Subchapter A—United States Navy Regulations and Official Records

SUBCHAPTER A—UNITED STATES NAVY REGULATIONS AND OFFICIAL RECORDS

PART 700—UNITED STATES NAVY 700.319 Chief of Naval Reserve. 700.320 Commandants of Naval Districts. REGULATIONS 700.321 President, Board of Inspection and Survey. Subpart A—The Department of the Navy Subpart D—The Commandant of the Sec. Marine Corps 700.101 Origin and authority. 700.102 Objectives. 700.401 Senior officer of the Marine Corps. 700.103 Composition. 700.402 Succession to duties. 700.104 The principal parts of the Depart- 700.403 Authority and responsibilities. ment of the Navy. 700.404 Specific responsibilities. 700.105 Definition of terms. 700.405 Composition of the Marine Corps. 700.406 Relationships between the Com- Subpart B—The Secretary of the Navy mandant of the Marine Corps and the Chief of Naval Material. 700.201 Responsibilities of the Secretary of 700.407 Serving with the Army by order of the Navy. the President. 700.202 Succession to duties. 700.203 The Civilian Executive Assistants. Subpart E—The United States Coast Guard 700.204 The staff assistants. (When Operating As a Service of the 700.205 The Chief of Naval Research, The Judge Advocate General, The Deputy Navy) Comptroller of the Navy. 700.501 Relationship and operation as a 700.206 Authority over organizational mat- service in the Navy. ters. 700.502 Commandant of the Coast Guard. 700.503 Duties and responsibilities. Subpart C—The Chief of Naval Operations 700.301 Senior Military Officer of the De- Subpart F—Commanders in Chief and partment of the Navy. Other Commanders 700.302 Succession to duties. 700.601 Titles of commanders. 700.303 Specific authority and duties of the 700.602 Responsibility and authority of a Vice Chief of Naval Operations. commander. 700.304 Authority and responsibility. 700.603 To announce assumption of com- 700.305 Naval Vessel Register, classification mand. of naval craft, and status of ships and 700.604 Readiness. service craft. 700.605 Observance of international law. 700.306 The Chief of Naval Material. 700.307 The Chief of Naval Personnel and Subpart G—The Commanding Officer the Chief, Bureau of Medicine and Sur- gery. 700.701 Applicability. 700.308 Naval Inspector General. 700.702 Responsibility. 700.309 Commander in Chief, U.S. Atlantic 700.703 [Reserved] Fleet. 700.704 Organization of commands. 700.310 Commander in Chief, U.S. Pacific 700.705—700.708 [Reserved] Fleet. 700.709 Unauthorized persons on board. 700.311 Commander in Chief, U.S. Naval 700.710 Control of passengers. Forces, Europe. 700.711 Authority over passengers. 700.312 Commander, Military Sealift Com- 700.712 [Reserved] mand. 700.713 Person found under incriminating 700.313 Commander, Naval Intelligence circumstances. Command. 700.714 Rules for visits. 700.314 Commander, Naval Telecommuni- 700.715 Dealers, tradesmen, and agents. cations Command. 700.716 Marriages on board. 700.315 Oceanographer of the Navy. 700.717 Postal matters. 700.316 Commander, Naval Oceanography 700.718—700.719 [Reserved] Command. 700.720 Deaths. 700.317 Commander, Naval Security Group 700.721 The American National Red Cross. Command. 700.722—700.723 [Reserved] 700.318 Chief of Naval Education and Train- 700.724 Maintenance of Logs. ing. 700.725 Status of Logs.

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700.726 Records. 700.923 Precautions for health. 700.727—700.728 [Reserved] 700.924—700.934 [Reserved] 700.729 Delivery of personnel to civil au- 700.935 Exercise of power of consul. thorities and service of subpoena or 700.936—700.939 [Reserved] other process. 700.940 Granting of asylum and temporary 700.730—700.732 [Reserved] refuge. 700.733 Responsibility of a master of an in- service ship of the Military Sealift Com- Subpart J—Rights and Responsibilities of mand. Persons in the Department of the Navy 700.734 Relations with merchant seamen. 700.735 [Reserved] 700.1115 Control of official records. 700.736 Physical security. 700.1116 Disclosure and publication of infor- 700.737 Effectiveness for service. mation. 700.738—700.739 [Reserved] 700.1117 Official records in civil courts. 700.740 Search by foreign authorities. 700.1118—700.1119 [Reserved] 700.741—700.746 [Reserved] 700.1120 Rules for preventing collisions, 700.747 Status of boats. afloat and in the air. 700.748 [Reserved] 700.1121—700.1132 [Reserved] 700.749 Work, facilities, supplies, or services for other Government departments, 700.1133 Use of title for commercial enter- State or local governments, foreign gov- prises. ernments, private parties, and morale, 700.1134—700.1142 [Reserved] welfare, and recreational activities. 700.1143 Return of Government property on 700.750—700.751 [Reserved] release from active service. 700.752 Responsibility for safety of ships and 700.1144 Issue or loan of public property. craft at a naval station or shipyard. 700.1145—700.1149 [Reserved] 700.753 Ships and craft in drydock. 700.1150 Alcoholic liquors. 700.754 Pilotage. 700.1151 Responsibilities concerning mari- 700.755 Safe navigation and regulations gov- juana, narcotics, and other controlled erning operation of ships and aircraft. substances. 700.756 Duties of the prospective command- 700.1152—700.1160 [Reserved] ing officer of a ship. 700.1161 Endorsement of commercial prod- 700.757 Authority of the commanding officer uct or process. or prospective commanding officer of a naval nuclear powered ship. Subpart K—Purpose and Force of Regula- 700.758 Inspection incident to commission- tions within the Department of the ing of ships. Navy 700.759—700.762 [Reserved] 700.763 Quarantine. 700.1201 Purpose and force of United States 700.764 Customs and immigration inspec- Navy Regulations. tions. 700.1202 Issuances concerning matters over 700.765 Environmental pollution. which control is exercised. 700.766—700.767 [Reserved] 700.768 Care of ships, aircraft, vehicles, and AUTHORITY: 10 U.S.C. 6011; 38 FR 7892, Mar. their equipment. 26, 1973. SOURCE: 39 FR 7135, Feb. 25, 1974, unless Subpart H—Precedence, Authority, and otherwise noted. Command 700.811 Exercise of authority. Subpart A—The Department of the 700.812—700.816 [Reserved] Navy 700.817 Authority of an officer who succeeds to command. § 700.101 Origin and authority. 700.818—700.829 [Reserved] (a) The naval affairs of the country 700.830 Authority of a sentry. began with the war for independence, 700.831—700.833 [Reserved] 700.834 Orders to active service. the American Revolution. On 13 Octo- ber 1775, Congress passed legislation Subpart I—The Senior Officer Present forming a committee to purchase and arm two ships. This in effect created 700.901 The senior officer present. the Continental Navy. Two battalions 700.902 [Reserved] of Marines were authorized on 10 No- 700.903 Authority and responsibility. 700.904 Authority of senior officer of the vember 1775. Under the Constitution, Marine Corps present. the First Congress on 7 August 1789, as- 700.905—700.921 [Reserved] signed responsibility for the conduct of 700.922 Shore patrol. naval affairs to the War Department.

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On 30 April 1798, the Congress estab- ity, direction, and control of the Sec- lished a separate Navy Department retary of Defense. It is composed of the with the Secretary of the Navy as its executive part of the Department of chief officer. On 11 July 1798, the U.S. the Navy; the Headquarters, United Marine Corps was established as a sepa- States Marine Corps; the entire operat- rate service, and in 1834 was made a ing forces, including naval aviation, of part of the Department of the Navy. the United States Navy and of the (b) The National Security Act of 1947, United States Marine Corps, and the as amended, is the fundamental law reserve components of those operating governing the position of the Depart- forces; and all shore activities, head- ment of the Navy in the organization quarters, forces, bases, installations, for national defense. In 1949, the Act activities, and functions under the con- was amended to establish the Depart- trol or supervision of the Secretary of ment of Defense as an Executive De- the Navy. It includes the United States partment, and to establish the Depart- Coast Guard when it is operating as a ments of the Army, Navy and Air service in the Navy. Force (formerly established as Execu- tive Departments by the 1947 Act) as § 700.104 The principal parts of the De- military departments within the De- partment of the Navy. partment of Defense. (a) Functionally, organizationally (c) The responsibilities and authority and geographically the Department of of the Department of the Navy are the Navy has from practically the be- vested in the Secretary of the Navy, ginning of the Federal Government and are subject to his reassignment under the Constitution consisted of and delegation. The Secretary is bound three parts: The Operating Forces of by the provisions of law, the direction the Navy, the Navy Department, and of the President and the Secretary of the Shore Establishment. Defense, and, along with all Govern- (b) The operating forces of the Navy ment agencies, the regulations of cer- comprise the several fleets, sea-going tain nondefense agencies in their re- forces, sea-frontier forces, district spective areas of functional respon- forces, Fleet Marine Forces, other as- sibility. signed Marine Corps Forces, the Mili- tary Sealift Command, and other forces § 700.102 Objectives. and activities that may be assigned The fundamental objectives of the thereto by the President or the Sec- Department of the Navy, within the retary of the Navy. Department of Defense, are (c) The Navy Department refers to (a) To organize, train, equip, prepare, the central executive offices of the De- and maintain the readiness of Navy partment of the Navy located at the and Marine Corps forces for the per- seat of the government. The Navy De- formance of military missions as di- partment is organizationally com- rected by the President or the Sec- prised of the Office of the Secretary of retary of Defense, and the Navy which includes his Civilian (b) To support Navy and Marine Executive Assistants, Offices of his As- Corps forces, including the support of sistants, and the headquarters organi- such forces and the forces of other zations of the Office of Naval Research, military departments, as directed by the Office of the Judge Advocate Gen- the Secretary of Defense, which are as- eral, and the Office of the Comptroller signed to unified or specified com- of the Navy; the Office of the Chief of mands. Support, as here used, includes Naval Operations, the Headquarters, administrative, personnel, material United States Marine Corps; and, under and fiscal support, and technological the command of the Chief of Naval Op- support through research and develop- erations, the Headquarters, Naval Ma- ment. terial Command, and the headquarters organizations of the Bureau of Naval § 700.103 Composition. Personnel and the Bureau of Medicine The Department of the Navy is sepa- and Surgery. In addition, the Head- rately organized under the Secretary of quarters, United States Coast Guard, is the Navy. It operates under the author- included when the United States Coast

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Guard is operating as a service in the (g) Service craft. A classification of Navy. water-borne craft which comprises gen- (d) The shore establishment is com- erally the water-borne utilitarian craft prised of shore activities with defined not classified as ships or boats. missions approved for establishment by (h) Boats. A classification of water- the Secretary of the Navy. borne craft which comprises generally the water-borne craft suitable pri- § 700.105 Definition of terms. marily for shipboard and similar use. The following definitions shall apply (i) Active status. A status of ships and to the regulations in this part: service craft. Active status ships or (a) Command—(DOD). (1) The author- service craft are assigned to the active ity which a commander in the military fleets and to their supporting activities service lawfully exercises over his sub- or are ships of the Military Sealift ordinates by virtue of rank or assign- Command which are titled in the Unit- ment. Command includes the authority ed States or are operated under long- and responsibility for effectively using term bareboat charter. Ships and serv- available resources and for planning ice craft in active status are ‘‘in com- the employment of, organizing, direct- mission’’ or ‘‘in service.’’ ing, coordinating, and controlling mili- (j) Inactive status. A status of ships tary forces for the accomplishment of assigned missions. It also includes re- and service craft. Inactive status ships sponsibilities for health, welfare, mo- and service craft are in reserve and not rale, and discipline of assigned person- currently required for duty in the ac- nel. tive fleets or supporting forces. Ships (2) An order given by a commander; and service craft in inactive status are that is, the will of the commander ex- ‘‘in commission, in reserve,’’ or ‘‘in pressed for the purpose of bringing service, in reserve’’ or ‘‘out of commis- about a particular action. sion, in reserve’’ or ‘‘out of service, in (3) A unit or units, an organization, reserve.’’ or an area under the command of one (k) Special status. A status of ships individual. and service craft. Ships and service (4) To dominate by a field of craft in special status shall include weaponfire or by observation from a those units for which the Navy is superior position. charged with certain responsibilities (b) Superior. A commander or officer by reason of custody or title, but which in command of a senior force, unit, or are not in the active or inactive status. organization in line of command. Also, Ships and service craft in special sta- a senior person in line of command. tus are ‘‘in commission, special’’ or ‘‘in (c) Flag and general officers. Flag offi- service, special’’ or ‘‘out of commis- cer means an officer of the Navy or sion, special’’ or ‘‘out of service, spe- Coast Guard above the grade of cap- cial.’’ tain. General officers means an officer (l) Vessel. Includes every description of the Marine Corps, the Army, or the of watercraft or other artificial con- Air Force above the grade of colonel. trivance used, or capable of being used, (d) Person in the naval service. Means as a means of transportation on water. a person, male or female, appointed or (1 U.S.C. 3). enlisted in, or inducted or conscripted (m) Naval activity. A unit of the De- into, the Navy or the Marine Corps. partment of the Navy, of distinct iden- Also, same meaning for member of the tity, and established under an officer in naval service. command or in charge. (e) Persons in the Department of the (n) Naval station. A naval activity on Navy. All persons in the naval service shore, having a commanding officer, and civilians employed under the De- and located in an area having fixed partment of the Navy. boundaries, within which all persons (f) A classification of water- Ships. are subject to naval jurisdiction and borne craft which comprises generally immediate authority of the command- the oceangoing vessels and craft of the ing officer. Navy, and such other water-borne craft as may be assigned this classification. [41 FR 18074, Apr. 30, 1976]

