opportunity of examining the ma-terial at the command instead of cop-ies being made.

(c) If a request is refused, the reasonmust be fully and courteously ex-plained, as required by part 701 of thischapter.

(d) Copies of released U.S. Navyphotos may be purchased by the gen-eral public.

(1) Photos made within the last 10years may be purchased from the NavalPhotographic Center. Information onthe conditions of sale can be obtainedby writing to the Commanding Officer,Naval Photographic Center, Naval Sta-tion, Washington, DC 20390.

(2) Photos made more than 10 yearsprior to the current date may be pur-chased from the National Archives. De-tails are available from: Audio-VisualBranch National Archives and RecordsService, General Services Administra-tion, Washington, DC 20408.

[41 FR 29101, July 15, 1976, as amended at 44FR 6390, Feb. 1, 1979]


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32 CFR Ch. VI (7–1–98 Edition)§ 705.5

§ 705.5 Taking of photos on boardnaval ships, aircraft and installa-tions by members of the generalpublic.

(a) Visitors will not be allowed totake photographic equipment on boarda naval ship or aircraft or into a navalactivity or to take photographs withina naval jurisdiction unless speciallyauthorized by the officer in commandor higher authority.

(b) Guests of the Navy who wish totake photos within naval jurisdictionswill be advised of areas where photog-raphy is permitted. An escort will beassigned to assure that security ismaintained, unless photography is per-mitted throughout the ship, aircraft orinstallation, or the areas in which it isnot permitted are appropriately guard-ed or secured.

(c) If there is reason to believe thatfilm exposed by a visitor or media pho-tographer contains classified informa-tion, the film will be processed underNavy jurisdiction.

(1) Classified photos, if any, will beretained. All unclassified film will bereturned to the owner.

(2) When film exposed by civilianvisitors or media representatives insensitive areas is beyond the capabilityof the local command to process, itmay be forwarded to the CommandingOfficer, Naval Photographic Center, forprocessing. Any special processing in-structions should be sent with the film.

§ 705.6 Releasing public informationmaterial to the media.

(a) Methods of releasing information:(1) Release at the seat of government

and/or as approved by the AssistantSecretary of Defense (Public Affairs).

(i) Overall responsibility for releaseof information rests with the AssistantSecretary of Defense (Public Affairs).The Chief of Information is responsiblefor coordinating with him releases ofnational and international interest(and in the case of audiovisual mate-rial of regional interest) and for ar-ranging for local release of such mate-rial if considered appropriate byOASD(PA). Information of the abovetypes and also information proposedfor release at the seat of government,with the exception of ‘‘spot news,’’ as

described in paragraph (b) of this sec-tion, following.

(2) Releases by local commands:(i) News of purely local interest may

be released by the command concerned.Higher and coordinating authorities(such as the District Commandant) willbe informed, when appropriate, thatthe release has been made.

(ii) News of national or other wide in-terest may be released by a local com-mand under the following cir-cumstances:

(A) The Assistant Secretary of De-fense (Public Affairs), having approveda release, directs that it be issued bythe command concerned.

(B) An event of immediate and ur-gent news interest, such as adisasterous accident, occurs at thecommand, and emergency announce-ments must be made as delay in issuinginformation would be against the bestinterests of the Navy. The officer incommand will make a ‘‘spot news’’ re-lease of all appropriate informationconsidered releasable.

(1) Copies of spot news releases made(or a description if the announcementis made orally) will be forwardedpromptly to the Chief of Information.

(2) If the situation is considered criti-cal, the spot news release will be for-warded by telephone or message.

(b) Means through which informationis released to media:

(1) Navy oriented information mate-rial (written, taped, motion picture,still photo) is regularly released to allmedia presumed to be interested.

(2) Similar material is provided in re-sponse to query from a news media rep-resentative. The material may be pro-duced by the Navy, or the newsmanmay be assisted in researching, film-ing, etc. himself.

(3) Exclusive releases:(i) Information concerning naval ac-

tivities may be provided on an exclu-sive basis only when a specific requestor inquiry is received from one newsmedia representative for material notrequested by other media.

(ii) In such cases, and assuming thatthe information is properly releasable,the following rules will apply:

(A) If prior to the time information isgiven to the newsman making the


125


original inquiry or request substan-tially similar inquiries or requests arereceived from other newsmen, the firstinquirer will be so informed, and subse-quent inquirers will be advised that aprior request has been received. Noneof the inquirers will be told the iden-tity of the individuals or media whohave placed these similar inquiries.

(B) If not more than three similar re-quests are received, the informationwill be provided simultaneously toeach inquirer.

(C) If more than three requests forsubstantially the same informationhave been received before any are an-swered, inquirers will be advised assoon as possible that the informationcannot be given on an exclusive or lim-ited basis, and a general release cover-ing the subject will be issued to allmedia.

(4) News conferences:(i) A news conference is held when a

command has something specific to an-nounce to the press that cannot be han-dled in a news release or by phone call.A news conference should not be calledjust to get together with the press. Arequest from the press is also a reasonfor conducting a news conference. Spe-cial events, significant operations orserious accidents are frequent reasonsfor calling news conferences. If re-quested, spokesmen may be madeavailable to the press for questionswithout specific subject matter inmind, but the press should be clearlyinformed of the nature of this meeting.Technically, this is not considered anews conference.

(ii) When a news conference is held, itis essential that all interested media beinvited to attend.

(iii) A record of what is said shouldbe kept. Ideally, the news conferenceshould be tape recorded and a public af-fairs officer should be present.

(iv) Official spokesmen will be pre-pared to answer questions in a frankand candid manner. If the answerwould compromise military security,the inquirer should be so advised. If theanswer is not known to the spokesman,he should say so and add that the mat-ter will be checked and any availableunclassified information providedlater.

(v) Newsmen are not normally askedto submit their questions in advance. Ifthis is considered advisable, as in caseswhere highly technical answers may berequired, the answers are prepared inadvance and given to all attendingnewsmen (not just the questioner) atthe news conference.

(5) Interviews. These are similar tonews conferences except that they in-volve a single newsman (who has usu-ally requested the interview) and a sin-gle Navy spokesman.

(i) Required procedures are essen-tially the same as for news con-ferences. However, a public affairs offi-cer should be present only if desired bythe person being interviewed. Theinterview may be taped, if the news-man agrees.

(ii) Without penalizing initiative dis-played by a newsman in asking perti-nent questions, care should be exer-cised by the naval spokesman not tomake a major revelation of news mate-rial to a single media outlet in thecourse of a routine interview.

(iii) If major areas of difficulty arisein the interview, the Chief of Informa-tion should be notified of them.

(6) Background briefings; ‘‘Not for at-tribution’’; or ‘‘Off the record.’’

(i) Since there is a possibility or riskof a misunderstanding arising in thesebriefings, it is important that all con-cerned understand and agree to theground rules.

(ii) In general, information will notbe made public unless it can be openlyattributed to the Navy and dissemi-nated without reservation. Occasion-ally, a backgrounder may be helpful.An example is a briefing of embarkednewsmen in advance of an operation,providing information which may notbe reported until the operation is over.The purpose is to help the newsmen un-derstand the operation while it is tak-ing place.

§ 705.7 Radio and television.(a) Navy relationships with radio and

TV representatives are of two types:(1) Dissemination to them of Navy

produced tapes, photos, films, etc.(This is discussed in more detail in§ 705.17).

(2) Cooperation with them when theyproduce a program on a Navy subject.


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This is discussed in the paragraph fol-lowing:

(b) Requirement for approval byhigher authority.

(1) Commanding officers may:(i) Release audiovisual material

which is spot news, as defined in§ 705.6(a)(2)(ii) preceding, or is of purelylocal interest.

(ii) Participate in local communityaudiovisual projects of benefit to theDepartment of Defense or in the na-tional interest.

(iii) Approve one-time, one-stationparticipation by personnel of theircommands (as individuals) in programsof purely local interest.

(2) All other audiovisual materialoriginated by the Department of theNavy or requiring Navy cooperationmust be approved by the Chief of Infor-mation, who will effect the necessarycoordination and/or approval of the As-sistant Secretary of Defense (PublicAffairs).

(i) Requests for assistance from non-governmental audiovisual media willbe forwarded, with the maximum avail-able details and an evaluation of therequest, through the chain of commandto the Chief of Information.

(ii) No direct coordination or contactbetween local naval commands and theAssistant Secretary of Defense (PA) isauthorized unless specifically providedfor by separate directives or cor-respondence.

(c) Navy cooperation in productionsby audiovisual media representatives(nongovernment).

(1) The production or project must:(i) Be consistent with the goals and

aims of the Department of Defense and/or be in the national interest.

(ii) Portray military operation, his-torical incidents, persons and places, insuch a manner as to give a true por-trayal and interpretation of militarylife.

(iii) Comply with accepted standardsof dignity and propriety in the indus-try.

(2) There will be no deviation fromestablished safety standards.

(3) Operational readiness shall not beimpaired.

(4) Official activities of military per-sonnel assisting the production mustbe within the scope of normal military

activities. Exceptions to this policywill be made only in unusual cir-cumstances.

(5) Diversion of ships, equipment,personnel and material resources fromnormal military locations or militaryoperations will not normally be au-thorized for filming. Exceptions tosuch policy must be authorized by theAssistant Secretary of Defense (PublicAffairs), through the Chief of Informa-tion.

(i) The production company con-cerned must reimburse the governmentfor any extra expense involved. A strictaccounting of the additional expensesincurred and charged to the productioncompany must be maintained by thedesignated project officer. A copy ofthis accounting will be forwarded tothe Chief of Information.

(6) Naval material and personnel willnot be employed in such a manner as tocompete with commercial and privateenterprise. In this regard, any personor agency requesting their use will fur-nish a noncompetitive certification.

(7) Additional details on procedureswill be found in DOD Instruction5410.16.

(8) In addition to cooperation re-quested by the media, commands willbe alert to the advantages of providingNavy programming and/or encouragingparticipation by Navy personnel inlocal radio and TV programming. Ex-amples are community forums, localtalent shows, educational and religiousprograms, children’s shows, sports pro-grams, etc.

(d) Participation by individual Navypersonnel on radio or TV programs:

(1) In general, such participation isencouraged if it is:

(i) Dignified and considered in the in-terests of the Navy.

(ii) Compatible with operationalcommitments.

(iii) Not in competition with the reg-ular employment of professional per-formers.

(2) The public affairs officer willscreen requests for such appearancesfor members of his command to seethat the programs are in good taste,and that neither the Navy nor its per-sonnel are exposed to embarrassmentfor the sake of entertainment.


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(3) Approval of participation by Navyindividuals:

(i) Approval is not required for per-sonnel attending audience participa-tion broadcasts if they are selected atrandom from the audience.

(ii) One-time, one-station participa-tion of purely local interest may be ap-proved by the officer in command con-cerned.

(iii) If participation will be on a net-work (defined as more than one sta-tion, even if local) of if the same per-son or program is requested by two ormore unrelated stations, approval bythe Chief of Information must be ob-tained even if the show is of local in-terest only.

(e) Use of official footage:(1) Use of official U.S. Navy stock

film footage on TV broadcasts is notauthorized without approval and clear-ance by the Chief of Information andthe Department of Defense.

(2) Use of Navy public informationmotion pictures cleared for TV is au-thorized and encouraged except thatsuch films may be used on subscriptionor pay TV only when offered to theviewers at no cost.

(3) Navy films will not be cut or por-tions duplicated for TV use in lieu ofstock footage without prior approvalby the Chief of Information.

(f) Music clearance. The Navy as-sumes no responsibility for clearanceof music used on Navy recordings,transcriptions, or films not speciallyproduced or authorized for radio or TVbroadcast.

(g) Disclaimers. A disclaimer is notnecessary if a product is advertised ona program in which the Navy partici-pates, but there must be no stated orimplied endorsement of it by the Navyor by naval personnel appearing on theprogram.

(h) Requests for courtesy prints ofcommercial television programs:

(1) Requests will not be made directlyto the producer or network concerned,but will be forwarded to the Chief of In-formation by the Navy requester.

(2) These courtesy prints will be ex-hibited only under circumstanceswhich cannot be construed as competi-tive with commercial ventures.

§ 705.8 Motion pictures.

(a) The rules and procedures given inthe preceding for TV will also apply tocooperation with commercial motionpicture producers.

(b) The Navy assists in the produc-tion of commercial, privately financed,nontheatrical motion pictures of insti-tutional or of educational value to thepublic. They Navy will not:

(1) Solicit their production.(2) Provide lists of subjects the Navy

considers ‘‘desirable.’’(3) State that the Navy will use a

commercially produced film.(4) Imply endorsement of a product.(5) Permit the use of official Navy

seals.(c) Navy assistance to motion pic-

tures and all other audio-visual prod-ucts produced by Navy contractors willbe subject to the same rules and proce-dures that apply to other non-govern-ment producers. Audio-visual productsproduced by Navy contractors, with orwithout Navy assistance, will be sub-mitted to the Chief of Information viathe appropriate Navy headquarters ac-tivity for coordination with the Assist-ant Secretary of Defense (Public Af-fairs) for clearance for public release.They will be accompained by five cop-ies of the script and a statement fromthe producer that costs were paid fromcorporate (vice contract) funds.

(d) When a commercial film whichhas been produced with Navy coopera-tion is screened in a community, localcommands can provide Navy exhibitsfor display in theater lobbies, coordi-nate displays of recruiting material,and arrange for personal appearancesof Department of Defense and Depart-ment of the Navy military and civilianpersonnel, provided such cooperation isapproved by the Chief of Informationand the Assistant Secretary of Defense(Public Affairs).


§ 705.9 Availability of motion picturesto external audiences.

(a) Public access. Navy and MarineCorps general motion pictures and mo-tion picture projects not previously


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32 CFR Ch. VI (7–1–98 Edition)§ 705.10

cleared for public exhibition will re-quire clearance by the Chief of Infor-mation or the Marine Corps Director ofInformation, as appropriate, prior topublic viewing. Concurrent review oflegal rights and instruments associatedwith the production will be carried outby Patent Counsel, Naval Air SystemsCommand (AIR–OOP). Cleared motionpictures may also be made availablefor free loan as determined by the indi-vidual services. In addition, clearedmotion pictures may be provided forrent or sale through the NationalAudio-Visual Center, National Ar-chives and Records Service (GSA),Washington, DC 20409.

(b) Foreign military training. Motionpictures from the Navy inventory maybe made available for foreign militarytraining programs on approval by theChief of Naval Operations. Classifiedmotion pictures selected for such usewill also require a security review bythe Chief of Naval Operations.

§ 705.10 Still photography.

(a) Policy and procedures on takingphotos by the general public, given in§ 705.5 apply also to media representa-tives.

(b) Basic policy and procedures forstill photos are set forth in the Manualof Naval Photography, OPNAVINST3150.6D.

(c) Authority to forbid photography:(1) On Navy property, the officer in

command may forbid the taking ofphotographs and may confiscate film,reviewing it if it is suspected that clas-sified material has been photographed.In such cases, all unclassified photoswill be returned promptly to the pho-tographer.