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Subpart B—The Secretary of the the administration of the affairs of the Navy Department of the Navy. In carrying out these duties, they shall do so in § 700.201 Responsibilities of the Sec- harmony with the statutory position of retary of the Navy. the Chief of Naval Operations as ‘‘the The Secretary of the Navy is the principal naval adviser and naval exec- head of the Department of the Navy. utive to the Secretary on the conduct Under the direction, authority, and of activities of the Department of the control of the Secretary of Defense, the Navy’’ and the responsibilities of the Secretary of the Navy is responsible for Chief of Naval Operations and the Com- the policies and control of the Depart- mandant of the Marine Corps as set ment of the Navy, including its organi- forth in these regulations. The Civilian zation, administration, operation, and Executive Assistants are authorized efficiency. and directed to act for the Secretary [39 FR 7135, Feb. 25, 1974, as amended at 45 within their assigned areas of respon- FR 80277, Dec. 4, 1980] sibility. (c) The Under Secretary of the Navy § 700.202 Succession to duties. is designated as the deputy and prin- (a) When there is a vacancy in the Of- cipal assistant to the Secretary of the fice of the Secretary of the Navy, or Navy, and acts with full authority of during the absence or disability of the the Secretary in the general manage- Secretary, the Under Secretary of the ment of the Department of the Navy, Navy, and, in the order prescribed by and supervision of offices and organiza- the Secretary of the Navy, the Assist- tions as assigned by the Secretary. ant Secretaries of the Navy succeed to (d) The Assistant Secretary of the the duties of the Secretary. If the Sec- Navy (Financial Management) is the retary does not prescribe an order for Comptroller of the Navy, and is respon- succession to the duties of that office, sible for all matters related to the fi- the Assistant Secretaries shall succeed nancial management of the Depart- to those duties after the Under Sec- ment of the Navy, including budgeting, retary in the order in which they took accounting, disbursing, financing, office as Assistant Secretaries. progress and statistical reporting, au- (b) During the temporary absence of diting, management information sys- the above officials, the Chief of Naval tems, automatic data processing sys- Operations or, in his absence, the Vice tems and equipment (less than integral Chief of Naval Operations succeeds to the duties of the Secretary. to a weapons system), and supervision of offices and organizations as assigned [39 FR 7135, Feb. 25, 1974, as amended at 45 by the Secretary. Under the Comptrol- FR 80277, Dec. 4, 1980] ler, the Deputy Comptroller of the § 700.203 The Civilian Executive As- Navy shall, in addition to performing sistants. other duties assigned, serve as an adviser and assistant to the Chief of (a) The Civilian Executive Assistants Naval Operations and the Commandant to the Secretary of the Navy are the of the Marine Corps with respect to fi- Under Secretary of the Navy, the As- sistant Secretaries of the Navy, the nancial and budgetary matters. General Counsel of the Navy and the (e) The Assistant Secretary of the Deputy Under Secretary of the Navy. It Navy (Manpower, Reserve Affairs and is the policy of the Secretary to assign Logistics) is responsible for the overall Department-wide responsibilities es- supervision of manpower and reserve sential to the efficient administration component affairs of the Department of of the Department of the Navy to and the Navy, including policy and admin- among his Civilian Executive Assist- istration of affairs related to military ants. (active and inactive) and civilian per- (b) The Civilian Executive Assist- sonnel; all stages of the acquisition of ants, within their respective areas of naval ships funded by the appropria- responsibility, are the principal advis- tion ‘‘Ships Construction, Navy’’; all ers and assistants to the Secretary on Department of the Navy acquisition

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programs following full scale produc- General Counsel; and such other duties tion decision (Milestone III); the busi- as the Secretary may assign. The re- ness, contractual, manpower, and logis- sponsibilities of the General Counsel tic support aspects of the Department are not intended to infringe upon, or of the Navy Acquisition programs, in- interfere with, the responsibilities of cluding policy and administration of the Judge Advocate General for the ad- affairs related thereto; the mainte- ministration of military justice and nance, alteration, supply, distribution, such other matters as may be assigned and disposal of material; all transpor- to that officer by statute or by the Sec- tation matters; the acquisition, con- retary. struction, utilization, improvement al- (h) The Deputy Under Secretary of teration, maintenance, and disposal of the Navy is responsible to the Sec- real estate and facilities, including retary or Under Secretary for acting as capital equipment utilities, housing, a focal point and coordinator for the and public quarters; printing and publi- resolution of problems which require cations; labor relations with respect to high-level special attention. In addi- contractors with the Department of tion, the Deputy Under Secretary is the Navy; industrial security; the Mu- the major claimant for funds and man- tual Defense Assistance Program, as power supporting the Department of related to the supplying of material, the Navy Secretariat, Staff Offices, and including Foreign Military Sales; and the Department of the Navy General supervision of offices and organizations Gift Fund. The Deputy Under Sec- as assigned by the Secretary. retary is responsible for general over- (f) The Assistant Secretary of the sight, policy and procedure formula- Navy (Research, Engineering and Sys- tion and coordination regarding envi- tems) is responsible for all technical ronmental matters affecting the De- aspects of all stages of Department of partment of the Navy, with the excep- the Navy acquisition programs through tion of occupational health and safety the full-scale production decision and employee working conditions. (Milestone III), including policy and administration of affairs related there- [39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80277, Dec. 4, 1980] to, with the exception of the acquisition of naval ships funded by the appro- § 700.204 The staff assistants. priation ‘Ships Construction, Navy’; the technical aspects of the mainte- The Staff Assistants to the Secretary nance or alteration of material; all of the Navy are the Chief of Informa- matters related to research, develop- tion; the Chief of Legislative Affairs; ment, engineering, test, and evaluation the Director, Office of Program Ap- efforts within the Department of the praisal; and the heads of such other of- Navy, including management of the ap- fices and boards as may be established propriation, ‘Research, Development, by law or by the Secretary for the pur- Test and Evaluation, Navy’; oceanog- pose of assisting the Secretary or one raphy; ocean engineering and closely or more of the Civilian Executive As- related matters; and supervision of of- sistants in the administration of the fices and organizations as assigned by Department of the Navy. The foregoing the Secretary. shall supervise all functions and activi- (g) The General Counsel of the Navy ties internal to their offices and as- is responsible for providing legal ad- signed shore activities, if any, and vice, counsel, and guidance to the Sec- shall be responsible to the Secretary or retary and the other Civilian Executive to one of the Civilian Executive Assist- Assistants on any matter that they ants for the utilization of resources by may direct or that the General Counsel and the operating efficiency of all ac- determines should be brought to their tivities under their supervision. The attention. The General Counsel is also duties of the individual Staff Assist- responsible for providing all necessary ants and their respective offices will be legal advice, counsel, and guidance to as provided by law or as assigned by the staffs of the Secretary and the the Secretary. other Civilian Executive Assistants; [39 FR 7135, Feb. 25, 1974, as amended at 45 the supervision of the Office of the FR 80278, Dec. 4, 1980]

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§ 700.205 The Chief of Naval Research, Subpart C—The Chief of Naval The Judge Advocate General, The Operations Deputy Comptroller of the Navy. The Chief of Naval Research shall § 700.301 Senior Military Officer of the command the Office of Naval Research Department of the Navy. and assigned shore activities. The (a) The Chief of Naval Operations is Judge Advocate General shall com- the senior military officer of the De- mand the Office of the Judge Advocate partment of the Navy, and takes prece- General and assigned shore activities. dence above all other officers of the The Deputy Comptroller of the Navy naval service, except an officer of the shall command the Office of the Comp- naval service who is serving as Chair- troller of the Navy and assigned shore man of the Joint Chiefs of Staff. (b) The Chief of Naval Operations is activities. Each of them shall be re- the principal naval adviser to the sponsible to the Secretary of the Navy President and to the Secretary of the or to one of the Civilian Executive As- Navy on the conduct of war, and the sistants, as assigned, for the utilization principal naval adviser and naval exec- of resources by and the operating effi- utive to the Secretary on the conduct ciency of all activities under their re- of the activities of the Department of spective commands. The duties of the the Navy. Chief of Naval Research, the Judge Ad- (c) The Chief of Naval Operations is vocate General, and the Comptroller of the Navy member of the Joint Chiefs of the Navy will be as provided by law or Staff and is responsible, in coordina- as assigned by the Secretary. tion with the Commandant of the Ma- rine Corps, for keeping the Secretary of [39 FR 7135, Feb. 25, 1974, as amended at 45 the Navy fully informed on matters FR 80278, Dec. 4, 1980] considered or acted upon by the Joint § 700.206 Authority over organiza- Chiefs of Staff. In this capacity, he is tional matters. responsible, under the President and the Secretary of Defense, for duties ex- Subject to the approval of the Sec- ternal to the Department of the Navy, retary of the Navy or guidance here- as prescribed by law. after furnished by him, the Civilian Ex- ecutive Assistants, the Chief of Naval [39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980] Operations, the Commandant of the Marine Corps, the Chief of Naval Re- § 700.302 Succession to duties. search, the Judge Advocate General, The Vice Chief of Naval Operations, the Deputy Comptroller of the Navy, and then the officers of the Navy, eligi- and the Staff Assistants are individ- ble for command at sea, on duty in the ually authorized to organize, assign, office of the Chief of Naval Operations and reassign responsibilities within in the order of their seniority, shall, their respective commands or offices in unless otherwise directed by the Presi- the organization of the Department of dent, perform the duties of the Chief of the Navy, including the establishment Naval Operations during his absence, and disestablishment of such compo- or disability, or in the event of a tem- nent organizations as may be nec- porary vacancy in that office. essary, subject to the following: (a) The authority to disestablish may § 700.303 Specific authority and duties not be exercised with respect to any or- of the Vice Chief of Naval Oper- ations. ganizational component of the Depart- ment established by law. (a) The Vice Chief of Naval Oper- (b) The Secretary retains the author- ations has such authority and duties with respect to the Department of the ity to approve the establishment of and Navy as the Chief of Naval Operations, disestablishment of shore activities, with the approval of the Secretary of which will be done in accordance with the Navy, may delegate to or prescribe procedures prescribed by the Secretary. for him. Orders issued by the Vice [39 FR 7135, Feb. 25, 1974, as amended at 45 Chief of Naval Operations in perform- FR 80278, Dec. 4, 1980] ing such duties have the same force

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and effect as those issued by the Chief personnel and the prestige of a Navy of Naval Operations. career. (b) Orders issued by the Vice Chief of (4) To plan and provide health care Naval Operations in performing other for personnel of the naval service and duties have the same force and effect their dependents. as those issued by the Chief of Naval (5) To direct the organization, admin- Operations. istration, training, and support of the Naval Reserve. § 700.304 Authority and responsibility. (6) To inspect and investigate compo- (a) Internal to the administration of nents of the Department of the Navy to the Department of the Navy, the Chief determine and maintain efficiency, dis- of Naval Operations, under the direc- cipline, readiness, effectiveness, and tion of the Secretary of the Navy, shall economy, except in those areas where command the Operating Forces of the such responsibility rests with the Com- Navy. The Chief of Naval Operations mandant of the Marine Corps. shall also command the Naval Material (7) To determine the needs of naval Command, the Bureau of Naval Person- forces and activities for research, de- nel, and the Bureau of Medicine and velopment, test, and evaluation; to Surgery. In addition, he shall command plan and provide for the conduct of de- such shore activities as may be as- velopment, test, and evaluation which signed to him by the Secretary. He are adequate and responsive to long- shall be responsible to the Secretary range objectives, immediate require- for the utilization of resources by, and ments, and fiscal limitations; and to the operating efficiency of, all com- provide assistance to the Assistant mands and activities under his com- Secretary of the Navy (Research and mand. Development) in the direction, review, (b) In addition, the Chief of Naval Op- and appraisal of the overall Navy erations has the following specific re- RDT&E Program to insure fulfillment sponsibilities: of stated requirements. (1) To organize, train, equip, prepare, (8) To formulate Navy strategic plans and maintain the readiness of Navy and policies and participate in the for- forces, including those for assignment mulation of joint and combined strate- to unified or specified commands for gic plans and policies and related com- the performance of military missions mand relationships. as directed by the President, the Sec- (9) To budget for commands, bureaus, retary of Defense, or the Joint Chiefs and offices assigned to the command of of Staff. Naval forces, when assigned to the Chief of Naval Operations, and a unified or specified command, are other activities and programs as as- under the full operational command of signed, except as may be otherwise di- the commander to whom they are as- rected by the Secretary of the Navy. signed. (c) The Chief of Naval Operations, (2) To determine and direct the ef- under the direction of the Secretary of forts necessary to fulfill current and the Navy, shall (except for those areas future requirements of the Navy (less wherein such responsibility rests with Fleet Marine Forces and other assigned the Commandant of the Marine Corps) Marine Corps forces) for manpower, exercise overall authority throughout material, weapons, facilities, and serv- the Department of the Navy in matters ices, including the determination of related to the effectiveness of the sup- quantities, military performance report of the Operating Forces of the quirements, and times, places, and pri- Navy, the coordination and direction of orities of need. assigned Navy-wide programs and func- (3) To exercise leadership in main- tions including those assigned by high- taining a high degree of competence er authority, the coordination of ac- among Navy officer and enlisted and ci- tivities of the Department of the Navy vilian personnel in necessary fields of in matters concerning effectiveness, ef- specialization, through education, ficiency, and economy, and matters es- training, and equal opportunities for sential to naval military administra- personal advancement, and maintain- tion, such as security, intelligence, dis- ing the morale and motivation of Navy cipline, communications, and matters

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related to the customs and traditions Chief of Naval Material and to related of the naval service. matters. In these areas, the Chief of Naval Material shall inform the Chief § 700.305 Naval Vessel Register, classi- of Naval Operations and, when appro- fication of naval craft, and status of priate, the Commandant of the Marine ships and service craft. Corps in matters of policy and signifi- (a) The Chief of Naval Operations cant actions. shall be responsible for the Naval Ves- (b) Be responsive directly to the sel Register (except the Secretary of Commandant of the Marine Corps in the Navy shall strike vessels from the providing necessary planning and pro- Register) and the assignment of classi- gramming data requirements and in fication for administrative purposes to meeting those particular material sup- water-borne craft and the designation port needs of the U.S. Marine Corps of status for each ship and service which are required to be provided by craft. The classification of water-borne the Naval Material Command. craft and the status of ships and service craft are found in the glossary. (c) Provide the Commandant of the (b) Commissioned vessels and craft Marine Corps with timely advice con- shall be called ‘‘United States Ship —— cerning training and technical require- ’’ or ‘‘U.S.S. ——’’. ments essential for the operation and (c) Civilian manned ships of the Mili- maintenance by Marine Corps person- tary Sealift Command or other com- nel of new equipment under develop- mands designated ‘‘active status, in ment. service’’ shall be called ‘‘United States (1) Be responsive to the heads of Naval Ship ——’’ or ‘‘U.S.N.S. ——’’. other organizations in meeting their (d) Ships and service craft designated material support needs which are pro- ‘‘active status, in service,’’ except vided by the Naval Material Command. those described by paragraph c of this (2) Provide guidance to Navy and Ma- article, shall be referred to by name, rine Corps Commands, as required, on when assigned, classification, and hull functional areas related to Naval Mate- number (e.g., ‘‘HIGHPOINT PCH–1’’ or rial Command acquisition and logistics ‘‘YOGN–8’’). support responsibilities and other tech- (e) The Chief of Naval Operations nical or professional matters as appro- shall designate hospital ships and med- priate. ical aircraft as he deems necessary. Such designation shall be in compli- § 700.307 The Chief of Naval Personnel ance with the Geneva Convention for and the Chief, Bureau of Medicine the Amelioration of the Conditions of and Surgery. Wounded, Sick and Shipwrecked Mem- The Chief of Naval Personnel, under bers of the Armed Forces at Sea of 12 the command of the Chief of Naval Op- August 1949 and he shall ensure compli- erations, shall command the Bureau of ance with the notice provisions of that Naval Personnel. The Chief, Bureau of Convention. Medicine and Surgery, (who is also the [39 FR 7135, Feb. 25, 1974, as amended at 45 Surgeon General of the Navy), under FR 80278, Dec. 4, 1980] the command of the Chief of Naval Op- erations, shall command the Bureau of § 700.306 The Chief of Naval Material. Medicine and Surgery. In addition to The Chief of Naval Material, under the tasks which may be assigned by the the command of the Chief of Naval Op- Chief of Naval Operations, they shall: erations, shall command the Naval Ma- (a) Be responsive directly to the terial Command. In addition to the Commandant of the Marine Corps in tasks which may be assigned by the meeting those particular needs of the Chief of Naval Operations, he shall: United States Marine Corps which are (a) Provide direct staff assistance to required to be provided by their respec- the Secretary of the Navy and the Ci- tive bureaus. vilian Executive Assistants in matters (b) Be responsive to the heads of pertaining to contracting, procure- other organizations in meeting the par- ment, production and exploratory de- ticular needs of such organizations velopment, laboratories assigned to the which are provided by the Chief of

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Naval Personnel and the Chief, Bureau maintenance, support and readiness of of Medicine and Surgery. the Pacific Fleet, including those forces temporarily assigned to the § 700.308 Naval Inspector General. operational command of other com- There is in the Office of the Chief of manders. Naval Operations the Office of the (b) The Commander in Chief U.S. Pa- Naval Inspector General. The Naval In- cific Fleet is a naval component com- spector General, when directed, shall mander of the unified command under inquire into and report upon any mat- the Commander in Chief, Pacific. ter which affects the discipline or mili- (c) The organization of the Pacific tary efficiency of the Department of Fleet, the forces assigned and their em- the Navy; however, the Secretary of ployment shall be as specified by the the Navy shall direct inquiry when Chief of Naval Operations except for such matters are related to the Marine the employment of forces assigned to Corps. He shall make such inspections, the operational command of unified investigations, and reports as the Sec- and specified commanders. retary of the Chief of Naval Operations directs. The Naval Inspector General § 700.311 Commander in Chief; U.S. shall periodically propose programs of Naval Forces, Europe. inspections to the Chief of Naval Oper- (a) The Commander in Chief U.S. ations and shall recommend additional Naval Forces, Europe is a naval com- inspections or investigations as may mander in chief of the Operating appear appropriate. Forces of the Navy under the command § 700.309 Commander in Chief; U.S. At- of the Chief of Naval Operations. He lantic Fleet. shall represent the Chief of Naval Oper- ations for U.S. naval matters in the (a) The Commander in Chief of U.S. general areas of Europe, North Africa, Atlantic Fleet is a naval commander in chief of the Operating Forces of the and the Middle East. He shall command Navy under the command of the Chief those forces assigned by the Chief of of Naval Operations. He shall command Naval Operations or by other naval the U.S. Atlantic Fleet and is respon- commanders. sible for the administration, training, (b) The Commander in Chief U.S. maintenance, support and readiness of Naval Forces, Europe is the naval com- the Atlantic Fleet including those ponent commander of the unified com- forces temporarily assigned to the mand under the Commander in Chief, operational command of other com- U.S. European Command. manders. (b) The Commander in Chief U.S. At- § 700.312 Commander, Military Sealift Command. lantic Fleet is a naval component commander of the unified command under (a) The Commander, Military Sealift the Commander in Chief, Atlantic. Command is a naval commander of the (c) The organization of the Atlantic Operating Forces of the Navy under the Fleet, the forces assigned and their em- command of the Chief of Naval Oper- ployment shall be as specified by the ations. He shall provide ocean trans- Chief of Naval Operations except for portation for personnel and cargo of the employment of forces assigned to the Department of Defense (excluding the operational command of unified that transported by units of the fleet) and specified commanders. in accordance with policies and procedures of the Single Manager for Ocean § 700.310 Commander in Chief, U.S. Pa- Transportation (Secretary of the Navy) cific Fleet. and the Secretary of Defense. He shall (a) The Commander in Chief U.S. Pa- also operate ships in support of sci- cific Fleet is a naval commander in entific projects and other programs for chief of the Operating Forces of the agencies or departments of the United Navy under the command of the Chief States. of Naval Operations. He shall command (b) The Military Sealift Command the U.S. Pacific Fleet and is respon- shall operate and maintain government sible for the administration, training, owned ships and augment operational

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capability by shipping cargo and pas- § 700.317 Commander, Naval Security sengers on commercially operated Group Command. ships, chartering ships, and exercising The Commander, Naval Security operational control over ships acti- Group Command, under the command vated from National Defense Reserve of the Chief of Naval Operations, shall Fleet to meet emergency needs. be responsible for the provision, operation, and maintenance of an adequate § 700.313 Commander, Naval Intel- ligence Command. Naval Security Group and shall perform cryptologic and related functions. The Commander, Naval Intelligence Command, under the command of the § 700.318 Chief of Naval Education and Chief of Naval Operations, shall be re- Training. sponsible for directing and managing The Chief of Naval Education and the activities of the Naval Intelligence Training, under the command of the Command to insure fulfillment of the Chief of Naval Operations, shall be re- intelligence, counterintelligence, in- sponsible for the training of Navy per- vestigative, and security requirements sonnel, other than training assigned by of the Department of the Navy. the Chief of Naval Operations to other authorities, and for the training of Ma- § 700.314 Commander, Naval Tele- communications Command. rine Corps aviation personnel. The Commander, Naval Tele- [41 FR 18074, Apr. 30, 1976] communications Command, under the command of the Chief of Naval Oper- § 700.319 Chief of Naval Reserve. ations, shall exercise overall respon- The Chief of Naval Reserve, under sibility throughout the Department of the command of the Chief of Naval Op- the Navy for the coordination of the erations, shall be responsible for the provision, operation, and maintenance administration of Naval Reserve proof adequate and secure naval commu- grams, the management of Naval Re- nications. serve resources, and for logistic support of the Marine Corps air program. [41 FR 18074, Apr. 30, 1976] § 700.320 Commandants of Naval Dis- § 700.315 Oceanographer of the Navy. tricts. The Oceanographer of the Navy, (a) The Commandants of Naval Dis- within the Office of the Chief of Naval tricts, under the command of the Chief Operations, performs functions relating of Naval Operations shall represent the to external interfaces with national Secretary of the Navy and the Chief of and international oceanographic orga- Naval Operations in such matters as nizations and bodies. may be assigned; to exercise area co- [39 FR 7135, Feb. 25, 1974, as amended at 45 ordination authority and supervise and FR 80278, Dec. 4, 1980] direct the effective execution of assigned area coordination responsibil- § 700.316 Commander, Naval Oceanog- ities over all naval shore activities and raphy Command. personnel in the Naval Service in the The Commander, Naval Oceanog- naval district; to exercise command of raphy Command, under the command assigned naval shore activities; to co- of the Chief of Naval Operations, shall ordinate fleet support matters as as- be responsible for the management of signed by Fleet Commanders in Chief; assigned oceanographic, mapping, and to coordinate public affairs mat- charting, geodetic and meteorological ters throughout the naval district and activities and efforts and shall provide to perform such other functions as may technical guidance in such matters be directed by the Chief of Naval Oper- throughout the Department of the ations. Navy. [41 FR 18074, Apr. 30, 1976, and 45 FR 80278, [45 FR 80278, Dec. 4, 1980] Dec. 4, 1980]