(2) Navy personnel have no authorityto confiscate film off Navy property. If,as in an accident, classified equipmentis exposed which cannot be removed orcovered, Navy representatives will asknews media photographers not to pho-tograph it and will inform them of 18U.S.C. 793(e), 795, 797, which makes it acriminal offense to photograph classi-fied material. Navy personnel will notuse force if media photographers refuseto cooperate, but will instead seek theassistance of appropriate civil authori-ties and/or the photographer’s superior

in recovering film or photographs pre-sumed to be of classified nature.

(3) If media photographers are unco-operative in regard to protection ofclassified material, an account of thematter will be forwarded to the Chiefof Information.

(d) Release of photographs:(1) Most unclassified photographs of

interest to the public may be releasedto news media. However, the rights ofindividuals photographed and specialconstraints such as those described insection 0403 of the Public Affairs Regu-lations must be taken into consider-ation before a decision is made to re-lease a photograph. In addition, photoswhich might be harmful to recruitingor otherwise not be in the Navy’s bestinterests will not be used unless thisfailure to release them constitutes sup-pression of legitimate news.

(2) Photographs of strictly local in-terest can be made available by thecommand to local media without beingsubmitted to review by higher author-ity.

(3) If a feature type photo released lo-cally is considered of possible interestelsewhere, because of its human inter-est or artistic merit, a single printshould be forwarded to the Chief of In-formation, together with a notation ofthe distribution made.

(4) Photographs of national interest:(i) ‘‘Spot news’’ photos may be re-

leased by a District Commandant orFleet or Force Commander.

(ii) If a photo has been released by alocal command to national newsmedia:

(A) The original negative or trans-parency will be forwarded by the fast-est available means to the Command-ing Officer, Naval Photographic Center,Naval Station, Washington, DC 20390.Such forwarding will be in accordancewith the Manual of Naval Photog-raphy, par. 0445, subparagraphs 3 and 4.

(B) One print, a copy of the letter oftransmittal, and the distribution listwill be forwarded to the Chief of Infor-mation.

(C) Navy units with a Unified Com-mand will forward the photos throughUnified Command channels.

(D) All other commands will forwardthe photos to the Chief of Informationwho will effect coordination with the


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Office of the Assistant Secretary of De-fense (Public Affairs) and, if necessary,arrange for security review.

(iii) Photography of research activi-ties is normally considered to be of na-tional interest.

(iv) Still photographs of nationalnews interest may be forwarded, un-processed, for release by the Chief ofInformation by any command not sub-ject to the authority of a Unified orSpecified Commander. Such forwardingwill be in accordance with paragraph0445, subparagraph 3, of the Manual ofNaval Photography. All available cap-tion material will be forwarded withthis unprocessed photography.

§ 705.11 Supplying photographs andservices to other than Navy and Ma-rine Corps.

(a) To avoid competition with civil-ian photographic organizations, navalaircraft will not be used to take photo-graphs for, nor will photographs or mo-saic maps be provided to any individ-uals, corporations, or agencies otherthan departments or agencies of thefederal government, without specificpermission from the Chief of Naval Op-erations.

(b) In the case of natural catas-trophe, or other circumstances whereprompt action is required, the seniorofficer present may authorize a depar-ture from the preceding paragraph. Inall such cases, a report of the cir-cumstances will be made to the Chiefof Naval Operations.

(c) This policy does not preclude re-leases to the media, news companies,and others in accordance with estab-lished procedures, or the sale of re-leased photographs to private agenciesor individuals under existing Depart-ment of Defense regulations and part701, subparts A–D, Availability to thepublic of Department of the Navy In-formation and Records. Normally, re-quests by individuals for still photo-graphs and motion picture photog-raphy for private use are forwarded tothe Commanding Officer, Naval Photo-graphic Center, Naval Station, Wash-ington, DC 20390, for action. Proceduresfor the collection or authority forwaiver of fees for service and materialprovided are set forth in Volume III,

NAVCOMPT Manual, and part 701, sub-parts A–D.

(d) Navy aerial photography releasedfor sale to the public is transferred tothe United States Department of theInterior. Inquirers regarding the pur-chase of this photography should be di-rected to Chief, Map Information Of-fice, Geological Survey, Department ofthe Interior, Washington, DC 20025.

(e) Navy training films suitable forsale to the public are transferred to theNational Audio-Visual Center, Na-tional Archives and Records Service,General Services Administration,Washington, DC 20408. Inquires regard-ing the sale of Navy training filmsshould be addressed to the NationalAudio-Visual Center.

(f) This policy does not preclude re-leases to contractors and others prop-erly engaged in the conduct of theNavy’s business. However, when serv-ices are performed for other agencies ofthe government, and under certain con-ditions, for other military depart-ments, the Navy Comptroller Manualprescribes that such are subject to re-imbursement.

(g) All private inquiries from foreignnationals should be returned, advisingthe addressee to contact his local U.S.Information Service officer for the de-sired materials.

§ 705.12 Print media.

Requests for reprints of items pub-lished in national media will be ad-dressed to the Chief of Information.Commands will be careful not to repro-duce on their own authority any copy-righted material without advance per-mission from the copyright holder.

§ 705.13 Commercial advertising.

(a) The Navy encourages cooperationwith advertisers. However, the layout,artwork and text of the proposed ad-vertisement must be submitted to theChief of Information for review and forclearance by other appropriate authori-ties.

(b) Requests from commercial enter-prises (including those with Navy con-tracts) for use of Navy personnel, fa-cilities, equipment or supplies for ad-vertising purposes must be referred tothe Chief of Information.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.14

(c) Official Navy photos which havebeen cleared and are released for openpublication may be furnished for com-mercial advertising, if properly identi-fied and captioned. No photos will betaken exclusively for the use of an ad-vertiser.

(d) Navy cooperation in commercialadvertising, publicity and other pro-motional activities will be based on thefollowing requirements.

(1) It must be in accordance with theprovisions of 32 CFR part 721.

(2) It must be in good taste and notreflect discredit on the Navy or theU.S. Government. Statements mademust be matters of fact, without mis-leading information or other objection-able features.

(3) It must not indicate that a prod-uct is used by the Navy to the exclu-sion of similar products offered byother manufacturers or appear to en-dorse or selectively benefit or favor (di-rectly or indirectly) any private indi-vidual, sect, fraternal organization,commercial venture or political group,or be associated with solicitation ofvotes in a political election. It will notinfer Navy responsibility for the accu-racy of the advertiser’s claims or forhis compliance with laws protectingthe rights of privacy of military per-sonnel whose photographs, names orstatements appear in the advertise-ment. It will neither indicate that aproduct has undergone Navy tests nordisclose data from any Navy testswhich may have been made.

(4) It may not promote the use of to-bacco or alcohol.

(e) Use of uniforms and naval insig-nias. These may be used provided it isdone in a dignified manner.

(f) Use of Naval personnel:(1) Personnel may receive no com-

pensation.(2) Personnel will not be inconven-

ienced or have their training or normalduties interrupted.

(3) Written consent from the personconcerned must be obtained before aphoto may be used.

(4) Navy civilians and military per-sonnel on active duty may not usetheir position titles or ranks in connec-tion with any commercial enterprise orendorsement of a commercial product.(Retired personnel and Reserves not on

active duty may use their military ti-tles in connection with commercial en-terprises if this does not give rise tothe appearance of sponsorship of theenterprise by the Navy or Departmentor in any way reflect discredit uponthem.)

(5) Testimonials from naval person-nel are not banned, but the person giv-ing the testimonial must not be spe-cifically identified.

(i) The use of name, initials, rank orrate of Navy personnel appearing intestimonial advertising is not per-mitted, but such expressions as, ‘‘saysa Navy chief,’’ may be used.

(ii) Care will be taken to ensure thattestimonials from Navy personnel arepresented in such a way as to makeclear that the views expressed arethose of the individual and not of theDepartment of the Navy.

§ 705.14 Embarkation of media rep-resentatives.

(a) General. (1) Although this para-graph applies primarily to embar-kation in ships, provisions which areapplicable to embarkation on aircraftor visits to shore installations applyalso to those situations.

(2) See also § 705.37 on transportationof non-Navy civilians.

(b) Invitations to embark. (1) Invita-tions should be extended as far in ad-vance as possible and inclusive infor-mation on the following should be pro-vided:

(i) Type, scope and duration of oper-ation or cruise.

(ii) Communications, methods ofpress transmission, and charges, if any.

(iii) Transportation arrangements.(iv) Approximate cost of meals and/or

quarters, and the statement that thenewsman will be expected to pay forthese and other personal expenses in-curred.

(2) It should be made clear to thenewsman that there may be limits onmovement from one participating unitto another. If helicopters or highlinetransfers are to be used, their limita-tions and hazards should be explained.

(3) On operations where security iscritical, embarkation of newsmen maybe made contingent to their agreementto submit copy for security review.Under such circumstances, the reason


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for the review will be made clear priorto embarkation, and every effort willbe made to avoid any interpretation ofsuch review as ‘‘censorship’’ or inter-ference with freedom of the press.

(c) Arrangements aboard ship. (1)Where appropriate, a briefing should beheld at the earliest convenient timeafter embarkation at which newsmenmay meet the commanding officer andother key personnel and guests and atwhich previously supplied informationis reviewed.

(2) If feasible, an escort officer will beassigned to each newsman (or group ofnewsmen having similar requirements).

(3) It should be reported in the ship’snewspaper (and on radio and closed-cir-cuit TV, if any) that newsmen will beembarked, giving their names and themedia they represent.

(4) If a correspondent is interested inhome town material, personnel fromhis area should be contacted in ad-vance, if possible, to determine if andwhen they would be available for inter-views and photos.

(5) Representatives of press associa-tions and radio and TV networks willbe embarked in the Exercise Command-er’s flagship or the Exercise Controlship, when possible. This ship shouldalso control the ship-to-shore pressradio and teletype (RATT).

(6) When more than one representa-tive from the same medium is em-barked, an attempt should be made tohave them located at separate vantagepoints.

(d) Communications. (1) Every effortwill be made to provide suitable com-munication facilities for newsmen em-barked (including equipment and per-sonnel, if feasible).

(2) All persons embarked with per-mission of proper authority and accred-ited as correspondents are eligible tofile press traffic, as authorized by theprocedures set forth in Naval Tele-communication Procedures (NTP–9),‘‘Commercial Communications.’’

(3) Navy radio or wire transmissionfacilities, where available, may bemade available to news media (includ-ing accredited civilian photographers)when operational requirements permit,in accordance with instructions setforth by the Director of Naval Commu-nications. This includes making live

broadcasts or telecasts. (A live net-work broadcast or telecast must, how-ever, be approved by the Chief of Infor-mation.)

(4) Messages and instructions fromeditors and station managers to em-barked newsmen will be handled aspress traffic, as authorized in NavalTelecommunication Procedures (NTP–9).

(5) Stations receiving press circuitswill be authorized to receipt for presstraffic without asking for time-con-suming ‘‘repeats.’’

(6) Under normal circumstances,press copy will be transmitted on afirst-come, first-served basis; however,newsmen will be informed that the pre-rogative of limiting the amount to befiled during any one period rests withthe Exercise Commander.

(7) If it becomes necessary for oper-ational reasons for newsmen to poolcopy, such messages shall be filed as‘‘multiple address messages’’ or bookmessages, as appropriate, or when re-quested by the newsmen concerned.

(8) If the locale of the exercise per-mits newsfilm and press mail to beflown ashore, flights should be sched-uled on a high priority basis to connectwith scheduled commercial air traffic.Operational aircraft as well as sched-uled government air flights should beconsidered for delivery of televisionnews film, radio tapes and photographyto the nearest commercial communica-tions facility.

(e) Voluntary submission of material bya newsman for security review. When areview is not required but is sought bythe newsman, no attempt will be madeto delete or change any material,whether or not it appears critical ofthe Navy or of naval personnel. If anyclassified information is included, thenewsman will be asked to delete it. Inaddition, his attention will be drawn toany inaccurate or possibly misleadingstatements.


§ 705.15 Employment of Navy person-nel as correspondents or staff mem-bers of civilian news media.

(a) A member of the naval service onactive duty or Navy civilian may act ascorrespondent for a news periodical or


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32 CFR Ch. VI (7–1–98 Edition)§ 705.16

service, radio or TV station or net-work, or may work part-time for suchan organization. The Secretary of theNavy will, however, be immediately in-formed, via the Chief of Information.

(1) See section 0307 (par. 5), section0308 (par. 4), and section 0309 (par. 3) ofthe Navy Public Affairs Regulationsfor regulations referring to personnelassigned to public affairs staffs receiv-ing compensation for such work.

(2) In time of war, only personnel as-signed to public affairs billets and suchother personnel as the Secretary of theNavy may authorize can act as cor-respondents for civilian media.

(b) Military personnel on active dutyand Navy civilians may not serve onthe staff of a ‘‘civilian enterprise’’newspaper published for personnel of aNavy installation or activity.

§ 705.16 Navy produced public infor-mation material.

(a) Still photo—(1) General. (i) The pol-icy and procedures given for media pro-duced still photos in § 705.10, apply toNavy produced photos.

(ii) The Office of Information doesnot issue, nor have funds available forthe purchases of, any photographicequipment or supplies for Navy com-mands. Details on the establishment ofauthorized laboratories and acquisitionof equipment and supplies are given inthe Manual of Navy Photography(OPNAVINST 3150.6D).

(2) Photographic coverage of commandevents. (i) If more than two photog-raphers are required to cover a publicevent, consideration should be given tohaving them wear appropriate civilianattire.

(ii) Personnel in uniform who areamateur photographers and who are at-tending the event as spectators willnot be discouraged from taking photos.

(3) Unofficial photos taken by Navy per-sonnel. (i) The following regulationsapply to Navy civilian employees andto Navy personnel in transit through acommand, as well as to active dutypersonnel assigned to the command.

(ii) Personal cameras and relatedequipment are permitted on Navyships, aircraft and stations at the dis-cretion of the officer in command.

(iii) An officer in command mayscreen all photos taken by naval per-

sonnel with personal cameras withinthe jurisdiction of the command to pro-tect classified information or to ac-quire photos for official use, includingpublic affairs. Photographs taken bybystanders at times of accident, com-bat, or similar significant events canbe valuable for preparation of officialreport and public release. They shouldbe collected for screening and review asexpeditiously as possible.

(iv) Amateur photographers shouldalso be encouraged to volunteer the useof interesting or significant photos forpublic affairs use.

(v) Photos made by naval personnel,with either personal cameras and film,Navy equipment and film, or any com-bination thereof, may be designated‘‘Official Navy Photo’’ if it is consid-ered in the best interests of the Navy.

(A) All precautions will be taken toprotect such film from loss or damage,and all unclassified personal photos notdesignated as ‘‘official’’ will be re-turned to the owner immediately afterreview.