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§ 700.321 President, Board of Inspec- his absence, disability, or in the event tion and Survey. of a temporary vacancy in that office. The President of the Board of Inspec- tion and Survey, assisted by such other § 700.403 Authority and responsibil- officers and such permanent and ities. semipermanent sub-boards as may be (a) The Commandant of the Marine designated by the Secretary of the Corps, under the direction of the Sec- Navy, shall: retary of the Navy, shall command the (a) Conduct acceptance trials and in- United States Marine Corps, which spections of all ships and service craft shall include Headquarters, United prior to acceptance for naval service. States Marine Corps; the Operating (b) Conduct acceptance trials and in- Forces of the Marine Corps; Marine spections on one or more aircraft of Corps Supporting Establishments and each type or model prior to final ac- the Marine Corps Reserve. ceptance for naval service. (b) The Commandant of the Marine (c) Examine at least once every three Corps advises the Secretary of the years, if practicable, each naval ship to Navy on matters pertaining to the Ma- determine its material condition and, rine Corps. He is directly responsible to if found unfit for continued service, report to higher authority. the Secretary for the administration, (d) Perform such other inspections discipline, internal organization, train- and trials of naval ships, service craft, ing, requirements, efficiency, and read- and aircraft as may be directed by the iness of the Marine Corps; for the oper- Chief of Naval Operations. ation of the Marine Corps material support system; and the total performance Subpart D—The Commandant of of the Marine Corps. He shall command the Marine Corps such shore activities as may be assigned by the Secretary, and is respon- § 700.401 Senior officer of the Marine sible to the Secretary for the utiliza- Corps. tion of resources by and the operating (a) The Commandant of the Marine efficiency of all activities under his Corps is the senior officer of the United command. When performing these States Marine Corps. functions, the Commandant is not a (b) The Commandant of the Marine part of the command structure of the Corps is the Marine Corps member of Chief of Naval Operations. There must, the Joint Chiefs of Staff and is respon- however, be a close cooperative rela- sible, in coordination with the Chief of tionship between the Chief of Naval Op- Naval Operations, for keeping the Sec- erations, as the senior military officer retary of the Navy fully informed on of the Department of the Navy, and the matters considered or acted upon by Commandant, as the one having com- the Joint Chiefs of Staff. In this capac- mand responsibility over the Marine ity, he is responsible, under the Presi- Corps. dent and the Secretary of Defense, for (c) The Commandant of the Marine duties external to the Department of Corps is directly responsible to the the Navy, as prescribed by law. Chief of Naval Operations for the orga- [39 FR 7135, Feb. 25, 1974, as amended at 45 nization, training, and readiness of FR 80278, Dec. 4, 1980] those elements of the Operating Forces of the Marine Corps assigned to the Op- § 700.402 Succession to duties. erating Forces of the Navy. Such Ma- The Assistant Commandant of the rine Corps forces, when so assigned, are Marine Corps, and then the officers of subject to the command exercised by the Marine Corps, not restricted in the the Chief of Naval Operations over the performance of duty, on duty at the Operating Forces of the Navy. Like- headquarters of the Marine Corps in wise, members or organizations of the the order of their seniority, shall, un- Navy, when assigned to the Marine less otherwise directed by the Presi- Corps, are subject to the command of dent, perform the duties of the Com- mandant of the Marine Corps during the Commandant of the Marine Corps.

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§ 700.404 Specific responsibilities. tion, review, and appraisal of the overall USMC RDT&E Program. In addition, the Commandant of the (g) To plan for and determine the Marine Corps has the following specific needs for health care for personnel of responsibilities: the Marine Corps and their dependents. (a) To plan for and determine the support needs of the Marine Corps for § 700.405 Composition of the Marine equipment, weapons or weapons sys- Corps. tems, materials, supplies, facilities, (a) The major components of the reg- maintenance, and supporting services. ular establishment of the Marine Corps This responsibility includes the deter- consist principally of the Headquarters mination of Marine Corps characteris- of the Marine Corps, the Operating tics of equipment and material to be Forces, and the Supporting Establish- procured or developed, and the training ment. In addition, there is another ele- required to prepare Marine Corps per- ment of the Marine Corps, the Marine sonnel for combat. It also includes the Corps Reserve. operation of the Marine Corps Material (b) The Operating Forces of the Ma- Support System. rine Corps include the Fleet Marine (b) To budget for the Marine Corps, Forces, detachments afloat, and secu- except as may be otherwise directed by rity forces. There are two Fleet Marine the Secretary of the Navy. Forces: Fleet Marine Force, Atlantic, (c) To develop, in coordination with and Fleet Marine Force, Pacific. These other military services, the doctrines, Fleet Marine Forces are assigned to, tactics, and equipment employed by and are integral to, the U.S. fleets as landing forces in amphibious oper- part of the Operating Forces of the ations. Navy. (d) To formulate Marine Corps strate- (c) The Supporting Establishment in- gic plans and policies and participate cludes those Marine Corps facilities, in the formulation of joint and com- such as Marine Corps schools, recruit bined strategic plans and policies and depots, supply installations, bases, bar- related command relationships. racks, air stations and other mis- (e) To plan for and determine the cellaneous small activities which train, present and future needs, both quan- maintain, and support the Operating titative and qualitative, for personnel, Forces of the Marine Corps. including reserve personnel and civil- (d) The Marine Corps Reserve has as ian personnel, of the United States Ma- its mission to provide a trained force of rine Corps. This includes responsibility qualified officers and enlisted person- for leadership in maintaining a high nel to be available for active duty in degree of competence among Marine the U.S. Marine Corps in time of war or Corps officers and enlisted personnel national emergency. and Marine Corps civilian personnel in necessary fields of specialization § 700.406 Relationships between the through education, training, and equal Commandant of the Marine Corps opportunities for personal advance- and the Chief of Naval Material. ment; and for leadership in maintain- Formal operating relationships with ing the morale and motivation of Ma- respect to the efforts of determining rine Corps personnel and the prestige needs and providing support between of a career in the Marine Corps. the Commandant of the Marine Corps (f) To plan for and determine devel- and his organization and the Chief of opment requirements of the Marine Naval Material and his organization Corps. To provide for the development, shall be governed by the following prin- test, and evaluation of new weapon sys- ciples: tems and equipment, to ensure that (a) The Commandant of the Marine such are adequate and responsive to Corps shall express to the Chief of immediate and long-range objectives Naval Material those Marine Corps ma- and are within available resources. To terial needs which are to be provided provide direct staff assistance to the by the Naval Material Command. With Assistant Secretary of the Navy (Re- respect to the development of material search and Development) in the direc- items, the Commandant of the Marine

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Corps shall specify the military per- and supplies needed for the support of formance required to meet Marine the Marine Corps forces so detached. Corps needs. He shall be responsible to the Sec- (b) The Chief of Naval Material shall retary of the Army for the general effi- advise the Commandant of the Marine ciency and discipline of such units of Corps as to the economic and techno- the Marine Corps as are detached for logical feasibility of meeting such service with the Army. needs, and shall keep the Commandant (b) Official correspondence which re- informed of new capabilities to meet lates exclusively to the routine busi- the needs of the Marine Corps which ness of the Marine Corps and does not may or may not have been previously involve questions of administrative re- expressed. With respect to the develop- sponsibility under the supervision of ment of material items, the Chief of Naval Material shall determine the the commanding officer of the com- technical effort necessary to satisfy bined forces, and which is not a matter the needs of the Marine Corps. of a military nature pertaining to an (c) The Commandant of the Marine individual requiring the action of said Corps shall select the work to be done commanding officer, shall be forwarded to satisfy the needs of the Marine direct between the Headquarters of the Corps, based upon feasibility data and Marine Corps and the senior Marine of- current estimates of the worth of a ficer serving with the detached forces. particular need in relation to other de- (c) All official correspondence regard- sirable needs, including, where nec- ing the personnel of the Marine Corps essary, the curtailment or cancellation units on duty with the Army shall be of work already in progress in favor of addressed to the proper representative work which offers greater promise or of the Marine Corps and forwarded via greater military worth. the Adjutant General of the Army. (d) The Chief of Naval Material shall exercise appropriate supervision over accomplishment of the work selected, Subpart E—The United States and shall insure that resources avail- Coast Guard (When Operat- able to him are efficiently utilized in ing As a Service of the Navy) meeting Marine Corps needs. (e) Work being accomplished shall be § 700.501 Relationship and operation reviewed concurrently by the Com- as a service in the Navy. mandant of the Marine Corps from the (a) Upon declaration of war or when viewpoint of readiness and military the President directs, the Coast Guard worth, and by the Chief of Naval Mate- shall operate as a service in the Navy, rial from the viewpoint of progress and and shall be subject to the orders of the the efficient utilization of resources Secretary of the Navy. While so operat- available to him. ing as a service in the Navy and to the extent practicable Coast Guard oper- § 700.407 Serving with the Army by order of the President. ations shall be integrated and uniform with Navy operations. (a) When Marine Corps units are, by (b) Whenever the Coast Guard oper- order of the President, detached for ates as a service in the Navy: service with the Army, the Com- mandant of the Marine Corps is, for the (1) Applicable appropriations of the time that the Marine Corps units are Coast Guard to cover expenses shall be thus detached and for the purposes of available for transfer to the Depart- administering the affairs of such units, ment of the Navy and supplemented, as responsible to the Secretary of the required, from applicable appropria- Army. The Commandant of the Marine tions of the Department of the Navy. Corps shall retain such control and ju- (2) Personnel of the Coast Guard risdiction over said detached forces as shall be eligible to receive gratuities, will enable him to make the necessary medals, and other insignia of honor on transfers of officers and men from and the same basis as personnel in the to the commands, and to exercise gen- naval service or serving in any capac- eral supervision over all expenditures ity with the Navy.

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§ 700.502 Commandant of the Coast itime navigation, ice breaking facili- Guard. ties, and rescue facilities for the pro- (a) The Commandant of the Coast motion of safety on and over the high Guard is the senior officer of the Unit- seas and waters subject to the jurisdic- ed States Coast Guard. tion of the United States. (b) When reporting in accordance (i) Engage in oceanographic research with section 3, title 14 U.S.C., to the on the high seas and in waters subject Secretary of the Navy, the Com- to the jurisdiction of the United States mandant of the Coast Guard will fur- in coordination with the Office of the ther report to the Chief of Naval Oper- Oceanographer of the Navy. ations for military functions. The Chief (j) Continue in effect under the Sec- of Naval Operations shall represent the retary of the Navy those other func- Coast Guard as a member of the Joint tions, powers and duties vested in him Chiefs of Staff. by appropriate orders and regulations of the Secretary of Transportation on § 700.503 Duties and responsibilities. the day prior to the effective date of In exercising command over the transfer of the Coast Guard to the De- Coast Guard while operating as a serv- partment of the Navy until specifically ice of the Navy, the Commandant shall: modified or terminated by the Sec- (a) Organize, train, prepare and main- retary of the Navy. tain the readiness of the Coast Guard to function as a specialized service in Subpart F—Commanders in Chief the Navy for the performance of mili- and Other Commanders tary missions, as directed. (b) Plan for and determine the § 700.601 Titles of commanders. present and future needs of the Coast (a) The commander of a principal or- Guard, both quantitative and quali- ganization of the Operating Forces of tative, for personnel, including reserve the Navy, as determined by the Chief of personnel. Naval Operations, or the officer who (c) Budget for the Coast Guard, ex- has succeeded to such command as pro- cept as may be otherwise directed by vided elsewhere in these regulations, the Secretary of the Navy. shall have the title ‘‘Commander in (d) Plan for and determine the sup- Chief.’’ The name of the organization port needs of the Coast Guard for under his command shall be added to equipment, materials, weapons or form his official title. weapons systems, supplies, facilities, (b) The commander of each other or- maintenance, and supporting services. ganization of units of the Operating (e) Exercise essential military ad- Forces of the Navy, or organization of ministration of the Coast Guard. This units of shore activities, shall have the includes, but is not limited to, such title ‘‘Commander,’’ ‘‘Commandant,’’ matters as security, discipline, intel- ‘‘Commanding General,’’ or other ap- ligence, communications, personnel propriate title. The name of the organi- records and accounting conforming, as zation under his command shall be practicable, to Navy procedures. added to form his official title. (f) Enforce or assist in enforcing Fed- eral laws on the high seas and on wa- § 700.602 Responsibility and authority ters subject to the jurisdiction of the of a commander. United States. (a) A commander shall be responsible (g) Administer, promulgate and en- for the satisfactory accomplishment of force regulations for the promotion of the mission and duties assigned to his safety of life and property on the high command. His authority shall be com- seas and on waters subject to the juris- mensurate with his responsibilities. diction of the United States. This ap- Normally, he shall exercise authority plies to those matters not specifically through his immediate subordinate delegated by law to some other execu- commanders; but he may communicate tive department. directly with any of his subordinates. (h) Develop, establish, maintain and (b) A commander shall insure that operate, with due regard to the require- subordinate commands are fully aware ments of national defense, aids to mar- of the importance of strong, dynamic