(B) When a photo taken by an indi-vidual who is not an official photog-rapher is selected for public affairs re-lease:

(1) The photographer will receivecredit for his work in the same manneras an official photographer.

(2) The original negative or trans-parency will be retained and assignedan official file number. It will then behandled like any other official Navyphotograph.

(3) At least one duplicate negative ortransparency of each unclassified per-sonal photo which has been designatedas ‘‘official’’ will be prepared and deliv-ered to the photographer. A black-and-white print may also be prepared forthe photographer’s personal use.

(b) Audiovisual. (1) The Chief of Infor-mation releases TV featurettes directlyto local TV stations and the Office ofInformation’s Branch Offices (NAVINFO’s). After such featurettes havebeen cleared for public release by theAssistant Secretary of Defense (PublicAffairs).

(2) The Assistant Secretary of De-fense (PA) must approve, prior to com-mitment of funds, the initiation ofNavy audiovisual productions intendedfor public release.


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(3) Motion picture film.(i) Film of major news value will be

forwarded immediately, unprocessed,to the Commanding Officer, U.S. NavalPhotographic Center. The packageshould be labeled as follows:

NEWS FILM—DO NOT DELAY

Commanding Officer, U.S. Naval Photo-graphic Center (ATTN: CHINFO Liaison),Washington, DC 20374.

NEWS FILM—DO NOT DELAY

The Commanding Officer of the NavalPhotographic Center will be advised(with an information copy to the Chiefof Information) of its forwarding, thesubject, type and amount of footage,method of delivery, and estimated timeof arrival in Washington.

(ii) The original negative of motionpicture photography of feature value(photography which will not lose itstimeliness over a reasonable length oftime) will be forwarded to the NavalPhotographic Center, and a copy of theforwarding letter will be sent to theChief of Information.

(c) Fleet Home Town News Center(FHTNC). (1) All public affairs officerswill assure that appropirate news andphoto releases on personnel of theircommands are regularly sent to theFleet Home Town News Center.

(2) Procedures, requirements and for-mats are contained in CHIN–FOINST5724.1.


§ 705.17 Participation guidelines.(a) The provisions of this section

refer to participation by naval person-nel and use of Navy facilities and mate-rial in events sponsored by nongovern-ment organizations except where oth-erwise stated.

(b) In accordance with the estab-lished responsibilities of local officersin command, these officers will con-tinue to determine whether facilities,equipment and personnel within theircognizance may be provided for suchprograms (except in the Washington,DC area where the Assistant Secretaryof Defense (Public Affairs) is the au-thorizing authority).

(c) Officers in command will ensurethat participation is appropriate in

scope and type, and is limited to thoseoccasions which are: In keeping withthe dignity of the Department of theNavy, in good taste and in conformancewith the provisions of part 721 of thischapter. The national, regional, stateor local significance of the event andthe agency sponsoring the event will beused as guides in determining the scopeand type of Navy participation to beauthorized.

(d) Participation in community rela-tions programs is authorized and en-couraged to accomplish the aims andpurposes as set forth in § 705.18 (follow-ing). Where mutually beneficial to theDepartment of Defense and the public,support authorized and provided is al-ways subject to operational consider-ations, availability of requested sup-port and the policy guidance providedherein.

(e) Military personnel, facilities, andmateriel may be used to support non-government public affairs programswhen:

(1) The use of such facilities, equip-ment and personnel will not interferewith the military mission or the train-ing or operational commmitments ofthe command.

(2) Such programs are sponsored byresponsible organizations.

(3) Such programs are known to benonpartisan in character, and there isno reason to believe that the views tobe expressed by the participants will becontrary to established national pol-icy.

(f) The sponsoring organizations orgroups will be clearly identified in allcases where naval personnel partici-pate as speakers, or military support isfurnished.

(g) Public affairs programs sponsoredby civilian organizations will not becosponsored by a naval command un-less expressly authorized by the Chiefof Information.

(h) Participation will not normallybe authorized in public events when thepresence of military participants de-prives civilians of employment. Offi-cers in command will screen all re-quests for use of material and person-nel in Navy-sponsored social functionsheld off military installations.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.17

(i) Navy participation and coopera-tion must not directly or indirectly en-dorse, or selectively benefit, or appearto endorse, benefit or favor, any pri-vate individual, group, corporation(whether for profit or nonprofit), sect,quasi-religious or ideological move-ment, fraternal, or political organiza-tion, or commercial venture, or be as-sociated with the solicitation of votesin a political election.

(1) Providing use of government fa-cilities, such as transportation, hous-ing, or messing, at government expenseto private groups is normally inter-preted as a selective benefit or favorand is not authorized as part of a com-munity relations program. Therefore,such provisions are normally not au-thorized as part of a community rela-tions program, even though certainuses of facilities may be authorizedunder directives on domestic action orother programs.

(2) The above does not bar privategroups from providing entertainmenton base. However, the appearance mustbe for entertainment and not for fund-raising, or any political or promotionalpurpose.

(j) Community relations programsmust always be conducted in a mannerfree from any discrimination becauseof race, creed, color, national origin, orsex.

(1) Navy participation in a publicevent is not authorized if admission,seating and other accommodations andfacilities are restricted in a discrimina-tory manner.

(2) Exceptions for participation maybe made under certain circumstancesfor an ethnic or ideological group whenthey do not entertain any purpose ofdiscriminating against any othergroup. Any such exceptions must be re-ferred to the Chief of Information forconsideration.

(3) Support to nationally recognizedveterans’ organizations is authorizedwhen the participation is in support ofpositive programs which are not inthemselves discriminatory.

(4) Navy support to nonpublic schoolactivities is authorized when the par-ticipation is clearly in support of edu-cational programs or Navy recruiting.

(5) Commands should ensure minor-ity participation in all community re-

lations activities and events, as appro-priate. This includes but is not limitedto the following:

(i) Ensure that the minority commu-nity is aware of the procedure for ob-taining Navy support for communityevents and that they are appraised ofthe use of Navy demonstration teams,units, and speakers.

(ii) Encourage Navy involvement in,and attention to, local minority com-munity events.

(iii) Continue to cultivate a rapportwith key members of all minority com-munities.

(k) Participation is not authorized ifthere is fund raising of any type con-nected with the event, except as pro-vided for in § 705.34.

(l) No admission charge may be lev-ied on the public solely to see anArmed Forces demonstration, unit, orexhibit.

(1) When admission is charged, theArmed Forces activity must not be thesole or primary attraction.

(2) A general admission charge neednot be considered prohibitory to Navyparticipation, but no specific or addi-tional charge may be made because ofNavy participation.

(3) Participation shall be incidentalto the event except for programs of apatriotic nature, celebration of na-tional holidays, or events which areopen to the general public at no chargefor admission.

(4) The provisions of this paragraphdo not apply to the Navy’s Blue AngelFlight Demonstration Team or to theNavy Band and other special bands en-gaged in authorized concert tours con-ducted at no additional cost to the gov-ernment.

(m) Some participation in or supportof commercially sponsored programson audio or visual media is allowable.See §§ 705.7 and 705.8.

(n) Some participation which sup-ports commercial advertising, public-ity and promotional activities orevents is allowable. See section 0405,par. 3 of the Navy Public Affairs Regu-lations.

(o) Navy speakers may be providedfor certain events at which other formsof Navy participation may not be ap-propriate. See section 0604, par. 8 of theNavy Public Affairs Regulations.


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(p) When participation is in the mu-tual interest of the Navy and the spon-sor of the event, participation will beauthorized at no additional cost to thegovernment. Additional costs to thegovernment (travel and transportationof military personnel, meals and quar-ters, or standard per diem allowances,etc.) will be borne by the sponsor.

(q) Department of Defense policy pro-hibits payment by the Armed Forcesfor rental of exhibit space, utilities, orjanitorial costs. Other exceptions maybe given under unusual circumstances.

(r) Navy participation in professionalsports events and post-season bowlgames will frequently be authorized atno additional cost to the government,will emphasize Joint Service activitywhen possible, and must support re-cruiting programs. Chief of Informa-tion approval is required.

(s) Navy participation in publicevents shall be authorized only when itcan be reasonably expected to bringcredit to the individuals involved andto the Armed Forces and their recruit-ing objectives. Naval personnel will notbe used in such capacities as ushers,guards, parking lot attendants, runneror messengers, baggage handlers or forcrowd control, or in any installations.

(t) Maximum advantage of recruitingpotential will be taken at appropriateevents for which Navy participationhas been authorized.

(u) Navy support will not normallybe authorized for commercially-ori-ented events such as shopping centerpromotions, Christmas parades, andother such events clearly sponsored by,or conducted for the benefit of com-mercial interests. However, this policydoes not preclude participation of Navyrecruiting personnel and their organicequipment, materials and exhibits solong as their participation is not usedto stimulate sales or increase the flowof business traffic or to give that ap-pearance. Requests for exceptions willbe considered on a case-by-case basisby the Chief of Information.

(v) Questions as to appropriateness ofNavy participation, or as to existingNavy and OASD (PA) policy, may bereferred to the Chief of Information.

(w) Procedures for requesting partici-pation are addressed in § 705.21.


§ 705.18 Authority and coordination.(a) Each naval command will coordi-

nate its community relations programwith the senior authority having re-sponsibility for community relations inits area (District Commandant, UnifiedCommander, or other).

(b) Within policy limitations out-lined in this section, the command re-ceiving a request for Navy participa-tion, and processing the required re-sources, has the authority to processthe request and provide the support re-quested.

(c) Requests for support exceedinglocal capability, or requiring approvalfrom higher authority, or requiring anexception to policy will be referred asdirected in § 705.21 for determination.

(d) The Assistant Secretary of De-fense (Public Affairs) has the overallresponsibility for the Department ofDefense community relations program.Civilian sponsors should be advised toaddress requests for approval of the fol-lowing types of programs directly tothe Director of Community Relations,Office of the Assistant Secretary of De-fense (Public Affairs), Pentagon, Wash-ington, DC 20301:

(1) National and international events,including conventions, except thosetaking place in overseas areas whichare primarily of internal concern toUnified Commanders.

(2) Events outside the United Stateswhich have an interest and impact ex-tending beyond the Unified Commandareas, or which require assistance fromoutside the command area.

(3) Public events in the Washington,DC area.

(4) Aerial, parachute, or simulatedtactical demonstrations held in thepublic domain, except those held inareas assigned to overseas UnifiedCommands.

(5) Aerial reviews on military instal-lations within the United States if thereview involves more than one Service.

(6) Programmed national sports, pro-fessional athletic events, formal inter-national competitions, and contests be-tween a Navy and professional team in


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32 CFR Ch. VI (7–1–98 Edition)§ 705.19

the public domain. See section 0605,par. 18 of the Navy Public Affairs Regu-lations.

(7) Performing Navy units appearingon regional or national television.

(8) Overall planning for Armed ForcesDay (not including local activities).

(9) Granting exceptions to policy.(e) Overseas, Unified Commanders

are designated to act for and on behalfof the Secretary of Defense in imple-menting community relations pro-grams within their command areas andin granting any exceptions to policy orregulations. This authority may be del-egated.

(1) Policy, direction and guidance forUnified Command community relationsprograms are provided to Navy compo-nents of these commands by the Uni-fied Commander concerned.

(2) Authority of the Commander-in-Chief, Pacific extends to planning andexecution of community relations pro-grams in Alaska and Hawaii. Participa-tion in events held in Alaska and Ha-waii will be governed by the same prin-ciples as policies applicable to otherstates.

(3) Community relations programsand events taking place within theUnited States which have an effect ona Unified or Specified Command as awhole, or are otherwise of significantconcern to the Unified Command, re-quire complete coordination throughappropriate channels between the Uni-fied Command and naval activities con-cerned.

(4) Unified Commanders overseas re-quiring Navy support for a communityreltaions program or participation in apublic event should coordinate their re-quirements with the appropriate Navycomponent command.

(f) The Secretary of the Navy willplan and execute Navy community re-lations programs and approve Navyparticipation in public events not oth-erwise reserved or assigned to the Sec-retary of Defense. This authority maybe delegated.

§ 705.19 Financing.(a) The financial requirements for

community relations purposes will bekept to the minimum necessary to ac-complish Department of Defense objec-tives.

(b) Costs of participation will nor-mally be at government expense for thefollowing types of events and programswhen they are in the primary interestof the Department of Defense:

(1) Public observances of nationalholidays.

(2) Official ceremonies and functions.(3) Speaking engagements.(4) Programmed, scheduled tours by

Navy information activity supportunits (e.g., an exhibit from the NavyExhibit Center) when this method ofreaching special audiences is consid-ered by the Secretary of the Navy to bethe most effective and economical wayof accomplishing a priority public af-fairs program.

(5) Tours by units (e.g., the NavyBand) for which appropriated fundshave been specifically provided.

(6) Support of recruiting.(7) Events considered to be in the na-

tional interest, or in the professional,scientific, or technical interests of theNavy or Department of Defense, whenapproved by the Secretary of Defenseor the overseas Unified Commander, asappropriate.

(c) Navy participation in all otherpublic events will normally be at noadditional costs to the government.

(1) Continuing type costs to the gov-ernment which would have existed hadthe Navy not participated in the eventwill not be reimbursed by the sponsor.

(2) Transportation costs may be ex-cluded from the costs to be borne bythe sponsor when the transportationcan be accomplished by governmentaircraft on a normal training flight oropportune airlift.

§ 705.20 Use of Navy material and fa-cilities.

(a) The loan of equipment and per-mission to use facilities will be depend-ent on the following:

(1) The program support must bewithin the command’s public affairs re-sponsibility.

(2) The loan of the equipment mustnot interfere with the military missionof the command.

(3) Equipment must be availablewithin the command or obtainablefrom another Navy command in thelocal area.


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(4) The event must be of the type forwhich participation is considered ap-propriate.

(5) It must not be in any direct or im-plied competition with a commercialsource.

(6) There must be no potential dangerto persons or private property thatcould result in a claim against the gov-ernment. Safety requirements will beobserved.

(b) Use of open mess facilities will bepermitted only under one of the follow-ing conditions:

(1) Incident to the holding of a pro-fessional or technical seminar at thecommand.

(2) Incident to an official visit to thecommand by a civic group.

(3) Navy League Council luncheon ordinner meetings (not to exceed one perquarter per group).

(4) Incident to group visits by theBoy Scouts of America, Boys Clubs ofAmerica, the Navy League Sea Cadets(by virtue of their federal charters),Girl Scouts and the Navy League Ship-mates, and a few representative adultleaders.

(c) Use of the official Navy flag willbe in accordance with SECNAVINST10520.2C and of official emblem in ac-cordance with OPNAVINST 5030.11B.

(d) Requests not meeting the criteriacited here, but which are considered bythe officer in command to have merit,may be referred to the Chief of Infor-mation.


§ 705.21 Requests for Navy participa-tion.

(a) Decisions will be made on a case-by-case basis. Events which are inap-propriate for one type of participationmay be entirely appropriate for an-other type of participation. A positiveand flexible approach should be em-ployed.