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leadership and its relationship to the (e) Make, or cause to be made, such overall efficiency and readiness of inspections as necessary to ensure the naval forces. A commander shall exer- readiness, effectiveness, and efficiency cise positive leadership and actively of the components of his command. develop the highest qualities of leadership in persons with positions of au- § 700.605 Observance of international thority and responsibility throughout law. his command. At all times a commander shall ob- (c) Subject to orders of higher au- serve, and require his command to ob- thority, a commander shall issue such serve, the principles of international regulations and instructions as may be law. Where necessary to fulfillment of necessary for the proper administra- this responsibility, a departure from tion and operation of his command. other provisions of Navy Regulations is (d) A commander shall hold the same authorized. relationship to his flagship, or to a shore activity of his command in which Subpart G—The Commanding his headquarters may be located, in re- Officer gard to its internal administration and discipline, as to any other ship or shore § 700.701 Applicability. activity of his command. In addition to commanding officers, the provisions of this chapter shall § 700.603 To announce assumption of apply, where pertinent, to aircraft command. commanders, officers in charge (includ- Upon assuming command, a coming warrant officers and petty officers mander shall so advise appropriate su- when so detailed) and those persons periors, and the units of his command. standing the command duty. When appropriate to his command he shall also advise the senior command- § 700.702 Responsibility. ers of other United States armed serv- (a) The responsibility of the com- ices and officials of other Federal agen- manding officer for his command is ab- cies and foreign governments located solute, except when, and to the extent, within the area encompassed by his relieved therefrom by competent au- command, concerning his assumption thority, or as provided otherwise in of command. these regulations. The authority of the commanding officer is commensurate § 700.604 Readiness. with his responsibility. While he may, A commander shall take all prac- at his discretion, and when not con- ticable steps to maintain his command trary to law or regulations, delegate in a state of readiness to perform its authority to his subordinates for the mission. In conformity with the orders execution of details, such delegation of and policies of higher authority, he authority shall in no way relieve the shall: commanding officer of his continued (a) Organize the forces and resources responsibility for the safety, well- under his command and assign duties being, and efficiency of his entire com- to his principal subordinate command- mand. ers. (b) A commanding officer who de- (b) Prepare plans for the employment parts from his orders or instructions, of his forces to meet existing and fore- or takes official action which is not in seeable situations. accordance with such orders or instruc- (c) Collaborate with the commanders tions, does so upon his own responsibil- of other United States armed services ity and shall report immediately the and with appropriate officials of other circumstances to the officer from Federal agencies and foreign govern- whom the prior orders or instructions ments located within the area encom- were received. passed by his command. (c) The commanding officer shall be (d) Maintain effective intelligence responsible for economy within his and keep himself informed of the polit- command. To this end he shall require ical and military aspects of the na- from his subordinates a rigid compli- tional and international situation. ance with the regulations governing

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the receipt, accounting, and expendi- ship or aircraft of the naval service are ture of public money and materials, subject to the authority of the com- and the implementation of improved manding officer and shall conform to management techniques and proce- the internal regulations and routine of dures. the ship or aircraft. The commanding (d) The commanding officer and his officer of such ship or aircraft shall subordinates shall exercise leadership take no disciplinary action against a through personal example, moral re- passenger not in the naval service, sponsibility, and judicious attention to other than that authorized by law; but the welfare of persons under their con- he may, when he deems such action to trol or supervision. Such leadership be necessary for the safety of the ship shall be exercised in order to achieve a or aircraft or of any persons embarked, positive, dominant influence on the subject a passenger not in the naval performance of persons in the Depart- ment of the Navy. service to such restraint as the circumstances require until such time as § 700.703 [Reserved] delivery to the proper authorities is possible. A report of the matter shall § 700.704 Organization of commands. be made to an appropriate superior of All commands and other activities of the passenger. the Department of the Navy shall be organized and administered in accord- § 700.712 [Reserved] ance with law, the Navy Regulations, and the orders of competent authority, § 700.713 Person found under incrimi- and all orders and instructions of the nating circumstances. commanding officer shall be in accord- (a) The commanding officer shall ance therewith. keep under restraint or surveillance, as necessary, any person not in the armed §§ 700.705—700.708 [Reserved] services of the United States who is found under incriminating or irregular § 700.709 Unauthorized persons on board. circumstances within the command, and shall immediately initiate an in- The commanding officer shall satisfy vestigation. himself that there is no unauthorized (b) Should an investigation indicate person on board before proceeding to sea or commencing a flight. that such person is not a fugitive from justice or has not committed or at- § 700.710 Control of passengers. tempted to commit an offense, he shall (a) Control of passage in and pro- be released at the earliest opportunity, tracted visits to aircraft and ships of except: the Navy by all persons, within or (1) If not a citizen of the United without the Department of the Navy, States, and the place of release is shall be exercised by the Chief of Naval under the jurisdiction of the United Operations. States, the nearest federal immigra- (b) Nothing in this article shall be in- tion authorities shall be notified as to terpreted as prohibiting the senior offi- the time and place of release suffi- cer present from authorizing the pas- ciently in advance to permit them to sage in ships and aircraft of the Navy take such steps as they deem appro- by such persons as he judges necessary priate. in the public interest or in the interest (2) Such persons shall not be released of humanity. The senior officer present in territory not under the jurisdiction shall report the circumstances to the of the United States without first ob- Chief of Naval Operations when he taining the consent of the proper for- gives such authorization. eign authorities, except where the investigation shows that he entered the § 700.711 Authority over passengers. command from territory of the foreign Except as otherwise provided in these state, or that he is a citizen or subject regulations or in orders from com- of that state. petent authority, all passengers in a

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(c) If the investigation indicates that wise, or are insufficiently, available to such person has committed or at- the personnel of the command. tempted to commit an offense punish- (b) Personal commercial solicitation able under the authority of the com- and the conduct of commercial trans- manding officer, the latter shall take actions are governed by policies of De- such action as he deems necessary. partment of Defense. (d) If the investigation indicates that such a person is a fugitive from justice, § 700.716 Marriages on board. or has committed or attempted to commit an offense which requires actions The commanding officer shall not beyond the authority of the command- perform a marriage ceremony on board ing officer, he shall, at the first oppor- his ship or aircraft. He shall not permit tunity, deliver such person, with full a marriage ceremony to be performed descriptive data, fingerprints, and a on board when the ship or aircraft is statement of the circumstances to the outside the territory of the United proper civil authorities. States, except: (e) A report shall be made promptly (a) In accordance with local laws and to the Secretary of the Navy, in all the laws of the state, territory, or dis- cases under paragraph 4 of this article, trict in which the parties are domi- and in other cases where appropriate. ciled, and [39 FR 7135, Feb. 25, 1974, as amended at 41 (b) In the presence of a diplomatic or FR 21775, May 28, 1976] consular official of the United States, who has consented to issue the certifi- § 700.714 Rules for visits. cates and make the returns required by (a) Commanding officers are respon- the consular regulations. sible for the control of visitors to their commands and shall comply with the § 700.717 Postal matters. relevant provisions of the Department Commanding officers shall ensure of the Navy Security Manual for Clas- that mail and postal funds are adminis- sified Information and other pertinent tered in accordance with instructions directives. issued by the Postmaster General and (b) Commanding officers shall take approved for the naval service by the such measures and impose restrictions Chief of Naval Operations, and instruc- on visitors as necessary to safeguard tions issued by the Chief of Naval Oper- the classified material under their ju- ations or the Chief of Naval Personnel risdiction. Arrangements for general or the Commandant of the Marine visiting shall always be based on the Corps as appropriate; and that postal assumption that foreign agents will be clerks or other persons authorized to among the visitors. handle mail perform their duties (c) Commanding officers and others strictly in accordance with those in- officially concerned shall exercise rea- structions. sonable care to safeguard the persons and property of visitors to naval activi- §§ 700.718—700.719 [Reserved] ties as well as taking those necessary precautions to safeguard the persons § 700.720 Deaths. and property within his command. The commanding officer, in the event § 700.715 Dealers, tradesmen, and of death of any person within his com- agents. mand, shall ensure that the cause of (a) In general, dealers or tradesmen death and the circumstances under or their agents shall not be admitted which death occurred are established, within a command, except as author- and the appropriate casualty report is ized by the commanding officer: submitted. (1) To conduct public business. (2) To transact specific private busi- § 700.721 The American National Red ness with individuals at the request of Cross. the latter. (a) Pursuant to the request of the (3) To furnish services and supplies Secretary of the Navy and subject to which are necessary and are not other- such instructions as he may issue, the

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American National Red Cross is au- bell book shall each constitute an offi- thorized to conduct a program of wel- cial record of the command. fare, including social, financial, and [41 FR 18074, Apr. 30, 1976] medical and dental aid, for naval personnel; to assist in matters pertaining § 700.726 Records. to prisoners of war; and to provide such The commanding officer shall require other services as are appropriate func- that records relative to personnel, ma- tions for the Red Cross. The American terial, and operations as required by National Red Cross is the only volun- current instructions are maintained teer society authorized by the Govern- properly by those responsible therefor. ment to render medical and dental aid to the armed forces of the United §§ 700.727—700.728 [Reserved] States. Other organizations desiring to render medical and dental aid may do § 700.729 Delivery of personnel to civil so only through the Red Cross. authorities and service of subpoena or other process. (b) Requests for Red Cross services shall be made to the Chief of Naval (a) Commanding officers or other per- Personnel or the Commandant of the sons in authority shall not deliver any Marine Corps or, in the case of medical person in the naval service to civil au- services, to the Chief, Bureau of Medi- thorities except as provided by the cine and Surgery. Manual of the Judge Advocate General. (c) Activities and personnel of the (b) Commanding officers are author- American National Red Cross in areas ized to permit the service of subpoena on other process as provided by the subject to naval jurisdiction shall con- Manual of the Judge Advocate General. form to such administrative regulations as may be prescribed by appro- §§ 700.730—700.732 [Reserved] priate naval authority. (d) Red Cross personnel shall be con- § 700.733 Responsibility of a master of sidered to have the status of commis- an in-service ship of the Military sioned officers, subject to such restric- Sealift Command. tions as may be imposed by the Chief of In an in-service ship of the Military Naval Personnel or the Commandant of Sealift Command, the master is re- the Marine Corps. sponsible for the safety of his ship and all persons on board. He is responsible §§ 700.722—700.723 [Reserved] for the safe navigation and technical operation of his ship and has para- § 700.724 Maintenance of Logs. mount authority over all persons on (a) A deck log and an engineering log board. The master is responsible for shall be maintained by each ship in the preparation of the abandoned ship commission, and by such other ships bill and has exclusive authority to and craft as may be designated by the order the ship abandoned. He has full Chief of Naval Operations. authority to enforce appropriate laws (b) A compass record shall be main- of the United States and all applicable tained as an adjunct to the deck log. orders and regulations of the Navy, An engineer’s bell book shall be main- Military Sealift Command, and the Of- tained as an adjunct to the engineering fice of Personnel Management. log. [39 FR 7135, Feb. 25, 1974, as amended at 47 (c) The Chief of Naval Operations FR 28370, June 30, 1982] shall prescribe regulations governing the contents and preparation of the § 700.734 Relations with merchant sea- deck and engineering logs and adjunct men. records. When in foreign waters, the commanding officer, with the approval of [41 FR 18074, Apr. 30, 1976] the senior officer present, may receive on board as supernumeraries for ra- § 700.725 Status of Logs. tions and passage: The deck log, the engineering log, (a) Distressed seamen of the United the compass record, and the engineer’s States for passage to the United