(b) Requests by civilian organizationsfor Navy participation in programs orevents they sponsor should be ad-dressed to the nearest naval installa-tion and should be evaluated and au-thorized at that level if possible. Re-quest exceeding local resoures, or re-quiring authorization from higher au-

thority, should be forwarded throughappropriate channels.

(c) Requests for Armed Forces par-ticipation in public events are to besubmitted on official request forms(§§ 705.33, 705.34 and 705.36) by the spon-sors of events occurring outside a com-mand’s area of direct knowledge andlocal capability, or involving a type orlevel of participation unavailable lo-cally, or requiring approval of higherauthority.

(d) Fact sheets expounding upon nor-mally requested assets are enclosed in§§ 705.33, 705.34 and 705.36 and may bereproduced and distributed locally.

(e) The official request form is to beused on all requests referred to theChief of Information and to the Officeof Assistant Secretary of Defense (Pub-lic Affairs).

§ 705.22 Relations with communitygroups.

(a) Naval commands will cooperatewith and assist community groupswithin their capabilities, to the eventauthorized by current instructions, andwill participate in their activitis to theextent feasible.

(b) Navy commands will encouragemembership of personnel in commu-nity organizations.

(c) Officers in command will withholdapproval of requests from communitygroups, organizations or individualswhose purposes are unclear, pendingadvice from the Chief of Information.

(d) Commands may make facilities,less housing and messing, available tocommunity groups, at no expense tothe government, when it is in the bestinterest of the Navy to do so. Mess fa-cilities may not be used for meetings ofcivic groups or other asociations unlessall the members of the group concernedare authorized participants of the messas prescribed in NAVPERS 15951, ex-cept as provided below:

(1) Requests to make open mess fa-cilities available to professional ortechnical seminars or civic groupsmeeting in connection with an officialvisit to the activity may be submittedto the officer in charge of the mess, orother appropriate authority. Such re-quests may be approved when it isshown that the inspection of the activ-ity or the holding of a professional


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32 CFR Ch. VI (7–1–98 Edition)§ 705.23

seminar is of principal importance andthe use of mess facilities is incidentalthereto.

(2) Because of the exceptional natureof the Navy League, as recognized bythe Secretary of the Navy, open messfacilities may be used for luncheon ordinner meetings of Navy League Coun-cils, but not more often than once perquarter per group.

(e) Relations with Industry andLabor in the Community (refer toSECNAVINST 5370.2F and DOD Direc-tive 5500.7):

(1) Relations with Navy contractorsand with industry and business in gen-eral are the responsibility of the officerin command, with the assistance of hispublic affairs officer.

(2) Navy commands will cooperatewith industry and its representativesin planning and executing communityrelations projects of mutual interest.

(i) Visits to commands will be sched-uled for industrial and employeegroups under the same conditions asfor other civilian groups.

(ii) A contractor may be identified ina news release, exhibit, or the likewhenever the major responsibility forthe product can be clearly and fairlycredited to him. In such cases, both themanufacturer’s name for the productand the Navy designation of it will beused.

(iii) Commands will not solicit, norauthorize others to solicit, contractorsto provide advertising, contributions,donations, subscriptions, etc. Wherethere is a legitimate need for indus-trial promotion items, such as scalemodels, the command will contact theChief of Information for advice as tothe procedure for requesting procure-ment.

(iv) Similarly, if Defense contractorswish to distribute information mate-rial through official Navy channels, theOffice of Information will be queried asto the desirability and feasibility ofundertaking the desired distribution.

(v) Visits to contractor facilities aregoverned by the provisions of DODManual 5520.22–M (Industrial SecurityManual for Safeguarding Classified In-formation). If nationally known pressrepresentatives will be involved, priorapproval must be obtained both fromthe contractor (via the Chief of Infor-

mation) and from the Assistant Sec-retary of Defense (Public Affairs).

(3) Commands will maintain thesame relationship with labor unions aswith other community groups and willnot take action in connection withlabor disputes. Personnel inadvertentlyor incidentally involved in labor dis-putes will consult officers in commandfor guidance.

(f) Emergency Assistance to the Com-munity:

(1) Navy commands will offer andprovide assistance to adjacent commu-nities in the event of disaster or otheremergency.

(2) The Chief of Information will beadvised immediately of action whentaken, and copies of subsequent reportsto the Chief of Naval Operations will beforwarded to the Chief of Information.

(3) Navy commands will participatein planning by local Civil Defense offi-cials.


§ 705.23 Guest cruises.(a) General policy. (1) The embar-

kation of civilian guests in Navy shipsis appropriate in the furtherance ofcontinuing public awareness of theNavy and its mission.

(i) Examples of embarkations forpublic affairs purposes are (but notlimited to): Individuals, communityservice clubs, civic groups, the NavyLeague, and trade and professional as-sociations.

(ii) Embarkation of media represent-atives on assignment is discussed in§ 705.14.

(iii) Other categories may be estab-lished by the Secretary of the Navy,subject to the approval of the Sec-retary of Defense.

(2) It has also been demonstratedthat the occasional embarkation oncruises of families and personal guestsof naval personnel has contributed ma-terially to the morale of the family cir-cle and has instilled in each individuala sense of pride in his ship. For furtherinformation see OPNAVINST 5720.2G.

(3) Embarkations should be con-ducted within the framework of regu-larly scheduled operations; underwayperiods solely to accommodate guestsare not authorized.


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(4) Commander-in-Chief, PacificFleet, Commander-in-Chief, AtlanticFleet, Commander-in-Chief, U.S. NavalForces Europe, Commander MilitarySealift Command (and their subordi-nate commands if so designated), Chiefof Naval Education and Training, andDistrict Commandants may authorizethe embarkation of female civilians fordaylight cruises. Embarkation of civil-ians for overnight cruises must be au-thorized by the Chief of Naval Oper-ations via the Chief of Information.

(5) All guest visits are normally au-thorized on an unclassified basis.

(6) In all instances, due precautionsmust be taken for the safety of theguests. (See section 0403, pars. 6(b) and,6(e), of the Navy Public Affairs Regula-tions, for procedures to be followed inthe case of death of, or injury to, civil-ians embarked on naval ships.)

(7) For further information on policy,procedures, and eligibility criteria, seeOPNAVINST 5720.2G.

(b) Authority. (1) Authority to estab-lish procedures for the conduct of theembarkation of guests for public af-fairs purposes (including the Secretaryof the Navy Guest Cruise and Guest ofthe Navy Cruise programs, which arediscussed in § 705.24) is vested in theSecretary of the Navy. This authorityis limited only insofar as the Chairmanof the Joint Chiefs of Staff and thecommanders of the Unified and Speci-fied Commands (and their componentcommanders, if so designated) have theauthority to use Navy ships to embarkindividuals other than news media rep-resentatives for public affairs purposes.

(i) Public affairs embarkations origi-nating within the geographical limitsof the Unified Command will be ap-proved by and coordinated with thecommanders of such commands. Thisauthority may be delegated. Requestsfor such embarkations originating withthe subordinate fleet or force commandof a Unified Command will be submit-ted via the operational chain of com-mand, to the appropriate commanderof the Unified Command, unless dele-gated.

(ii) Requests for public affairs embar-kations originating from any Navysource other than the Chairman of theJoint Chiefs of Staff, or the Unified andSpecified Commanders or their subor-

dinate commands, will be submitted tothe Chief of Information, who will ef-fect coordination with the Chief ofNaval Operations and/or the AssistantSecretary of Defense (Public Affairs) asappropriate.

(iii) When guests debark in a foreignport which is in the geographic area ofa Unified Command other than that inwhich the cruise originated, the Chiefof Information will coordinate travelby obtaining concurrence of all appro-priate commanders and the approval ofthe Chief of Naval Operations, and theAssistant secretary of Defense (PublicAffairs) as appropriate.

(2) Officers in command to whom au-thority to embark guests for public af-fairs purposes is delegated will makemaximum use of this authority.

(c) Secretary of the Navy Guest Cruiseand Guest of the Navy Cruise Programs.(1) The objective of these two programsis: To expose top-level and middle-levelopinion leaders in the fields of busi-ness, industry, science, education, andlabor to the operation of the U.S.Navy, in order that they may gain abetter understanding of its capabilitiesand problems, the complicated natureof modern sea-based equipment, andthe high levels of responsibility andtraining required of Navy men andwomen.

(2) In addition to policy contained inparagraph (c)(1) of this section, the fol-lowing policy guidelines apply to theconduct of the Secretary of the NavyGuest Cruise and the Guest of the NavyCruise Programs.

(i) Secretary of the Navy Guest CruiseProgram. (A) Only aircraft carriers andcruisers will be used.

(B) Cruises will be conducted onceeach quarter on each coast, contingentupon the availability of appropriateships.

(C) The optimum number of guests is15.

(D) Guests will be drawn from top-level executives and leaders who havenot had previous exposure to the Navy.‘‘Previous exposure’’ is defined as ac-tive or reserve service in the U.S. Navyor U.S. Marine Corps within the last 10years; membership in the Navy Leagueor any other Navy-oriented organiza-tion; or participation in a cruise on aU.S. Navy ship in the last 10 years.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.23

(E) Whenever feasible, Secretary ofthe Navy Guests will be greeted byCINCLANTFLT or CINCPACFLT, or intheir absence by the SOPA. Com-prehensive unclassified briefings willbe given dealing with the Navy’s mis-sion, fleet operations, and currentproblems.

(F) Cruises will vary in length from 3to 7 days, when appropriate, to con-form with the operating schedule of theship.

(ii) Guests of the Navy Cruise Program.(A) All types of ships will be used. Thiswill include carriers when available,after selection of a cruise for the Sec-retary of the Navy Guest Cruise Pro-gram.

(B) Guest of the Navy Cruise guestswill be drawn from middle-level execu-tives and leaders who have not had pre-vious exposure to the Navy. Guestsshould include persons who have directimpact on recruiting, such as second-ary school principals, guidance coun-selors, coaches and teachers.

(C) Cruises of relatively short dura-tion (3 to 5 days) are preferred, al-though cruises up to 7 days are author-ized. Protracted cruises will not be ap-proved except for special cir-cumstances.

(D) Invitations will be extended bythe District of Commandants. Invita-tions will include:

(1) Statement of the purpose of theGuest of the Navy Cruise Program.

(2) Authorization for embarkationand, if applicable, for COD flights, withinstructions for reporting on board.

(3) Name and rank of the command-ing officer and, if applicable, name andrank of embarked flag officer.

(4) A caution that guests should notaccept the invitation unless they are ingood health.

(5) Statement to the effect that thetempo of operations might causechanges in scheduling which could re-sult in the invitation having to bewithdrawn.

(E) The following necessary informa-tion may be included separately with aletter of invitation: Recommendedwardrobe, passport and immunizationrequirements, availability of emer-gency medical and dental facilities,ship’s store and laundry facilities,statement that guest’s use of a camera

will be authorized subject to certain re-strictions, and a listing of those re-strictions. In addition, the followingstatement will be included with eachinvitation, or form part of the attachedinformation sheets:

The Department of the Navy has no spe-cific authority to use its funds to defray orreimburse any personal expenses of a navyguest. As a result, the Department of theNavy cannot provide you with transpor-tation to the port of embarkation or fromthe port of debarkation back to your home.Your expenses for meals will be quite nomi-nal while you are on board a naval ship or fa-cility. You should make provision for any ex-traordinary expense which may arise. Forexample, if a personal or other emergencyarises which necessitates your returninghome during the cruise, you should be pre-pared to take commercial transportation atyour own expense from the most distantpoint on the cruise itinerary.

Navy ships and aircraft, by their very na-ture, present certain hazards not normallyencountered on shore. These hazards requirepersons on board to exercise a high degree ofcare for their own safety.

Acceptance of this invitation will be con-sidered your understanding of the above ar-rangements and limitations.

(iii) Applicable to both programs. (A)Guests will provide their own transpor-tation from home to the ship and re-turn, and must reimburse the Navy forliving and incidental expenses whileembarked so that the program may beconducted at no additional expense tothe government.

(B) Because the number of billetsavailable to accommodate all of the po-tential guests is limited, the guest’sopportunity to communicate his expe-rience to his associates must be consid-ered. For this reason, one of the cri-teria for selection of guests will betheir level of activity in civic, profes-sional, and social organizations. Innominating and selecting guests, effortwill be made to ensure that minoritycitizens are included as appropriate.

(C) Atlantic cruises will be made onships operating between East Coastports, or between CONUS and the U.S.Caribbean ports of San Juan, PR, orCharlotte Amalie (St. Thomas), VirginIslands. Pacific cruises will be made onships operating between West Coastports: Between CONUS and ports in Ha-waii, Alaska, Mexico or Canada; or be-tween ports within Hawaii or Alaska.


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(D) Guests will be informed of secu-rity restrictions. Unclassified photog-raphy should be permitted on board, aspictures renew guests’ feelings of iden-tification with a ship. Guests will beadvised of areas, however, where pho-tography is prohibited, and securityregulations will be courteously butfirmly enforced.

(E) Guests will be billeted in officersquarters and normally subsisted in thewardroom. It is not necessary thatguests be assigned individual rooms.Billeting with ship’s officers promotesmutual understanding, and guests feelmore closely identified with the ship’scompany. They will be invited to dineat least once in each mess on board, ifthe length of the cruise permits.Guests will be encouraged to speakfreely and mingle with the crew.

(F) Guests will be accorded privilegesof the cigar mess commissioned offi-cers mess (open) ashore—with the ex-ception of package store privileges—and the use of ship’s or Navy Exchangelaundry and tailor shops. Other NavyExchange privileges will be limited topurchase of items for immediate per-sonal use.

(G) Only emergency medical and den-tal care will be provided and then onlywhere civilian care is not convenientlyavailable.

(1) In the event of injury to civiliansembarked in Navy ships and aircraft orvisiting naval activities, commandingofficers will notify the Chief of infor-mation, the appropriate Commandant,and operational commanders, by mes-sage, of the injury and action taken.

(2) In the event of an emergency notcovered by Navy Regulations, the factsand circumstances will be reported im-mediately to the Secretary of theNavy.

(H) Guests may be allotted time forside trips at their own expense when anitinerary includes naval activities orports adjacent to recognized points ofinterest.

(I) As a souvenir of the cruise, it issuggested that guests be provided witha photograph of the ship, perhaps suit-ably inscribed by the commanding offi-cer prior to debarkation.

(J) Any publicity will be limited tothat initiated by the participants.Navy-sponsored publicity will be avoid-

ed unless sought by the participants.At the same time, media inquiries orinquiries from the general public willbe answered fully, the purposes of thecruise program outlined and the factstressed that no cost to the govern-ment is incurred.


§ 705.24 Exhibits.(a) Navy exhibits are representations

or collections of naval equipment,models, devices and information andorientation material placed on publicdisplay for information purposes beforeaudiences at conventions, conferences,seminars, demonstrations, exhibits,fairs, or similar events. Also includedare general purpose displays in publicbuildings or public locations. Museumsalso occasionally request a Navy ex-hibit on a permanent or temporaryloan basis.