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States, provided they bind themselves be removed from the command by such to be amenable in all respects to Navy person, so long as he has the capacity Regulations. to repel such act. If force should be ex- (b) As prisoners, seamen from mer- erted to compel submission, he is to re- chant vessels of the United States, pro- sist that force to the utmost of his vided that the witnesses necessary to power. substantiate the charges against them (b) Except as may be provided by are received, or adequate means adopt- international agreement, the com- ed to ensure the presence of such wit- manding officer of a shore activity nesses on arrival of the prisoners at the shall not permit his command to be place where they are to be delivered to searched by any person representing a the civil authorities. foreign state, nor permit any of the personnel within the confines of his § 700.735 [Reserved] command to be removed from the command by such person, so long as he has § 700.736 Physical security. the power to resist. (a) The commanding officer shall take action to protect and maintain §§ 700.741—700.746 [Reserved] the security of the command from the dangers of attack, sabotage or other § 700.747 Status of boats. actions of subversive or militant (a) Boats shall be regarded in all groups or of any person with intent to matters concerning the rights, privi- do harm. leges, and comity of nations as part of (b) The commanding officer shall the ship or aircraft to which they be- take action to protect and maintain long. the security of the command against (b) In ports where war, insurrection dangers from fire, windstorms, or other or armed conflict exists or threatens, acts of nature. the commanding officer shall: (1) Require that boats away from the § 700.737 Effectiveness for service. ship or aircraft have some appropriate The commanding officer shall: and competent person in charge. (a) Exert every effort to maintain his (2) See that steps are taken to make command in a state of maximum effec- their nationality evident at all times. tiveness for war or other service consistent with the degree of readiness as § 700.748 [Reserved] may be prescribed by proper authority. Effectiveness for service is directly re- § 700.749 Work, facilities, supplies, or lated to state of personnel and mate- services for other Government de- rial readiness. partments, State or local governments, foreign governments, private (b) Make himself aware of the parties and morale, welfare, and progress of any repairs, the status of recreational activities. spares, repair parts and other components, personnel readiness and other (a) Work may be done for or facili- factors or conditions that could lessen ties, supplies, or services furnished to the effectiveness of his command. departments and agencies of the Fed- When the effectiveness is lessened ap- eral and State governments, local gov- preciably it shall be reported to appro- ernments, foreign governments, private priate superiors. parties, and morale, welfare, and recreational activities with the approval §§ 700.738—700.739 [Reserved] of a commanding officer provided: (1) The cost does not exceed limita- § 700.740 Search by foreign authori- tions the Secretary of the Navy may ties. approve or specify; and, (a) The commanding officer shall not (2) In the case of private parties, it is permit a ship under his command to be in the interest of the government to do searched on any pretense whatsoever so and there is no issue of competition by any person representing a foreign with private industry; and, state, nor permit any of the personnel (3) In the case of foreign governments within the confines of his command to a disqualification of a government has

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not been issued for the benefits of this eign government concerned where such article. services are provided by persons of the (b) Work shall not be started nor fa- naval service without direct cost to the cilities, supplies, or services furnished, Department of the Navy. morale, welfare, and recreational ac- (f) In cases of emergency involving tivities not classified as instrumental- possible loss of life or valuable prop- ities of the United States, or state or erty, work may be started or facilities local governments or private parties furnished prior to authorization, or until funds to cover the estimated cost provision for payment, but in all such have been deposited with the com- cases a detailed report of the facts and manding officer or unless otherwise circumstances shall be made promptly provided by law. to the Secretary of the Navy or the ap- (c) Work shall not be started nor fa- propriate authority. cilities, supplies, or services furnished (g) Charges and accounting for any other Federal Government depart- work, supplies, or services shall be as ments and agencies, or expenses prescribed in the Navy Comptroller charged to non-appropriated funds of Manual. morale, welfare, and recreational activities classified as instrumentalities §§ 700.750—700.751 [Reserved] of the United States until reimbursable § 700.752 Responsibility for safety of funding arrangements have been made. ships and craft at a naval station or (d) Work, facilities, supplies, or serv- shipyard. ices furnished non-appropriated fund (a) The commanding officer of a activities classified as instrumental- naval station or shipyard shall be re- ities of the United States in the Navy sponsible for the care and safety of all Comptroller Manual shall be funded in ships and craft at such station or ship- accordance with regulations of the yard not under a commanding officer Comptroller of the Navy. or assigned to another authority, and (e) Supplies or services may be fur- for any damage that may be done by or nished to naval vessels and military to them. In addition, the commanding aircraft of friendly foreign govern- officer of a naval station or shipyard ments (unless otherwise provided by shall be responsible for the safe execu- law or international treaty or agree- tion of work performed by that activ- ment): ity upon any ship located at the activ- (1) On a reimbursable basis without ity. an advancement of funds, when in the (b) It shall be the responsibility of best interest of the United States; the commanding officer of a ship in (i) Routine port services (including commission which is undergoing over- pilotage, tugs, garbage removal, haul, or which is otherwise immo- linehandling, and utilities) in terri- bilized at a naval station or shipyard, torial waters or waters under United to request such services as are nec- States control, essary to ensure the safety of the ship. (ii) Routine airport services (includ- The commanding officer of the naval ing air traffic control, parking, servic- station or shipyard shall be responsible ing, use of runways), for providing requested services in a (iii) Miscellaneous supplies (includ- timely and adequate manner. ing fuel, provisions, spare parts, and (c) When a ship or craft not under her general stores) but not ammunition. own power is being moved by direction Supplies are subject to approval of the of the commanding officer of a naval cognizant fleet or force commanders station or shipyard, that officer shall when provided overseas, be responsible for any damage that (iv) With approval of Chief of Naval may result therefrom; the pilot or Operations in each instance, overhauls, other person designated for the purpose repairs, and alterations together with shall be in direct charge of such move- necessary equipment and its installa- ment, and all persons on board shall tion required in connection therewith, cooperate with and assist the pilot as to vessels and military aircraft. necessary. Responsibility for such ac- (2) Routine port and airport services tions in a private shipyard will be as- may be furnished at no cost to the for- signed by contract to the contractor.

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(d) When a ship operating under her the docking activity. The commanding own power is being drydocked, the officer of the docking activity shall be commanding officer shall be fully re- responsible for the closing, at the end sponsible for the safety of his ship of working hours, of all valves and until the extremity of the ship first to other openings in the ship’s bottom enter the drydock reaches the dock sill upon which work is being undertaken and the ship is pointed fair for entering by the docking activity, when such the drydock. The docking officer shall closing is practicable. then take charge and complete the (b) Prior to undocking, the com- docking, remaining in charge until the manding officer of a ship shall report ship has been properly landed, bilge to the docking officer any material blocks hauled, and the dock pumped changes in the amount and location of down. In undocking, the docking offi- weights on board which have been cer shall assume charge when flooding made by the ship’s force while in dock, the dock preparatory to undocking is and shall ensure, and so report, that all started, and shall remain in charge sea valves and other openings in the until the extremity of the ship last to ship’s bottom are properly closed. The leave the dock clears the sill, and the level of water in the dock shall not be ship is pointed fair for leaving the dry- permitted to rise above the keel blocks dock, when the ship’s commanding offi- prior to receipt of this report. The cer shall assume responsibility for the above valves and openings shall be safety and control of the ship. tended during flooding of the dock. (e) When a naval ship is to be (c) When a ship or craft, not in com- drydocked in a private shipyard under mission, is in a naval drydock, the pro- a contract being administered by a su- visions of this article shall apply, ex- pervisor of shipbuilding, the respon- cept that the commanding officer of sibilities of the commanding officer are the docking activity or his representa- the same as in the case of drydocking tive shall act in the capacity of the in a naval shipyard. The responsibil- commanding officer. ities for the safety of the actual (d) When a naval ship or craft is in drydocking, normally assigned to the drydock in a private shipyard, respon- commanding officer of a naval shipyard sibility for actions normally assigned through his docking officer, will be as- by the commanding officer of the dock- signed by contract to the contractor. ing activity will be assigned by con- The supervisor of shipbuilding is re- tract to the contractor. sponsible, however, for ensuring that the contractor’s facilities, methods, op- [39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80279, Dec. 4, 1980] erations, and qualifications meet the standards of efficiency and safety pre- § 700.754 Pilotage. scribed by Navy directives. (a) The commanding officer shall: (f) If the ship is elsewhere than at a (1) Pilot the ship under all ordinary naval station or shipyard, the relation- circumstances, but he may employ pi- ship between the Commanding officer lots whenever in his judgment such em- and the supervisor of shipbuilding, or ployment is prudent. other appropriate official, shall be the (2) Not call a pilot on board until the same as that between the commanding ship is ready to proceed. officer and the commanding officer of a (3) Not retain a pilot on board after naval station or shipyard as specified the ship has reached her destination or in this article. point where pilot is no longer required. [39 FR 7135, Feb. 25, 1974, as amended at 45 (4) Give preference to licensed pilots. FR 80279, Dec. 4, 1980] (5) Pay pilots no more than the local rates. § 700.753 Ships and craft in drydock. (b) A pilot is merely an adviser to the (a) The commanding officer of a ship commanding officer. His presence on in drydock shall be responsible for board shall not relieve the command- effecting adequate closure, during such ing officer or any of his subordinates periods as they will be unattended, of from their responsibility for the proper all openings in the ship’s bottom upon performance of the duties with which which no work is being undertaken by they may be charged concerning the

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navigation and handling of the ship. plans of the ship, and all the pertinent For an exception to the provisions of information relative to the general this paragraph, see ‘‘Rules and Regula- condition of the ship and the work tions Covering Navigation of the Pan- being undertaken on the hull, machin- ama Canal and Adjacent Waters,’’ ery, and equipment, upon reporting for which directs that the pilot assigned to duty. a vessel in those waters shall have con- (2) Inspect the ship as soon after re- trol of the navigation and movement of porting for duty as practicable, and fre- the vessel. Also see the provisions of quently thereafter, in order to keep these regulations concerning the navi- himself informed of the state of her gation of ships at a naval shipyard or preparation for service. If, during the station, or in entering or leaving dry- course of these inspections, he notes an dock. unsafe or potentially unsafe condition, § 700.755 Safe navigation and regula- he shall report such condition to the tions governing operation of ships commander of the naval shipyard or and aircraft. the supervisor of shipbuilding and to (a) The commanding officer is re- his superior for resolution. sponsible for the safe navigation of his (3) Keep himself informed as to the ship or aircraft except as prescribed progress of the work being done, in- otherwise in these regulations for ships cluding tests of equipment, and make at a naval shipyard or station in dry- such recommendations to the com- dock, or in the Panama Canal. In time mander of the naval shipyard or the su- of war or armed conflict, or in exer- pervisor of shipbuilding as he deems cises simulating war or armed conflict, appropriate. competent authority may modify the (4) Ensure that requisitions are sub- use of lights or other safeguards re- mitted for articles to outfit the ship quired by law to prevent collisions at which are not otherwise being pro- sea, in port, or in the air. In exercises, vided. such modifications will be employed (5) Prepare the organization of the only when ships or aircraft clearly will ship. not be hazarded. (b) Professional standards and regu- (6) Make such reports as may be relations governing ship handling, safe quired by higher authority, and include navigation, safe anchoring and related therein a statement of any deficiency operational matters shall be promul- in material or personnel. gated by the Chief of Naval Operations. (b) If the prospective commanding of- (c) Professional standards and regula- ficer does not consider the ship in prop- tions governing the operation of naval er condition to be commissioned at the aircraft and related matters shall be time the commander of the naval ship- promulgated by the Chief of Naval Op- yard or the supervisor of shipbuilding erations or the Commandant of the Ma- signifies his intention of transferring rine Corps as appropriate. the ship to him, he shall report that conclusion with his reasons therefor, in § 700.756 Duties of the prospective writing, to the commander of the naval commanding officer of a ship. shipyard or the supervisor of shipbuild- (a) Except as may be prescribed by ing and to the appropriate higher au- the Chief of Naval Operations, the pro- thority. spective commanding officer of a ship (c) If the ship is elsewhere than at a not yet commissioned shall have no naval shipyard, the relationship be- independent authority over the prepa- tween the prospective commanding of- ration of the ship for service by virtue ficer and the supervisor of shipbuild- of his assignment to such duty, until ing, or other appropriate official, shall the ship is commissioned and transferred to his command. As the prospec- be the same as that between the pro- tive commanding officer, he shall: spective commanding officer and the (1) Procure from the commander of commander of a naval shipyard as spec- the naval shipyard or the supervisor of ified in this article. shipbuilding the general arrangement