(1) Exhibits may be displayed in anyappropriate location or event (includ-ing commercially owned spaces such asshopping centers, malls, etc.) providedit is clearly established that such areasare places the general public frequentsand that the exhibit is not for the pur-pose of drawing the public to that loca-tion, and that it is determined thatparticipation is in the best interests ofthe Department of Defense and the De-partment of the Navy.

(b) Exhibits will be used for the fol-lowing purposes only:

(1) To inform the public of the Navy’smission and operations.

(2) To disseminate technical and sci-entific information.

(3) To assist recruiting of personnelfor Navy military service and for civil-ian employment in the Department ofthe Navy.

(c) Exhibit requests and procedures:(1) Requests for Navy exhibits, other

than local exhibits may be forwardedto the Navy Recruiting Exhibit Centervia the local Navy recruiter with an in-formation copy to the Chief of Infor-mation. The primary mission of theNavy Recruiting Exhibit Center is tosupport local Navy recruiters. Requestsfor exhibits for community relationsevents will be considered favorablyonly when not in conflict with recruit-ing requirements.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.25

(i) Requests for exhibits must be sub-mitted well in advance of their pro-posed dates of use.

(ii) Requests for mobile exhibits re-quiring tractor-trailer transportationshould be forwarded prior to November15th previous to the year desired. Atour itinerary of mobile exhibits willthen be established for the followingyear.

(iii) The period of time for which anexhibit is authorized will be deter-mined by the nature of the event andthe type of exhibit (e.g., equipmentfrom local resources used for a localcelebration would normally not be ex-hibited for more than three days; but,a formal exhibit at an exposition mightremain for the duration of the event).

(2) The office of the Assistant Sec-retary of Defense (Public Affairs) is theapproving authority for Navy exhibitsin events of international or nationalscope, or those requiring major coordi-nation among the Armed Forces, orwith other agencies of the Federal Gov-ernment.

(i) All Navy activities will forwardsuch requests to the Chief of Informa-tion for coordination with the OASD(PA).

(ii) Subordinate commands of a Uni-fied Command will forward exhibit re-quests of the above types to the UnifiedCommander concerned, via the chain ofcommand.

(3) The official OASD(PA) RequestForm for Armed Forces Participationwill be used. See Armed Forces RequestForm, § 705.36.

(4) Requests for exceptions to policyfor exhibit displays should be for-warded to the Officer in Charge, NavyRecruiting Exhibit Center.

(5) Policy guidance on costs is de-fined in § 705.19.

(6) Occasionally, a project officer willbe assigned to coordinate use of the ex-hibit with the sponsor.

(i) Project officers are normally com-missioned officers, equivalent civilianpersonnel, local recruiters or reserv-ists, who have been assigned the re-sponsibility of coordinating Serviceparticipation in a special event.

(ii) The project officer should estab-lish immediate liaison with the spon-sor.

(iii) The project officer should assistin determining the actual location ofthe exhibit, make arrangements for as-sembling and disassembling the exhibitmaterial, and supervise these oper-ations.

(iv) The project officer will ensureNavy and Department of Defense poli-cies are followed, and will coordinatelocal news releases concerning Navyparticipation.


§ 705.25 Navy Exhibit Center.(a) The center is a field activity of

the Chief of Information and is locatedin the Washington Navy Yard. Its pri-mary mission is to produce, transportand display U.S. Navy exhibitsthroughout the United States. It alsofacilitates assignments of Navy combatartists and, additionally, produces ex-hibits for its own tours and for short-term loans to naval commands.


§ 705.26 Exhibit availability report.(a) A center index of exhibits which

are available at the local level in eachNaval District is maintained by the ex-hibit center. To achieve maximum ef-fectiveness for an overall integratedprogram, an up-to-date registry of allexhibits is required.

(b) A current inventory of exhibitsheadquartered in Washington, DC, andmanaged by the Navy Recruiting Ex-hibit Center for scheduling purposesmay be obtained by writing to: Officer-in-Charge, Navy Recruiting ExhibitCenter, Washington Navy Yard, Wash-ington, DC 20374.


§§ 705.27–705.28 [Reserved]

§ 705.29 Navy Art Collection.(a) The U.S. Navy has continued to

record its military actions, explo-rations, launchings, etc., in fine artform since before World War II. Thepresent Navy Combat Art Collectioncontains over 4,000 paintings andsketches. A significant number of newworks is being added each year. The


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combat artists of World War II havebeen replaced by civilian artists whowitness today’s Navy in action, recordtheir impressions, and donate theirworks of art to the Department of theNavy.

(1) The voluntary services of most ofthe artists are arranged through theNavy Art Cooperation and LiaisonCommittee (NACAL) which operates inclose cooperation with the SalmagundiClub of New York City and the Munici-pal Art Department of the City of LosAngeles.

(2) The Chief of Information has es-tablished liaison with the SalmagundiClub in order to maintain a continuinghistorical record of the Navy. Orga-nized in 1871, the Salmagundi Club isthe oldest club of professional artistsin the United States. The Club ap-pointed a Navy Art Cooperation andLiaison (NACAL) Committee to advisethe Navy on art matters and to nomi-nate artists for assignment to paintNavy activities through the world. TheChief of Information reviews the nomi-nations, and issues SECNAV invita-tional travel orders to each artist ap-proved.

(3) The following policy pertains:(i) All finished art portraying the

Navy and produced by Navy artists onactive duty for that purpose and byguest artists working under invita-tional travel orders becomes the prop-erty of the Department of the Navy.

(ii) Civilian artists selected to paintNavy life through cooperation of a pri-vate sponsor and the Chief of Informa-tion may be authorized by the Chief ofInformation or the Office of the Sec-retary of Defense to retain their works.

(iii) Paintings, sketches, drawingsand other forms of artwork will not beaccepted by the Department of theNavy unless all reproduction rights aresurrendered and unless they becomethe permanent property of the Depart-ment of the Navy.

(iv) Requests for reproduction ofcombat art for use in advertising orpublication will be directed to theChief of Information.

(b) Responsibilities:(1) The Chief of Information exercises

supervision and control of the NavyArt Program and issues SECNAV invi-tational travel orders and letters of in-

vitation to artists selected for assign-ment.

(2) When directed by the Chief of In-formation or other appropriate Navyauthority, a NACAL project officer willperform the following functions:

(i) Act as a local liaison officer forthe NACAL Program.

(ii) Assist NACAL artists on assign-ments within his area.

(3) The Curator Navy Combat ArtCenter, in coordination with the Chiefof Information, will:

(i) Plan trips for the NACAL Pro-gram.

(ii) Approve requests for art displays.(iii) Provide logistic support for the

maintenance, storage, shipment anddisplay of the Navy Combat Art Pro-gram.

(c) Requests for art displays shouldbe forwarded to the Director, Commu-nity Relations Division, Office of Infor-mation, Navy Department, Washing-ton, DC 20350.

(d) Exhibition of Navy Art:(1) Operation Palette I’’ is a carefully

selected group of 75 to 100 combat artpaintings depicting Navy and MarineCorps activities during World War II.The schedule of ‘‘Operation Palette I’’is promulgated by the Officer-in-Charge, Navy Recruiting Exhibit Cen-ter and supervised by the Chief of In-formation, with the concurrence of Dis-trict Commandants. Schedules are ar-ranged so that the exhibition travelswithin a particular Naval District forseveral months at a time. DistrictCommandants designate project offi-cers for each city where ‘‘OperationPalette I’’ is exhibited. The project of-ficer makes all arrangements, includ-ing suitable location, publicity andpersonnel to assist the chief petty offi-cer who travels with the collection.Promotional kits are provided by theOfficer-in-Charge, Navy Recruiting Ex-hibit Center. Requests for exhibitionsare not desired, since the collection al-ways travels on a prearranged tour.

(2) ‘‘Operation Palette II’’ consists of75 to 100 paintings representative of theworldwide operations of the contem-porary Navy and Marine Corps * * *the Navy today * * *, and travels onprearranged tours similar to ‘‘Oper-ation Palette I.’’


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32 CFR Ch. VI (7–1–98 Edition)§ 705.30

(3) Other exhibitions of originalpaintings from the Combat Art Collec-tion may be scheduled on request by ei-ther Navy commands or civilian artgroups. Requests should be directed tothe Director, Community Relations Di-vision, Office of Information, Navy De-partment, Washington, DC 20350 andcontain the following:

(i) The occasion.(ii) Inclusive dates. (Not less than 10

days or more than 90 days sub-cus-tody.)

(iii) Expected attendance and type ofpublicity planned.

(iv) Amount of space allotted.(v) If Navy-sponsored show, certifi-

cation that 24-hour security will beprovided for the paintings while in cus-tody.

(vi) If civilian-sponsored show, state-ment that transportation and insur-ance requirements will be met. (Phys-ical security must be available for ex-hibit, with an attendant on duty duringopen hours and locked building orother means of protecting exhibit whenclosed to the public.)

(e) Navy Combat Art Lithograph Pro-gram:

(1) This program makes available fullcolor, high quality lithographs whichare faithful reproductions of the origi-nal artwork on quality paper of se-lected works of art from the Navy ArtCollection.

(2) Additional information and order-ing details are contained in CHINFONOTICE 5605, which is issued periodi-cally.


§ 705.30 Aerospace Education Work-shop.

(a) This program is devised by theNavy to give students at colleges anduniversities conducting teacher train-ing a comprehensive background in thefield of aviation. The teachers in turnintegrate this knowledge into theireducation programs.

(b) Appropriate commands are en-couraged to provide assistance to edu-cational institutions sponsoring theworkshop program: Provided, That suchsupport does not interfere with thecommand’s primary mission and that

such cooperation involves no addi-tional expense to the government.

(c) The Chief of Naval Operations hascognizance of all assistance providedby the Navy to all Aerospace Edu-cation Workshop program. A summaryreport of local command participationin Aerospace projects will be submittedto the Chief of Naval Operations viathe appropriate chain of command. In-formation copies of such reports will besent to Commander, Navy RecruitingCommand and the Chief of Informa-tion. For further information seeOPNAVINST 5726.1C.

§ 705.31 USS Arizona Memorial, PearlHarbor.

(a) Limited space and the desirabilityof keeping the Memorial simple anddignified require the following prac-tices to be observed:

(1) Rendering of formal ceremonieson the USS Arizona Memorial will beconfined to Memorial Day.

(2) Observances on December 7, orany other date, at the request of indi-viduals or organizations, will consist ofsimple wreath-laying, or other appro-priate expressions conducted with dig-nity.

(3) Plaques intended for display onthe Memorial may be presented byheadquarters of national organizationsonly. Plaques from regional, state orlocal organizations cannot be accepted.Only one plaque will be accepted fromany organization. The overall size ofthe plaques, including mounting, mustbe no larger than 12 inches square.

(b) The Commandant, FourteenthNaval District, is designated to coordi-nate all formal or informal observancesinvolving the Memorial.

§ 705.32 Aviation events and parachutedemonstrations.

(a) Armed Forces aircraft and para-chutists may be authorized to partici-pate in appropriate in public eventswhich meet basic Department of De-fense criteria. This participation maybe one of the officially designated mili-tary flight or parachute demonstrationteams, flyover by aircraft, a generaldemonstration of capabilities by air-craft, or the static display of aircraft.


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(b) Events which are appropriate foraviation participation include: Dedica-tion of airports; aviation shows; air-craft exposition; air fairs; recruitingprograms; civic events which contrib-ute to the public knowledge of navalaviation equipment and capabilitiesand to the advancement of generalaviation; public observances of certainnational holidays (Armed Forces Day,Veterans Day, Memorial Day and Inde-pendence Day); national conventions ofmajor veterans organizations; memo-rial services for deceased, nationallyrecognized dignitaries; and receptionsfor foreign dignitaries.

(c) Support of Armed Forces recruit-ing is the primary purpose of militaryflight and parachute demonstrationteams. Armed Forces recruiting teamsare available to assist sponsors in co-ordinating advance publicity and infor-mation coverage to insure maximumexposure for the demonstration teamand the event. This assistence is at noadditional expense to the sponsor; how-ever, the sponsor is required to givefull support to the recruiting effort andto cooperate fully with local service of-ficials. Such support could include (butis not limited to) the provision ofprime space for recruiters at the eventsite and the provision of courtesypasses in controlled quantities to re-cruiters for the purpose of bringing re-cruit prospects and recruiting advisorsto view the show.

(d) DOD support of air show fundraising efforts in the form of provisionof military flight and parachute dem-onstration teams is limited to charitiesrecognized by the Federal ServicesFund-Raising Program. These includesuch agencies as the United GiversFund, Community Chests, NationalHealth Agencies (as a group), Inter-national Service Agencies and the mili-tary aid societies. Armed Forces sup-port to fund-raising events for a singlecause, even though the charity is amember of a federated or joint cam-paign or donates in part to one or sev-eral of the campaigns, is inconsistentwith the basic position of Departmentof Defense. The name of the nearestCombined Federal Campaign coordina-tor will be supplied to the sponsor, or ifhe chooses, he might elect to workwith the local United Givers Fund

(Community Chest). As a minimum,the sponsor must agree to provide atleast half of the profit above costs tothe Combined Federal or United GiversCampaigns to receive Armed Forcessupport.

(e) Request form. This form is used torequest military flight and parachutedemonstration team participation inpublic events. The information is re-quired to evaluate the event for appro-priateness and compliance with De-partment of Defense policies and forcoordination with the units involved.

GENERAL

1. Title of Event ——————————————Town or City: ——————— State: —————Date: ———————— Time—From: —————To: ———— Place: (Airport, etc.) ——————

2. Sponsor: ————————————————3. The sponsor (is) (is not) a civic organiza-

tion and the event (does) (does not) have theofficial backing of the mayor.

4. The sponsoring organization (does) (doesnot) exclude any person from its membershipor practice any form of discrimination in itsfunctins, based on race, creed, color or na-tional origin.

5. Sponsor’s representative authorized tocomplete arrangements for Armed Forcesparticipation and responsible for reimburs-ing Department of Defense for accrued ex-penses when required:

Name: ———————————————————Address: ——————————————————City, State: ————————— Zip: ————Telephone: (Office) ———— (AC) —————

————————————————————————(home) —————————— (AC) ———————————————————————————————

6. Purpose of this event (explain fully): ——————————————————————————

7. Expected attendance: —————————8. Is this event being used to promote funds

for any purpose? ——————————————9. Admission charge: ———————————‘‘Charge for seating: ————————— ——10. Disposition of profits which may ac-

crue: —————————————————————11. Will admission, seating and all other

accommodations and facilities connectedwith the event be available to all personswithout regard to race, creed, color or na-tional origin? ————————————————

12. Will the standard Military Services al-lowance for quarters and meals be providedby the sponsor for Armed Forces partici-pants? ————————————————————

13. Will transportation at sponsor’s ex-pense be proviced for Armed Forces partici-pants between the site of this event andhotel? ————————————————————


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32 CFR Ch. VI (7–1–98 Edition)§ 705.32

14. Will telephone facilities, at sponsor’sexpense, be made available for necessary of-ficial communications regarding the event?————————————————————————

15. It may be necessary for representativesof the requested unit to visit the site prior tothe event. Will transportation, meals andhotel accommodations be provided by thesponsor? ———————————————————————————————————————————

16. Please describe the space which will beprovided to recruiters: ———————————————————————————————————————————————————————————————————————————————————

17. Designate charity beneficiary(s): ———————————————————————————

FLIGHT TEAM, PARACHUTE TEAM, FLYOVERS,STATICS

1. This request is for (check appropriateline):Flight Team Demonstration ................................. ..................U.S. Navy Blue Angels ........................................ ..................U.S. Air Force Thunderbirds. (Cost for either

team is $1500.00 for each day team sched-uled at your event.) .......................................... ..................

Aircraft Flyover: (No cost to sponsor.) ................. ..................Static Aircraft: (Cost is $25.00 per day per crew-

member.) .......................................................... ..................U.S. Army Silver Eagles: (Cost for this team is

$750.00 for each day team scheduled at yourevent.) ............................................................... ..................

Parachute Team Demonstration U.S. ArmyGolden Knights: (Cost is $25.00 per day perman for each day required to support yourevent. Team consists of 10–14 personnel.) ..... ..................

(Other) .................................................................. ..................

2. Flight and/or Parachute Team dem-onstrations are restricted to appropriateevents at airports, over open bodies of water,or over suitable open areas of land. Pleasegive the specific location of your event ———————————————————————————

If an airport, name of airdrome facility andlongest usable landing runway. Airport: ——————————————————————————Runway data:——————————————feet.

3. Flyovers, Flight and Parachute Teamdemonstrations require that sponsors secureFAA clearance or waiver. Will steps be takenby sponsor to accomplish this at least sixtydays prior to the event? ———————————

4. Flight and Parachute Team demonstra-tions must adhere to FAA regulations whichspecify that spectators not be permittedwithin 1500 feet of an area over which theflight demonstration takes place, or 250 feetof the jump area over which parachutists areperforming. What type of crowd control isplanned? ———————————————————————————————————————————

5. Flight and Parachute Team demonstra-tions require that an ambulance and a doctorbe on the site during the demonstration. Willthis requirement be met? ——————————

6. Flight and Parachute Team demonstra-tions require that the sponsor provide a re-cent aerial photograph, taken verticallyfrom an altitude of 5,000 feet or higher, tothe team(s) giving the demonstration. Willthis requirement be met? ——————————

7. Flight Team demonstrations and StaticAircraft displays require that the sponsorprovide suitable aircraft fuel (JP jet fuel oraviation gas, as appropriate) and pay thecost of transporting and handling this fuel, ifit is not available at the staging airportunder military contract prices. Will this re-quirement be met? —————————————

8. Flight Team demonstrations and StaticAircraft displays require mobile firefighting,crash and ground-to-air communicationsequipment at the demonstration site. Willthis requirement be met? ——————————

9. Flight Teams and Static Aircraft dis-plays require that the sponsor provideguards for the aircraft that land and areparked at the site during their entire stay.Will this requirement be met? ———————

10. Parachute Team demonstrations mayrequire that the sponsor arrange aircrafttransportation from the team’s home base tothe location of the event, for use as a jumpplatform and return to the home base. Willthis requirement be met, if necessary? ———————————————————————————

11. Name and address of any Armed Forcesrepresentative or government official withwhom you have discussed possible participa-tion: —————————————————————————————————————————————

CERTIFICATION

I certify that the information providedabove is complete and correct to the best ofmy knowledge and belief. I understand thatrepresentatives of the Military Services willcontact me to discuss arrangements andcosts involved prior to final commitments.

Signature: ——————————————————(Sponsor’s Representative)

Date of Request: ——————————————Return this form to: ———————————

(f) Definitions. A flight team dem-onstration is an exhibition of precisionaerial maneuvers flown by the officialDepartment of Defense military flightdemonstration teams, the U.S. AirForce Thunderbirds, the U.S. NavyBlue Angels and the U.S. Army SilverEagles. An aircraft demonstration is aflight demonstration by aircraft otherthan those of the teams listed aboveand designed to portray tactical capa-bilities of aircraft by a single aircraft(i.e., the U.S. Marine Corps ‘‘Harrier’’)or group of aircraft, including air-to-air refueling, helicopter hover and


147


pick-up or rappelling capabilities, LowAltitude Parachute Extraction System,maximum performance take-off, etc. Aparachute demonstration is an exhi-bition of free-fall and precision landingtechniques by the official DOD para-chute team, the U.S. Army GoldenKnights. Other parachute demonstra-tions can be performed by the U.S.Navy Parachute Team, or another un-official team or sports parachute clubrepresenting the Department of De-fense. A flyover is a flight of not morethan four aircraft over a fixed point ata specific time and does not involveprecision maneuvers or demonstra-tions. Flyovers are authorized for cer-tain events when the presence ofArmed Forces aircraft overhead wouldcontribute to the effectiveness of theevent based on a direct correlation be-tween the event and the aircraft. Fly-overs can also be authorized for occa-sions primarily designed to encouragethe advancement of aviation and whichare of more than local interest. Fly-overs by any of the official DOD flightteams are not authorized. Parades arenot considered an appropriate event forauthorizing flyover support. The staticdisplay of aircraft is the ground displayof any military aircraft and its relatedequipment, not involving flight, taxi-ing or starting of engines.

(g) Events which are appropriate forArmed Forces aviation participation inthe public domain include such activi-ties as dedication of airports and facili-ties, aviation shows, expositions, andfairs; and other civic events which con-tribute to the public knowledge of theU.S. Military Services aviation equip-ment and capabilities. The number onepriority for utilization of military air-craft and parachutists in such eventsin the public domain is to support therecruiting aspects of the all-volunteerforce concept. The approval of any suchmilitary demonstration will only beauthorized if a maximum recruitingbenefit exists at each location.

(h) Costs. (1) The cost for either theUnited States Air Force Thunderbirdsor the United States Navy Blue Angelswill be $1500 for each day a demonstra-tion is scheduled. If the United StatesArmy Golden Knights precision para-chute team is scheduled for your event,the cost will be $25 per man per day for

each day required to support yourevent, to include the days of travel ifrequired. Under normal conditions, thisgroup is comprised of fourteen mem-bers: Nine jumpers, three aircraft crew-men, one ground controller, and a nar-rator. The sponsor will be advised bythe Golden Knights in advance of thecosts related to his event for which thegovernment must be reimbursed. TheUnited States Army Silver Eagles heli-copter team, composed of seven heli-copters, performs precision formationmanuevers and solo helicopter aero-batics to demonstrate the capabilitiesof modern helicopters and the skill ofArmy aviators. The Silver Eagles per-formance lasts about 30 minutes and isconducted entirely in full view of spec-tators on the crowd line. The cost forthe team is $750 for each day a dem-onstration is scheduled. The sponsorshould make a check payable to theTreasurer of the United States for therequired amount and present it to theappropriate demonstration team com-mander in advance of the scheduledevent.

(2) Costs associated with static air-craft are normally $25 per day for eachcrew member plus possible fuel require-ments discussed below. Charges for anyother military parachuting demonstra-tion (i.e., U.S. Navy Parachute Team,local Armed Forces sport parachuteclubs, etc.) will depend on the numberof personnel and transportation in-volved. Checks payable to the Treas-urer of the United States should bemade available to the appropriate air-craft commander for static displays orparachute team commander upon ar-rival at the event.

(i) As noted in the Department of De-fense request form, the sponsor is re-quired to pay per diem costs for teamand static display crew members ex-cept for flyovers or aircraft demonstra-tions not involving landing.

(3) These costs are binding after ateam or crew personnel have arrived atthe show site, even though weatherconditions or other unforeseen cir-cumstances force the event to be can-celled. These funds provided by thesponsor will be utilized by team mem-bers or crew personnel for paying hous-ing and subsistence costs. The actualbreakdown of the per diem involved is


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32 CFR Ch. VI (7–1–98 Edition)§ 705.32

$13.20 for housing, $9.30 for subsistence,and $2.50 for incidental expenses. Inthose locations where housing and sub-sistence cannot be procured for theseamounts, it will be the responsibilityof the sponsor to absorb the additionalcost. As stated, these costs will coverparticipation but does not include cer-tain ground support requirements (i.e.,ground transportation, telephone, etc.)to be furnished by a sponsor as out-lined in a team support packet.

(4) Other costs that could be incurredby the sponsor are in the area of thesponsor’s agreement to provide suit-able aircraft fuel (defined as JP jet fuelor aviation gas and lubricants) at U.S.Government contract prices. Wherefuel is available from local militarystocks—usually military installa-tions—or when fuel is available fromcommercial into-plane contract loca-tions, the U.S. Government will pay allfuel costs. If military contract fuel isnot available at the show site, thesponsor will be required to pay allcosts above the contract price and thatprice charged by the local supplier.However, the sponsor may choose totransport military contract fuel from amilitary base or a commercial airporthaving a U.S. Government into-planecontract. In this case, his cost would beonly the transporting and handling ofthis fuel to the show site.

(5) The Department of Defense nolonger requires the sponsor to providethe Department with a public liabilityand property damage insurance policy.This should in no way deter the spon-sor from obtaining such liability andproperty damage insurance he feels isnecessary for his own protection. Dueto the costs that could accrue to thesponsor in case of cancellations be-cause of inclement weather, the spon-sor may wish to consider rain insur-ance to protect his investment. Pre-vious sponsors have advised us thatsuch insurance is available from mostcommercial companies.

(i) Other information. (1) Flight and/orparachute team demonstrations are re-stricted to appropriate events at air-ports, over open bodies of water, orover suitable open areas of land. Forthe U.S. Air Force Thunderbirds orU.S. Navy Blue Angels to operate from

an airport show site, the followingoperational requirements must be met:

(i) Minimum useable runway lengthfor the Thunderbirds is 5000 feet by 150feet in width.

(ii) Minimum useable runway lengthfor the Blue Angels is 6000 feet by 150feet in width.

(iii) Minimum single landing gearload bearing capacity for Thunderbirdsis 45,000 pounds; for Blue Angels, 21,000pounds. Tandem landing gear loadbearing capacity is 155,000 pounds forBlue Angels and Thunderbirds.

(2) A staged performance may not begiven if the location planned for theshow site does not meet these mini-mums. The maximum distance for astaged performance’’ under normalconditions is 50 nautical miles. Itshould be noted that staged perform-ances are seldom authorized since therecruiting potential is reduced at suchevents.

(3) The type and number of staticand/or flyover aircraft which may beassigned is entirely dependent upon theMilitary Services’ capability to providesuch resources at the time of yourevent. This capability is affected byoperational commitments and sponsorsare advised that confirmation of static/flyover aircraft cannot be made by theappropriate Service more than 15–30days before your event.

(4) The U.S. Army Silver Eagles arenormally restricted to performances atairports. Other open land areas may beoperationally suitable but require theprior approval of the team commanderin each case.

(5) Only one flight demonstrationteam and a parachute demonstrationteam may be authorized for any oneevent. Military aircraft demonstra-tions may not be authorized for eventson the days a flight team is participat-ing. A flyover is not authorized when aflight team is participating unless itcan be provided by a locally-based Na-tional Guard or Reserve component.

(6) Participation by the U.S. NavyBlue Angels and the U.S. Air ForceThunderbirds is normally limited totwo consecutive years in any oneevent. This usually involves one ap-pearance by each of the two flightteams. This provision may be waivedwhen other appropriate requests have


149


not been received, when the team isperforming in the same geographicalarea and has open dates or when theevent is national or international innature and participation would be inthe best interests of Department of De-fense. Participation in an event is nor-mally limited to two days unless athird day can be included without pre-empting other requests.

(7) Sponsors are required to obtain aFederal Aviation Agency (FAA) waiverfor any demonstration by military air-craft and/or parachutists in the publicdomain. The final authorization forsuch Armed Forces participationhinges upon the sponsor securing thiswaiver far enough in advance to permitadequate planning (normally not laterthan 60 days prior to the event). Fur-ther guidance on the details of obtain-ing this waiver will be contained in theteam support packet or FAA. FAA reg-ulations require that spectators be con-fined 1500 feet from a flight or aircraftdemonstration and 250 feet from aparachute demonstration.

(i) In some cases, parachute dem-onstrations require that the sponsorarrange for appropriate transportationfor the team and equipment from itshome station to the event and return.

(ii) Mass parachute jumps, drops ofequipment, assault aircraft demonstra-tions, or tactical helicopter troop land-ings under simulated tactical condi-tions, will be limited to military in-stallations. These activities, exceptthose scheduled as part of regulartraining programs, are not authorizedfor public events in the civil domain.

(8) When civilian air racing is in-volved in an event where Armed Forcesparticipation has also been scheduled,prize monies must come from sourcesother than admission charges.

(9) Flight team, parachute and air-craft demonstrations also require thatthe sponsor provide: (i) Recent aerialphotograph of the site; (ii) an ambu-lance and doctor at the site; and (iii)Guards for the Armed Forces aircraftduring their entire stay. The aerialphotograph should be recent, takenvertically from at least 5,000 feet.

(10) Maximum advantage of ArmedForces recruiting will be taken at ap-propriate events in the public domainwhere demonstrations by military air-

craft and parachutists have been au-thorized.

(11) Exception to the policies con-tained herein will only be consideredby OASD(PA) on events of national orinternational significance.

(12) Department of Defense hosts ascheduling conference in mid-Decembereach year to prepare U.S. Air ForceThunderbirds, U.S. Navy Blue Angels,U.S. Army Golden Knights and U.S.Army Silver Eagles participationschedules for the ensuing year. All re-quests for such demonstrations fromsponsors should reach OASD(PA) priorto the middle of November each year tobe considered at this conference. Inorder to accommodate many requestsDepartment of Defense receives forother parachuting demonstrations, air-craft demonstrations, static aircraftdisplays, and flyovers, each requestmust be received by OASD(PA) a mini-mum of 30 days in advance of the eventand preferably 60 days in advance.

(13) If there are any points that amember of the public might wish tohave clarified, contact Chief, AerialEvents Branch, OASD(PA), Room1E790, The Pentagon, Washington, DC20301. Telephone: AC (202) 695–6795 or695–9900.

§ 705.33 Participation by ArmedForces bands, choral groups, andtroops in the public domain.

(a) Military musical participation inpublic events which otherwise meet thecriteria outlined herein will be limitedto patriotic programs as opposed topure entertainment and will not dupli-cate a performance within the capabil-ity of a civilian group. For example,music to accompany the presentationof the national colors, or a perform-ance of military or patriotic music bya military band, drum and bugle corpsor choral group may be authorized;background, dinner, dance or other so-cial music is considered ‘‘entertain-ment.’’