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§ 700.757 Authority of the commanding (d) No concealment shall be made of officer or prospective commanding any circumstance that may subject a officer of a naval nuclear powered ship or aircraft of the Navy to quar- ship. antine. The Chief of Naval Operations shall (e) Should there appear at any time be responsible for providing the com- on board a ship or aircraft conditions manding officer or prospective com- which present a hazard of introduction manding officer of a naval nuclear pow- of a communicable disease outside the ered ship with the authority and direc- ship or aircraft, the commanding offi- tion necessary to carry out his respon- cer or aircraft commander shall at sibilities for the safety of the ship and once report the fact to the senior offi- crew, and the health and safety of the cer present, to other appropriate high- general public in surrounding area. er authorities and, if in port, to the health authorities having quarantine § 700.758 Inspection incident to commissioning of ships. jurisdiction. He shall prevent all contracts likely to spread disease until When a ship is to be commissioned, pratique is received. The commanding the authority designated to place such officer of a ship in port shall hoist the ship in commission shall, just prior to appropriate signal. commissioning, cause an inspection to be made to determine the cleanliness § 700.764 Customs and immigration in- and readiness of the ship to receive its spections. crew and outfit. In the case of the delivery of a ship by a contractor, the (a) The commanding officer or air- above inspection shall precede accept- craft commander shall facilitate any ance of the ship. A copy of the report of proper examination which it may be this inspection shall be furnished the the duty of a customs officer or an im- officer detailed to command the ship migration officer of the United States and to appropriate commands, bureaus to make on board the ship or aircraft or offices. under his command. He shall not permit a foreign customs officer or an §§ 700.759—700.762 [Reserved] immigation officer to make any examination whatsoever, except as herein- § 700.763 Quarantine. after provided, on board the ship, air- (a) The commanding officer or aircraft, or boats under his command. craft commander of a ship or aircraft (b) When a ship or aircraft of the shall comply with all quarantine regu- Navy or a public vessel manned by lations and restrictions, United States naval personnel and operating under or foreign, for the port or area within the direction of the Department of the which his ship or aircraft is located. Navy is carrying cargo for private com- (b) Whether or not liable to quar- mercial account, such cargo shall be antine, the commanding officer shall subject to the local customs regula- afford every facility to visiting health tions of the port, domestic or foreign, officers, United States or foreign, and shall give all information required by in which the ship or aircraft may be, the latter, insofar as permitted by the and in all matters relating to such requirements of military security. cargo, the procedure prescribed for pri- (c) The commanding officer shall vate merchant vessels and aircraft allow no intercourse with a port or shall be followed. Government-owned area or with other ships or aircraft stores or cargo in such ship or aircraft until he has consulted local health au- not landed nor intended to be landed thorities when: nor in any manner trafficked in, are, (1) Doubt exists as to the sanitary by the established precedent of inter- regulations or health conditions of the national courtesy, exempt from cus- port or area. toms duties, but a declaration of such (2) A quarantine condition exists stores or cargo, when required by local aboard his ship or aircraft. customs regulations, shall be made. (3) Coming from a suspected port or Commanding officers shall prevent, as area, or one actually under quarantine. far as possible, disputes with the local

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authorities in such cases, but shall pro- §§ 700.766—700.767 [Reserved] tect the ship or aircraft and the Gov- ernment-owned stores and cargo from § 700.768 Care of ships, aircraft, vehi- any search or seizure. cles and their equipment. (c) Upon arrival from a foreign coun- The commanding officer shall cause try, at the first port of entry in United such inspections and tests to be made States territory, the commanding offi- and procedures carried out as are pre- cer, or the senior officer of ships or air- scribed by competent authority, to- craft in company, shall notify the col- gether with such others as he deems lector of the port. Each individual necessary to ensure the proper preser- aboard shall, in accordance with cus- vation, repair, maintenance, and oper- toms regulations, submit a list of arti- ation of any ship, aircraft, vehicle, and cles purchased or otherwise acquired their equipment assigned to his com- by him abroad. Dutiable articles shall mand. not be landed until the customs officer has completed his inspection. Subpart H—Precedence, (d) Commanding officers of naval ves- Authority, and Command sels and aircraft transporting United States civilian and foreign military § 700.811 Exercise of authority. and civilian passengers shall satisfy (a) All persons in the naval service on themselves that the passenger clear- active service, and those on the retired ance requirements of the Immigration list with pay, and transferred members and Naturalization Service are com- of the Fleet Reserve and the Fleet Ma- plied with upon arrival at points with- rine Corps Reserve, are at all times in the jurisdiction of the United subject to naval authority. While on States. Clearance for such passengers active service they may, if not on leave by an immigration officer is necessary of absence except as noted below, on upon arrival from foreign ports and at the sick list, taken into custody, under the completion of movements between arrest, suspended from duty, in con- any of the following: Continental Unit- finement, or otherwise incapable of dis- ed States (including Alaska and Ha- charging their duties, exercise author- waii), Canal Zone, Puerto Rico, Virgin ity over all persons who are subordi- Islands, Guam, American Samoa, or nate to them. other outlying places subject to United (b) A person in the naval service, al- States jurisdiction. Commanding offi- though on leave, may exercise author- cers prior to arriving shall advise the ity: cognizant naval or civilian port au- (1) When in a naval ship or aircraft thority of the aforementioned pas- and placed on duty by the commanding sengers aboard and shall detain them officer or aircraft commander. for clearance as required by the Immi- (2) When in a ship or aircraft of the gration and Naturalization Service. armed services of the United States, (e) The provisions of this article shall other than a naval ship or aircraft, as not be construed to require delaying the commanding officer of naval personnel embarked, or when placed on the movements of any ship or aircraft duty by such officer. of the Navy in the performance of the (3) When senior officer at the scene of assigned duty. a riot or other emergency, or when § 700.765 Environmental pollution. placed on duty by such officer. The commanding officer shall cooper- §§ 700.812—700.816 [Reserved] ate with local, state and other governmental authorities in the prevention, § 700.817 Authority of an officer who control and abatement of environ- succeeds to command. mental pollution to the extent re- (a) An officer who succeeds to com- sources and operational considerations mand due to incapacity, death, depar- permit. He shall be aware of existing ture on leave, detachment without re- policies regarding polution control and lief, or absence due to orders from com- he should recommend remedial meas- petent authority of the officer detailed ures when appropriate. to command has the same authority

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and responsibility as the officer whom § 700.901 The senior officer present. he succeeds. Unless some other officer has been so (b) An officer who succeeds to com- designated by competent authority, mand during the temporary absence of the ‘‘senior officer present’’ is the sen- the commanding officer shall make no ior line officer of the Navy on active changes in the existing organization, duty, eligible for command at sea, who and shall endeavor to have the routine is present and in command of any part and other affairs of the command car- of the Department of the Navy in the ried on in the usual manner. locality or within an area prescribed by (c) When an officer temporarily suc- competent authority, except where per- ceeding to command signs official cor- sonnel of both the Navy and the Marine respondence, the word ‘‘Acting’’ shall Corps are present on shore and the offi- appear below his signature. cer of the Marine Corps who is in command is senior to the senior line officer §§ 700.818—700.829 [Reserved] of the Navy. In such cases, the officer of the Marine Corps shall be the senior § 700.830 Authority of a sentry. officer present on shore.

A sentry, within the limits stated in § 700.902 [Reserved] his orders, has authority over all persons on his post. § 700.903 Authority and responsibility. At all times and places not excluded §§ 700.831—700.833 [Reserved] in these regulations, or in orders from § 700.834 Orders to active service. competent authority, the senior officer present shall assume command and di- (a) No person who is not on active rect the movements and efforts of all service or leave of absence shall be or- persons in the Department of the Navy dered into active service or on duty present, when, in his judgment, the ex- without permission of the Com- ercise of authority for the purpose of mandant of the Marine Corps, or the cooperation or otherwise is necessary. Chief of Naval Personnel, except: He shall exercise his authority in a (1) In the case of a person on leave of manner consistent with the full oper- absence by the officer who granted the ational command vested in the com- leave or a superior. manders of unified or specified com- (2) By the senior officer present on a mands. foreign station. § 700.904 Authority of senior officer of (b) In the event that the senior offi- the Marine Corps present. cer present of a foreign station issues The authority and responsibility of any orders as contemplated by this ar- the senior officer present are also con- ticle, he shall report the facts, includ- ferred upon the senior commanding of- ing the reasons for issuing such orders, ficer of the Marine Corps present with to the Chief of Naval Personnel or the respect to those units of the Marine Commandant of the Marine Corps, Corps, including Navy personnel at- without delay. tached, which are in the locality and (c) Retired officers of the Navy and not under the authority of the senior Marine Corps may be ordered to active officer present. service, with their consent, in time of peace. In time of war or a national §§ 700.905—700.921 [Reserved] emergency, such retired officers may, § 700.922 Shore patrol. at the discretion of the Secretary of the Navy, be ordered to active service. (a) When liberty is granted to any considerable number of persons, except in an area that can absorb them with- Subpart I—The Senior Officer out danger of disturbance or disorder, Present the senior officer present shall cause to be established, temporarily or perma- SOURCE: 39 FR 7220, Feb. 25, 1974 unless oth- nently, in charge of an officer, a suffi- erwise noted. cient patrol of officers, petty officers,

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and noncommissioned officers to main- §§ 700.924—700.934 [Reserved] tain order and suppress any unseemly conduct on the part of any person on § 700.935 Exercise of power of consul. liberty. The senior patrol officer shall When upon the high seas or in any communicate with the chief of police foreign port where there is no resident or other local officials and make such consul of the United States, the senior arrangements as may be practicable to officer present afloat has the authority aid the patrol in carrying out its duties to exercise all powers of a consul in re- properly. Such duties may include pro- lation to mariners of the United viding assistance to military personnel States. in relations with civil courts and police, arranging for release of service §§ 700.936—700.939 [Reserved] personnel from civil authorities to the parent command, and providing other § 700.940 Granting of asylum and tem- services that favorably influence dis- porary refuge. cipline and morale. (a) If an official of the Department of (b) A patrol shall not be landed in the Navy is requested to provide asy- any foreign port without first obtain- lum or temporary refuge, the following ing the consent of the proper local offi- procedures shall apply: cials. Tact must be used in requesting (1) On the high seas or in territories permission; and, unless it is given will- under exclusive United States jurisdic- ingly and cordially, the patrol shall tion (including territorial seas, the not be landed. If consent cannot be ob- Commonwealth of Puerto Rico, terri- tained, the size of liberty parties shall tories under United States administra- be held to such limits as may be nection, and possessions): essary to render disturbances unlikely. (i) At his request, an applicant for (c) Officers and men on patrol duty in asylum will be received on board any a foreign country normally should not naval aircraft or water-borne craft, be armed. In the United States, officers Navy or Marine Corps activity or sta- and men may be armed as prescribed tion. by the senior officer present. (ii) Under no circumstances shall the (d) No officer or man who is a mem- person seeking asylum be surrendered ber of the shore patrol or beach guard, to foreign jurisdiction or control, un- or is assigned in support thereof, shall less at the personal direction of the partake of or indulge in any form of in- Secretary of the Navy or higher au- toxicating beverage or other form of thority. Persons seeking political asy- intoxicant while on duty, on post, or at lum should be afforded every reason- other times prescribed by the senior able care and protection permitted by patrol officer. The senior patrol officer the circumstances. shall ensure that the provisions of this (2) In territories under foreign juris- paragraph are strictly observed and diction (including foreign territorial shall report promptly in writing to the seas, territories, and possessions): senior officer present all violations of (i) Temporary refuge shall be granted these provisions that may come to his for humanitarian reasons on board a notice. All officers and men of the pa- naval aircraft or water-borne craft, trol shall report to the senior patrol of- Navy or Marine Corps activity or sta- ficer all violations of the provisions of tion, only in extreme or exceptional this paragraph on the part of those circumstances wherein life or safety of under them. a person is put in imminent danger, such as pursuit by a mob. When tem- § 700.923 Precautions for health. porary refuge is granted, such protec- The senior officer present shall take tion shall be terminated only when di- precautions to preserve the health of rected by the Secretary of the Navy or the persons under his authority. He higher authority. shall obtain information regarding the (ii) A request by foreign authorities healthfulness of the area and medical for return of custody of a person under facilities available therein and shall the protection of temporary refuge will adopt such measures as are required by be reported to the CNO or Commandant the situation. of the Marine Corps. The requesting