(b) Requests received for militarymusical participation in appropriateevents in the civilian domain must in-clude an indication from the sponsorthat there is no conflict with the localcivilian musicians concerning the ap-pearance of Navy musicians. A state-ment to this effect from the cognizant


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32 CFR Ch. VI (7–1–98 Edition)§ 705.33

local musicians’ union must be ob-tained by the sponsor and attached tohis request.

(c) Armed Forces musical units maybe authorized to provide certain speci-fied musical programs in the public do-main. The performance must not placemilitary musicians in competitionwith professional civilian musicians.Background, dinner, dance or other so-cial music cannot be authorized. Thespecified programs which may be au-thorized usually include a short open-ing or closing patriotic presentation.Musical selections normally consist ofa medley of military or patriotic songs,honors to the President or Vice Presi-dent (if he is there), or music to accom-pany the presentation of colors by aColor Detail.

(1) Armed Forces musical units maybe authorized to participate in officialgovernment, military and civic func-tions.

(i) Official government functions in-clude those in which senior officials ofthe Federal government are involved inthe performance of their official duties.

(ii) Official military functions in-clude social activities held on militaryinstallations (or off when the MilitaryService certifies that suitable facilitiesare not available on post) which aresponsored by the Military Services,have as their principal purpose the pro-motion of esprit de corps, and are con-ducted primarily for active duty per-sonnel and their guests.

(iii) Official civic functions includesuch State, county or municipal eventsas inaugurals, dedication of publicbuildings and projects, the conveningof legislative bodies, and ceremoniesfor officially invited government visi-tors.

(2) Armed Forces musical units mayalso be authorized to provide patrioticand military programs at national con-ventions and meetings of nationally-recognized civic, patriotic and veteransorganizations.

(d) Bands, drill teams and other unitscan normally participate at no cost tothe sponsor if the event is within theinstallation’s immediate communityrelations area (approximately 100-mileradius).

(1) Normally, not more than one bandor other musical unit will be author-

ized for a parade in the civilian do-main. This guidance intended to assurewidest possible participation in publicevents of local interest (particularly onnational holidays) does not apply tonational convention of veterans’groups or other events having nationalsignificance.

(2) All Armed Forces participation ininternational and national events, andin the Washington, DC area, must beauthorized by the Assistant Secretaryof Defense (Public Affairs).

(3) Requests for Armed Forces musi-cal or troop units when no military in-stallation is accessible, or for theWashington, DC-based ceremonialbands or troop units (when the event isoutside the Washington, DC area),should be addressed to the parent Serv-ice of the unit:

(I) U.S. ARMY

Chief of Public Information, Department ofthe Army, Washington, DC 20310.

(II) U.S. NAVY

Chief of Information, Code OI–321, Depart-ment of the Navy, Washington, DC 20350.

(III) U.S. AIR FORCE

Director of Information, Secretary of the AirForce, Community Relations Division,Washington, DC 20330.

(IV) U.S. MARINE CORPS

Commandant of the Marine Corps, Code AG,Headquarters, U.S. Marine Corps, Washing-ton, DC 20380.

(4) Armed Forces units may not beauthorized to participate when:

(i) The event directly or indirectlyendorses or selectively benefits or fa-vors (or appears to do so) any privateindividual, commercial venture, sect,fraternal organization, political group,or if it is associated with solicitationof votes in a political election.

(ii) Admission, seating and other ac-commodations or facilities are re-stricted in any manner with regard torace, creed, color or national origin.

(iii) The sponsoring organization orgroup excludes any person from itsmembership or practices any form ofdiscrimination in its functions, basedon race, creed, color or national origin.

(iv) An admission charge is levied onthe public primarily to see participa-tion by an Armed Forces unit.


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(v) There is fund-raising of any typeconnected with the event, unless allprofits are to be donated to a charitywhich is one of the consolidated pro-grams recognized by the Federal Serv-ices Fund-Raising Program. These arethe United Givers Fund CommunityChest, National Health Agencies (as agroup), the International Service Agen-cies, and the American Red Cross(when not included in a consolidatedcampaign). The Military Services’ Wel-fare Societies (Army Emergency Re-lief, Navy Relief and Air Force Aid So-ciety) are also included.

(5) Sponsors of an event must agreeto reimburse the Military Services con-cerned for transportation and per diemwhen participation is authorized at noadditional cost to the government.

(6) Participation by Armed Forcesmusical units in other areas is withinthe authority of local military com-manders, and requests for participationshould be made directly to those localmilitary installations. All requestsshould be submitted no earlier than 60days and preferably no later than 45days prior to the event.

§ 705.34 Other special events.(a) Ship visits. Requests for visits gen-

erally originate with civic groups de-siring Navy participation in localevents. Often, members of Congress en-dorse these requests, advising the Navyof their interest in a particular event.Because of the marked increase in re-quests for ship visits, and in order togive equal consideration to all re-quests, the Chief of Information has ar-ranged for quarterly meetings of rep-resentatives from CHINFO, Com-mander, Navy Recruiting Command,Chief of Naval Operations and Chief ofLegislative Affairs. Based on the im-portance of the event (nationally, re-gionally, or locally) location, and pro-spective audience, recommendationsare consolidated and forwarded to thefleet commanders prior to their quar-terly scheduling conferences.

(b) Visits to Naval activities—(1) Typesof visits. (i) General visits or OpenHouse are occasions when a ship or sta-tion acts as host to the general public.These visits will be conducted in ac-cordance with instructions issued byFleet and Force Commanders, District

Commandants, or other cognizant au-thority.

(ii) Casual visits are visits to ships orstations by individuals or specificgroups, as differentiated from the gen-eral public. Details and procedures con-cerning these visits are a matter ofcommand discretion.

(iii) Tours are occasions when a shipor station is host to a specific group ona scheduled date. Some of the largershore commands also regularly sched-ule one or more sightseeing type toursdaily during seasons when many vaca-tioners ask to visit the command.

(2) General rules. Prior approval forgeneral visiting or Open House at anytime other than civic-sponsored publicobservances and official ceremonies forArmed Forces Day, memorial Day,Independence Day, and Veterans Day,and for observances in overseas areasof similar significant holidays, will berequested as follows: Fleet units visit-ing U.S. ports, from Senior Officerpresent Afloat; fleet units visiting for-eign ports, from commander orderingthe visit; shore stations and districtvessels in the United States, from Dis-trict Commandants; and overseas shorestations, from the naval area com-mander.

(c) Official functions. (1) Navy unitsmay be authorized by local command-ing officers to participate in officialgovernment military and civic func-tions, except in the Washington DCarea where OASD(PA) retains author-ity.

(2) Official government functions in-clude those in which senior officials ofthe federal government are involved inthe performance of their official duties.

(3) Official military functions includesocial activities held on military in-stallations (or off, when it is certifiedthat suitable facilities are not avail-able on base), which are sponsored bythe Navy, have as their principal pur-pose the promotion of esprit de corps,and are conducted primarily for activeduty personnel and their guests.

(4) Official civic functions includesuch state, county or municipal eventsas inaugurals, dedications of publicbuildings and projects, and conveningof legislative bodies and ceremonies forofficially invited government visitors.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.35

(5) Overseas, similar functions at-tended by comparable host-country of-ficials in their official capacities mightalso be considered appropriate for Navyparticipation.

(d) A parade which is sponsored bythe community as a whole (rather thanby a single commercial venture) andheld on a Sunday or holiday or at atime when shops are closed for businessmay be a public event for which par-ticipation could properly be author-ized; representation by individual com-mercial ventures in such parades neednot be a bar to Navy participation aslong as the emphasis is planned andplaced on the civic rather than com-mercial aspects. Such participationwill be at no additional cost to the gov-ernment.

(e) Fund-raising events. (1) Navy sup-port of fund-raising events must belimited to recognized, joint or otherauthorized campaigns. Navy support offund-raising events or projects for asingle cause, even though the cause isa member of one of the federated, jointor authorized campaigns, or donates inpart to one of several of the recognizedcampaigns, is not authorized by De-partment of Defense.

(2) Navy support for a single-causefund-raising event may be authorized ifthe event is:

(i) In support of Navy recruiting ob-jectives;

(ii) Supported by a letter indicatingthe local United Way representativehas no objection; and

(iii) Approved by the local NavyCommander as a single-cause charitywhich has broad local benefit.


§ 705.35 Armed Forces participation inevents in the public domain.

(a) Requests for bands, troops, units,teams, exhibits and other ArmedForces participation should be ad-dressed to the nearest military instal-lation. Local commanders have re-sources which they can commit to ap-propriate events if mission require-ments permit. If no military installa-tion is accessible, or if resources re-quested are not available locally or re-quire approval by higher authorities, astandard Department of Defense Re-

quest Form should be completed. Thisform is used to evaluate the request,determine appropriateness of the eventand compliance with Department ofDefense policies, and eliminate re-peated correspondence. The requestform should be returned to the office ormilitary command from which it wasreceived unless another address is indi-cated.

(b) Basic criteria governing ArmedForces participation in public eventshave been developed by the Depart-ment of Defense to ensure compliancewith public law, to assure equitabledistribution of resources to as manyappropriate events as possible, and toavoid excessive disruption of primarytraining and operational missions ofthe Military Services. the followinggeneral rules and information are in-cluded as an aid to you in understand-ing Department of Defense policies andin planning programs of mutual benefitto the Armed Forces and your commu-nity.

(1) When evaluating requests forArmed Forces participation in publicevents, the interests of the Departmentof Defense and the public at large,operational requirements of the Mili-tary services, and availability of re-sources are prime considerations. Com-mitment of resources to specific eventsmust be balanced with the above fac-tors and with requests for similar par-ticipation received from other sources.

(2) Department of Defense participa-tion and cooperation must not directlyor indirectly:

(i) Endorse or selectively benefit orfavor or appear to endorse or selec-tively benefit or favor any private indi-vidual, group, corporation (whether forprofit or nonprofit), sect, quasi-reli-gious or ideological movement, frater-nal organization, political organiza-tion, or commercial venture.

(ii) Be associated with the solicita-tion of votes in a political election.Sites such as commercial theaters ordepartment stores, churches or frater-nal halls; and events such astestimonials to private individuals orsectarian religious services, are gen-erally inappropriate for Armed Forcesparticipation.

(3) Participation by the ArmedForces in any event or activity may be


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authorized only if admission, seatingand all other accommodations and fa-cilities are available to all without re-gard to race, creed, color or nationalorigin, and only if the sponsoring orga-nization does not exclude any form ofdiscrimination based on race, creed,color or national origin. This does notbar participation in events sponsoredby nationally-recognized veteran’s or-ganizations when the program is ori-ented toward the veterans’ interests,nor does it bar participation in non-public school events when the programis directed toward education or recruit-ing.

(i) No admission charge may be lev-ied on the public solely to see anArmed Forces demonstration, unit orexhibit. When admission is charged,the Armed Forces activity must not bethe sole or primary attraction.

(4) Armed Forces participation is au-thorized in a fund-raising event onlywhen the sponsor certifies that all netprofits in excess of actual operatingcosts will be donated to one of the con-solidated programs recognized by theFederal Services Fund-Raising pro-gram. These include such agencies asthe United Givers Fund, CommunityChests, National Health Agencies (as agroup), International Service Agenciesand the military aid societies.

(5) When Armed Forces participationin an event is in the mutual interest ofthe Department of Defense and thesponsor of the event, participation willbe authorized at no additional cost tothe government. Additional costs tothe government—travel and transpor-tation of military personnel, meals andquarters or standard per diem allow-ance, etc.—will be borne by the spon-sor.

(6) Department of Defense policy pro-hibits payment by the Armed Forcesfor rental of exhibit space, connectionof electricity, or utility or janitorialcosts.

(7) The duration of participation bymilitary units in any one event is lim-ited in the interests of proper utiliza-tion and equitable distribution ofArmed Forces manpower and resources.While an exhibit might be scheduledfor the duration of an event, a unitsuch as a military band is limited tothree days.

(8) Armed Forces participation inprofessional sports events and post-sea-son bowl games will normally be au-thorized at no additional cost to thegovernment, will emphasize joint Serv-ice activity and must support recruit-ing programs. Participation in beautycontests, fashion shows, pageants,Christmas parades, and motion picturepremieres is not authorized since mili-tary support would violate policy andappropriateness.

§ 705.36 Government transportation ofcivilians for public affairs purposes.

(a) General policy. (1) Regulations ontransportation of civilians vary accord-ing to whether:

(i) The civilians are news media rep-resentatives or not.

(ii) The travel is local or nonlocal(see paragraph (b) of this section).

(iii) The purpose of the travel is toget to a desired destination or is to ob-serve the Navy at first hand.

(2) Authority for embarkation of in-dividuals in naval vessels and militaryaircraft is vested in the Chief of NavalOperations by § 700.710 of this chapter.Nothing in this part shall be construedas limiting his authority in this re-gard.

(3) The following policy has been es-tablished by DOD for providing alltypes of Navy transportation to non-Navy civilians.

(i) Military transport facilities shallnot be placed in a position of competi-tion with U.S. commercial carriers.

(A) When embarkation of a newsmanis necessary for him to obtain newsmaterial about a ship, aircraft, cargoor embarked personnel, or when he isinvited to report on a matter of specialinterest to the Navy, it is not consid-ered that the transportation furnishedhim is in competition with commercialtransport.

(B) An exception is also made forshort trips between an airport (or othertransportation center) and the com-mand. Cars and buses within the re-sources of the command may be usedfor meeting guests or taking them tomake their travel connections.

(ii) When authorization is requestedfor travel which is of interest to or willaffect more than one command orService, the approving authority will


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32 CFR Ch. VI (7–1–98 Edition)§ 705.36

coordinate the request with all otherinterested commands, Services andAgencies.

(iii) Travel in connection with anypublic affairs program arranged by theNavy jointly with another Federal De-partment or Agency or a foreign gov-ernment will be authorized only by theAssistant Secretary of Defense (PublicAffairs, or those to whom he has dele-gated this authority. Navy commandsdesiring authorization of such travelwill forward the request to the Chief ofInformation.

(iv) If a request for travel fornonlocal public affairs purposes is dis-approved, sufficient reasons should beprovided so that the action is clearlyunderstood by the individual or groupconcerned.

(b) Definition of local v. nonlocal trav-el. (1) Local travel is travel within theimmediate vicinity of the commandconcerned in connection with a publicaffairs program of local interest only.(For air travel within the continentalU.S., about 150 miles or less is gen-erally considered local.)

(2) Nonlocal travel is that conductedin connection with a public affairs pro-gram affecting more than one Service,geographic area or major command,usually of primary concern to higherauthority.

(c) Transportation of news media rep-resentatives. (1) This section applies tomedia representatives who are em-barked for the purpose of news gather-ing or of traveling to an area in orderto cover a news event. It does not applyto:

(i) Correspondents when members ofgroups embarked as regular cruiseguests of the Navy.

(ii) Casual trips by correspondents toships in port or to shore stations inCONUS. Such visits may be authorizedby officers in command or higher au-thority in accordance with instructionspromulgated by the Chief of Naval Op-erations. Written orders are not re-quired.

(2) Local travel. Commanding officersat all levels are authorized (under De-fense Department policy) to approvelocal travel for public affairs purposeswithin the scope of the mission and re-sponsibilities of their command, if:

(i) Public interest in the public af-fairs purpose involved is confined pri-marily to the vicinity of that com-mand.

(ii) The travel is being provided forthe benefit of local media and meets anaval public affairs objective.

(iii) Scheduled commercial air trans-portation is not readily available.

(iv) The aircraft to be used is a heli-copter, or multiengine dual piloted air-craft, and is within the resources of thehost command on a not-to-interferebasis. This provision does not apply toorientation flights.

(3) Nonlocal travel. (i) Requests fornonlocal travel will be submitted tothe Chief of Information, who will for-ward them with his recommendationsto the Chief of Naval Operations and/orthe Assistant Secretary of Defense(Public Affairs), as appropriate.

(ii) When the proposed travel is fornews coverage of a major emergencynature and the coverage will be im-paired or delayed, to the serious det-riment of the interests of the Depart-ment of Defense, if military transpor-tation is not provided, requests forsuch travel will be submitted to theChief of Information, who will forwardthe request—if approved—to the Assist-ant Secretary of Defense (Public Af-fairs). The most expeditious means (in-cluding telephone) will be used by com-mands requesting such emergencytravel. Justification will include boththe public affairs purpose and the ne-cessity for military carriers.

(4) Travel between the U.S. and over-seas area.

(i) The Chief of Naval Operationsmay authorize military transportationfor correspondents in unusual cir-cumstances, upon recommendations ofthe Chief of Information and the De-fense Department.

(ii) Requests for government trans-portation to cover specific assignmentsoverseas should be made at least threeweeks prior to the date required andshould be addressed to the AssistantSecretary of Defense (Public Affairs)via the Chief of Information or UnifiedCommander, as appropriate. The re-quests should include:

(A) A statement that the correspond-ent is a full-time employee, or has a


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specific assignment, and that the tripis for the purpose of news gathering.

(B) Appropriate date of entry intoarea, port of entry, method of travel,proposed duration of visit and traveltermination date.

(C) Assurance that the correspondentwill observe currency control regula-tions, and sponsoring agency will guar-antee financial obligations incurred.

(5) Embarkation of male correspond-ents between ports within CONUS.

(i) Male correspondents may be em-barked in naval ships for passage be-tween ports within the area of a singleFleet command for the purpose of newsgathering at the discretion of the SeaFrontier Commander, Commandants ofthe Naval Districts, the Chief of navalAir Training, Fleet, Force and Typecommanders and flag officers afloatwho have been delegated authority toarrange directly with appropriateFleet, Force and Type commanders forembarkation of civilians on a localcruise basis.

(ii) Invitational travel orders may beissued.

(6) Embarkation of female cor-respondents in naval vessels.

(i) Privileges equal to those givenmale correspondents will be accordedfemale correspondents whenever prac-ticable.

(ii) Female correspondents may notbe embarked overnight in a naval shipwithout prior approval of the appro-priate Fleet Commander-in-Chief. Thisauthority may be delegated to thenumbered Fleet Commanders.

(7) Travel in ships of the MilitarySealift Command. Correspondents maybe carried in ships of the Military Sea-lift Command on either a space-re-quired or space-available basis whentravel is in the best interests of theNavy or the Department of Defense.

(i) Space-available travel will be usedwhen practicable. A nominal charge ismade by the Military Sealift Commandand must be borne by the correspond-ents.

(ii) Space-required travel may be au-thorized when sufficiently in the inter-est of the Navy, and the charge may beborne by the Navy.

(iii) In either case, determination ofNavy interests will be made by theChief of Information, guided by the

transportation policy of the Chief ofNaval Operations, whose approval ofsuch embarkation is required.

(iv) Requests for such travel will besubmitted to the Chief of Information,who will coordinate with the Chief ofNaval Operations and/or the AssistantSecretary of Defense (Public Affairs),as appropriate.

(8) Point to point transportationwithin the continental United Statesin naval aircraft other than those oper-ated by the Military Airlift Command.

(i) SECNAVINST 4630.2A containsguidance for travel in military aircraftother than those operated by the Mili-tary Airlift Command.

(ii) Naval activities desiring to ar-range such transportation will addressrequests via the chain of command tothe operational command of the lowestechelon which has been delegated au-thority to approve such requests.

(iii) Upon approval of such a request,the naval activity sponsoring the cor-respondent shall:

(A) Prepare travel orders.(B) Ensure that any waiver forms, as

may be required by governing direc-tives, are executed.

(9) Embarkation of news media rep-resentatives of foreign citizenship:

(i) Requests from foreign news mediarepresentatives to cruise with units ofthe U.S. Navy are usually made to thenearest U.S. military installationknown to the correspondent, and areoften not made in the proper chain ofcommand to the Fleet Commander un-less authorized to effect arrangementsfor an underway cruise.

(A) if the request is received by acommand which is not a subordinate ofthe Fleet Commander concerned, itwill be forwarded to the U.S. Naval At-tache assigned to the foreign news-man’s country. The Attache will thenforward the request to the appropriateFleet Commander, with his rec-ommendations and the result of a briefbackground check on the newsman andhis employer.

(B) If the request is received by asubordinate of the appropriate FleetCommander, it may be forwarded di-rectly to the latter, but the U.S. NavalAttache in the newsman’s country willbe given the opportunity to commenton the proposed embarkation.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.36

(ii) Naval commands should not in-troduce an embarked third-party (i.e.,a foreign media representative) into aforeign country other than his ownwithout first obtaining appropriateclearance from the country to be vis-ited. Approval for entry should be for-warded via appropriate command chan-nels to the cognizant U.S. Naval Atta-che.

(10) Security considerations.(i) No media representative known to

be affiliated with a group advocatingthe overthrow of the U.S. governmentwill be permitted aboard naval ships orstations.

(ii) If security review is directed, thereason will be made clear to the cor-respondent prior to embarkation. Newsmedia people refusing to agree to ob-serve security regulations may havetheir privileges suspended. Failure toobserve security regulations will be re-ported to CHINFO and interested com-mands.

(d) Transportation of other civilians. (1)Although groups normally providetheir own transportation to Navy com-mands, Navy transportation may beauthorized when:

(i) Commercial transport is not avail-able.

(ii) A professional group visit hasbeen solicited by the Navy, such as par-ticipants in the Naval Academy Infor-mation Program (‘‘Blue and Gold’’) oreducators invited to an Aerospace Edu-cation Workshop.

(2) Requests for nonlocal transpor-tation under the above circumstanceswill be made to the Chief of Naval Op-erations.

(3) Carrier-on-board-delivery (COD)flights and helicopters flights to shipsare considered local transportation.

(4) When units or areas of a UnifiedCommand are involved in the public af-fairs program in connection with whichtravel authorization is requested by aNavy command which is not a compo-nent of the Unified Command con-cerned, coordination will be effected bythe host command, through commandchannels, via the Chief of Information,to the Assistant Secretary of Defense(Public Affairs), who—as appropriate—will consult with the Unified Com-mander concerned.

(e) Special programs. (1) Cruises arediscussed in Chapter 6, section 0604,para. 1 of the Navy Public Affairs Reg-ulations.

(2) Embarkation of news media rep-resentatives, especially on operationsand exercises, is discussed in Chapter 4,section 0405, paragraph 4 of the NavyPublic Affairs Regulations.

(3) Other programs subject to specialrequirements or which have had excep-tions authorized for them include:

(i) Naval Air Training Command Ci-vilian Orientation Cruise Program,conducted by the Chief of Naval AirTraining.

(ii) Joint Civilian Orientation Con-ference, conducted by the AssistantSecretary of Defense (Public Affairs).

(iii) Orientation flights in govern-ment aircraft, conducted in accordancewith OPNAVINST 37107H.

(iv) Space-available air transpor-tation may be provided Navy Leaguemembers if they are invited to accom-pany a flag officer attending a NavyLeague convention or regional meetingand if the trip is economically justifi-able, based on military travel consider-ations and not community relations orpublic affairs reasons. Approval in eachinstance will be obtained in advancefrom the Chief of Naval Operations.

(v) Air transportation for the NavalSea Cadet Corps of the Navy League.

(A) Flights must be in Navy multien-gine, transport type craft.

(B) Point-to-point flights on a space-required basis are governed by an an-nual quota set by the Chief of NavalOperations. Space-available transpor-tation is authorized and will not becharged against this quota if it will notresult in delays of takeoffs or a changein the itinerary planned for the pri-mary mission.

(C) Flights must not interfere withoperational commitments or trainingor results in additional expense to thegovernment.

(D) This transportation is not avail-able to other youth programs, includ-ing others sponsored by the NavyLeague.

(f) Other instructions on transportationof non-Navy civilians. Details on policy,procedures, and the transportation ofcertain categories of people will be


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found in OPNAVINST 5720.2G and DODDirective 4515.13.


§ 705.37 Public affairs and public serv-ice awards.

(a) General. (1) A number of publicservice awards are presented by the De-partment of Defense and the Navy tobusiness and civic leaders, scientistsand other nongovernment civilians.Other awards—military and civilian—are presented to members of the navalestablishment.

(2) These awards are of public affairsinterest in the locale where they arepresented and also in the home townsof those who receive them.

(b) Department of Defense awards. (1)The Department of Defense Medal forDistinguished Public Service is pre-sented to individuals. The Departmentof Defense Meritorious Award honorsorganizations.

(2) Details, including nominating pro-cedures, are given in SECNAVINST5061.12.

(c) Secretary of the Navy awards. (1)The following awards are presented bythe Secretary of the Navy: The NavyDistinguished Public Service Awardand Navy Meritorious Public ServiceCitation to individuals; the Navy Cer-tificate of Commendation to membersof special committees and groups; andthe Navy Certificate of Merit to orga-nizations and associations.

(2) Details are given in SECNAVINST5061.12.

(3) Nominations for awards to mili-tary personnel are considered by theBoard of Decorations and Medals, inaccordance with SECNAVINST1650.24A.

(4) Nominations for honorary awardsto Department of the Navy civilian em-ployees are considered by the Distin-guished Civilian Service Awards Panel.(See Civilian Manpower ManagementInstruction 451.)

(d) Chief of Information awards—(1)Certificate of Public Relations Achieve-ment. (i) This certificate is signed bythe Chief of Information. It honors in-dividuals who are not Navy employees,corporations, or associations.

(ii) It was established to fill the needfor a civilian award for public relations

achievements which, while not meetingthe criteria for public service awardspresented by the Secretary of theNavy, are of such Navy-wide signifi-cance as to merit recognition at theDepartment level. Examples of theseachievements might be a particularlywell done feature article about theNavy in a nationally read newspaper oran outstanding contribution to a lo-cally sponsored event, which ulti-mately gave national or regional rec-ognition to the Navy.

(iii) The achievement for which thecertificate is given shall meet the fol-lowing criteria:

(A) Contribute to accomplishment ofthe public information objectives ofthe Navy.

(B) Be the result of a single outstand-ing project or program.

(C) Have been accomplished withinone year of the date of the official let-ter of nomination.

(iv) Nominations will be submittedthrough appropriate administrativechannels to the Chief of Information,and will include a description of theservice rendered, a statement of its rel-evance to the accomplishment of thepublic affairs objectives of the Navyand a draft of the recommended cita-tion. To avoid possible embarrassment,nominations shall be marked ‘‘For Offi-cial Use Only’’ and safeguarded untilfinal action has been taken.

(2) CHINFO Merit Awards. (i) Theseawards, or certificates, are presentedquarterly to Navy publications andbroadcasts considered to be outstand-ing or to have shown improvement inmeeting professional standards of jour-nalism.

(ii) Publications and broadcasts eligi-ble are those which inform the readerconcerning aspects of service life or re-lated matters which contribute to thewell-being of naval personnel, their de-pendents, and civilian employees of theNavy. Civilian enterprise periodicalsare included if produced for the exclu-sive use of a naval installation.

(iii) Nominations are made in twoways:

(A) Selection during regular reviewperiodicals and broadast air-checks re-ceived by the Internal Relations Activ-ity.


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32 CFR Ch. VI (7–1–98 Edition)§ 705.37

(B) Nominations from the field. Suchnominations are informal and may bemade by the officer-in-charge, publica-tions editor, broadcast station man-ager, or public affairs officer to thechief of Information, Navy Depart-ment, Washington, DC 20350 (ATTN:OP–0071).

(3) Other awards pertaining to publicaffairs/internal relations. (i) Silver Anvilaward is given by the Public RelationsSociety of America for outstandingpublic relations programs carried outduring the preceding year. Entryblanks and details may be obtained bywriting directly to Public RelationsSociety of America, 845 Third Ave.,New York, NY 10022. All Navy entrieswill be forwarded via the Chief of Infor-mation.

(ii) Freedom Foundation Awards ofcash and medals are annually given toservice personnel for letters on patri-otic themes. Details are carried in shipand station publications, or may be ob-tained by writing to Freedom Founda-tions, Valley Forge, PA 19481.

(iii) Thomas Jefferson Awards are theprizes in an annual interservice com-petition sponsored by civilian mediathrough the Department of Defense’sOffice of Information for the ArmedForces. The contest is open to allArmed Forces media—broadcast andprint. Details can be obtained by writ-ing to Office of Information, Depart-ment of the Navy, Washington, DC20350.

(iv) Navy League Awards. Several an-nual awards are presented to naval per-sonnel and civilians who have made anotable contribution to the importanceof seapower. The awards are for inspi-rational leadership, scientific and tech-

nical progess, operational competence,literary achievement, etc. Nominationsshould be forwarded directly to Boardof Awards, Navy League of the UnitedStates, 818 18th St., NW., Washington,DC 20006.

(v) Nonofficial awards to outstandingNavy students or training units.

(A) Various civilian organizationsand private individuals have estab-lished awards to be presented to out-standing training units or naval stu-dents.

(B) Requests to establish an awardfor students in the Naval Air Trainingprogram should be forwarded to theChief of Naval Air Training.

(C) Requests to establish an awardwhich will involve more than oneschool (other than the Naval Air Train-ing Program) will be forwarded to theChief of Naval Personnel.

(D) All other cases may be decided bythe Navy authority at the school con-cerned.

(E) Directives in the 5061, 1650 and3590 series issued by pertinent authori-ties may provide further guidance inindividual cases.

(vi) Awards established by a com-mand to honor non-Navy civilians.

(A) Examples of such awards are‘‘Good Neighbor’’ or ‘‘Honorary CrewMember’’ certificates.

(B) Established to honor persons whohave been helpful to the command,they are a valuable community rela-tions program. They should not beawarded to persons or organizationswith which the command is associatedin a commercial or governmental busi-ness capacity.