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foreign authorities will be informed them, or withhold them from those that the case has been referred to high- persons authorized to have access to er authorities for instructions. them. (iii) Persons whose temporary refuge is terminated will be released to the § 700.1116 Disclosure and publication protection of the authorities des- of information. ignated in the message authorizing re- (a) No person in the Department of lease. the Navy shall convey or disclose by (iv) While temporary refuge can be oral or written communication, graph- granted in the circumstances set forth ic (including photographic) or other above, permanent asylum will not be means, any classified information ex- granted. cept as provided in the Department of (v) Foreign nationals who request as- the Navy Information Security Pro- sistance in forwarding requests for po- gram Regulation. Additionally, no per- litical asylum in the United States will son in the Department of the Navy be advised to apply in person at the shall communicate or otherwise deal nearest American Embassy or Con- with foreign entities, even on an un- sulate. classified basis, when such would com- (3) The Chief of Naval Operations or mit the Department of the Navy to dis- Commandant of the Marine Corps, as close classified military information, appropriate, will be informed by the except as may be required in his offi- most expeditious means of all action cial duties and only after coordination taken pursuant to paragraphs (a)(1) with and approval by the release au- and (a)(2) of this section, as well as the thority stipulated in the Department attendant circumstances. Telephone or of the Navy Information Security Pro- voice communications will be used gram Regulation. where possible, but must be confirmed (b) No person in the Department of as soon as possible with an immediate the Navy shall convey or disclose by precedence message, information to oral or written communication, publi- the Secretary of State (for actions cation, or other means, except as may taken pursuant to paragraphs (a)(2)(i) be required by his official duties, any and (a)(2)(v) of this section, also make information concerning the Depart- the appropriate American Embassy or ment of Defense or forces, or any per- Consular Office an information ad- son, thing, plan or measure pertaining dressee). If communication by tele- thereto, where such information might phone or voice is not possible, notifica- be of possible assistance to a foreign tion will be effected by an immediate power; nor shall any person in the De- precedence message, as described partment of the Navy make any public above. The Chief of Naval Operations speech or permit publication of any ar- or Commandant of the Marine Corps ticle written by or for him which is will cause the Secretary of the Navy prejudicial to the interests of the Unit- and the Deputy Director for Operations ed States. The regulations concerned of the National Military Command with the release of information to the Center to be notified without delay. public through any media will be as (b) Personnel of the Department of prescribed by the Secretary of the the Navy shall neither directly nor in- Navy. directly invite persons to seek asylum (c) No person in the Department of or temporary refuge. the Navy shall disclose any information whatever, whether classified or [41 FR 18074, Apr. 30, 1976] unclassified, or whether obtained from official records or within the knowl- Subpart J—Rights and Responsibil- edge of the relator, which might aid or ities of Persons in the Depart- be of assistance in the prosecution or ment of the Navy support of any claim against the Unit- ed States. The prohibitions prescribed § 700.1115 Control of official records. by the first sentence of this paragraph No person, without proper authority, are not applicable to an officer or em- shall withdraw official records or cor- ployee of the United States who is act- respondence from the files, or destroy ing in the proper course of, and within

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the scope of, his official duties, proof the Manual of the Judge Advocate vided that the disclosure of such infor- General. mation is otherwise authorized to be disclosed by statute, Executive order of §§ 700.1118—700.1119 [Reserved] the President, or departmental regulation. § 700.1120 Rules for preventing collisions, afloat and in the air. (d) Any person in the Department of the Navy receiving a request from the (a) All persons in the naval service public for Department of the Navy responsible for the operation of naval records shall be governed by security ships, craft and aircraft shall diligently classification markings, distribution observe the International Rules for statements on technical documents, Preventing Collisions at Sea, (com- and the term ‘‘For Official Use Only’’ monly called International Rules of the which may be used to identify material Road) Inland Rules of the Road, domes- or records not to be released to the tic and international air traffic regula- general public. The general regulations tions, and such other rules and regula- concerned with the availability to the tions as may be established by the Sec- public of the Department of the Navy retary of Transportation or other com- records shall be as prescribed by the petent authority for regulating traffic Secretary of the Navy. and preventing collisions on the high (e) Persons in the Department of the seas, in inland waters, or in the air, where such laws, rules and regulations Navy desiring to submit manuscripts are applicable to naval ships and air- to commercial publishers, or profes- craft. In those situations where such sional, political or international sub- law, rule or regulation is not applicable jects shall comply with regulations to naval ships, craft or aircraft they promulgated by the Secretary of the shall be operated with due regard for Navy. safety of others. (f) No person in the naval service on (b) Any significant infraction of the active duty or civilian employee of the laws, rules and regulations governing Department of the Navy shall act as traffic or designed to prevent collisions correspondent of a news service or peri- on the high seas, in inland waters, or in odical, or as a television or radio news the air, which may be observed by per- commentator or analyst, unless as- sons in the naval service shall be signed to such duty in connection with promptly reported to their superiors, the public affairs activities of the De- including the Chief of Naval Operations partment of the Navy, or authorized by or Commandant of the Marine Corps the Secretary of the Navy. Except as when appropriate. authorized by the Secretary of the (c) Reports need not be made under Navy, no person assigned to duty in this article if the facts are otherwise connection with public affairs activi- reported in accordance with other di- ties of the Department of the Navy rectives, including duly authorized shall receive any compensation for act- safety programs. ing as such correspondent, commentator, or analyst. §§ 700.1121—700.1132 [Reserved] [39 FR 7135, Feb. 25, 1974, as amended at 41 FR 18075, Apr. 30, 1976; 45 FR 80279, Dec. 4, § 700.1133 Use of title for commercial 1980] enterprises. No person in the naval service shall, § 700.1117 Official records in civil while on extended naval service, use courts. his grade or rating in connection with No person in the Department of the a commercial enterprise. ‘‘Extended Navy shall produce or release any offi- naval service,’’ for the purposes of this cial record in response to a subpoena article, is defined as active duty, other duces tecum, motion for discovery, in- than active duty for training, under a terrogatory or otherwise in a civil suit, call or order that does not specify a pe- or in connection with preliminary in- riod of thirty days or less. This article vestigations by attorneys or others ex- shall not apply to a person who is not cept in accordance with the provisions on active service, nor shall it apply to

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authorship of any material for publica- reaus, offices or commands of the Navy tion, by persons on either active or in- Department. active service, provided that such material is published in accordance with §§ 700.1145—700.1149 [Reserved] existing regulations. § 700.1150 Alcoholic liquors. §§ 700.1134—700.1142 [Reserved] (a) Except as may be authorized by the Secretary of the Navy, the intro- § 700.1143 Return of Government property on release from active service. duction, possession or use of alcoholic liquors for beverage purposes on board When a person is released from active any ship, craft, aircraft, or in any vehi- service, he shall return all Government cle of the Department of the Navy is property in his possession to his com- prohibited. The transportation of alco- manding officer or other competent au- holic liquors for personal use ashore is thority. authorized, subject to the discretion of § 700.1144 Issue or loan of public prop- the officer in command or officer in erty. charge, or higher authority, when the liquors are delivered to the custody of (a) Except as prescribed in this arti- the officer in command or officer in cle, public property including supplies, charge of the ship, craft, or aircraft in shall not be issued, on loan or other- sealed packages, securely packed, prop- wise, to any state, organization, or pri- erly marked and in compliance with vate individual except by special authority of Congress. customs laws and regulations, and stored in securely locked compart- (b) When so authorized by the senior ments, and the transportation can be officer present, a commanding officer may issue such supplies as can be performed without undue interference spared to those in distress in the event with the work or duties of the ship, of a public exigency or calamity, or to craft, or aircraft. Whenever alcoholic vessels in distress, and, when so au- liquor is brought on board any ship, thorized, he may issue rations and ne- craft, or aircraft for transportation for cessities to destitute seamen and air- personal use ashore, the person who men of the United States who are re- brings it on board shall at that time ceived on board. The supply officer file with the officer in command or of- making such an issue shall do so only ficer in charge of the ship, craft, or air- pursuant to an order in writing, shall craft, a statement of the quantity and procure receipts when practicable for kind of alcoholic liquor brought on the supplies issued, and shall render ac- board by him, together with his certifi- counts for such supplies in accordance cation that its importation will be in with the instructions contained in the compliance with customs and internal Naval Supply System Command Man- revenue laws and regulations and appli- ual or the Marine Corps Supply Man- cable State or local laws at the place of ual, as appropriate. debarkation. (c) Public property, except aircraft, (b) The introduction, possession, and may be loaned by the commandant of a use of alcoholic liquors for beverage naval district to a state located within purposes or for sale is authorized with- the district and maintaining naval mi- in naval activities and other places litia organizations, for use by a naval ashore under naval jurisdiction, to the militia organization in that state, pro- extent and in such manner as the Sec- vided that 95 percent of the personnel retary of the Navy may prescribe. of the last-mentioned organization are attached to or associated with a unit of § 700.1151 Responsibilities concerning the naval reserve, and provided that marijuana, narcotics, and other the naval militia organization con- controlled substances. forms to the standards prescribed by (a) All personnel shall endeavor to the Secretary of the Navy for similar prevent and eliminate the unauthor- organizations of the Naval Reserve. A ized use of marijuana, narcotics, and report of such loans shall be made by other controlled substances within the the commandant to the interested bu- naval service.

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(b) Except for authorized medicinal § 700.1202 Issuances concerning mat- purposes, the introduction, possession, ters over which control is exer- use, sale, or other transfer of mari- cised. juana, narcotic substances or other Responsible officers and officials of controlled substances on board any the Department of the Navy may issue, ship, craft, or aircraft of the Depart- or cause to be issued, orders, instruc- ment of the Navy or within any naval tions, directives, manuals or similar station or other place under the juris- publications concerning matters over diction of the Department of the Navy, which they exercise command, control, or the possession, use, sale, or other or supervision. transfer of marijuana, narcotic substances or other controlled substances PART 701—AVAILABILITY OF DE- by persons in the naval service, is pro- PARTMENT OF THE NAVY hibited. RECORDS AND PUBLICATION OF (c) The term controlled substance DEPARTMENT OF THE NAVY means: a drug or other substance in- DOCUMENTS AFFECTING THE cluded in Schedule I, II, III, IV, or V es- PUBLIC tablished by section 202 of the Com- prehensive Drug Abuse Prevention and Subpart A—Department of the Navy Control Act of 1970 (84 Stat. 1236), as Freedom of Information Act Program updated and republished under the provisions of that Act. Sec. 701.1 Purpose. 701.2 Applicability. §§ 700.1152—700.1160 [Reserved] 701.3 Definitions. 701.4 Policy. § 700.1161 Endorsement of commercial 701.5 Responsibility and authority. product or process. 701.6 Format and procedures for requesting Except as necessary during contract information under FOIA. 701.7 Procedures for processing FOIA re- administration to determine specifica- quests. tion or other compliance, no person in 701.8 Records requiring special handling. the Department of the Navy, in his of- 701.9 For Official Use Only. ficial capacity, shall endorse or express 701.10 FOIA appeals/judicial actions. an opinion of approval or disapproval 701.11 Publication, indexing, and public inspection of certain classes of records. of any commercial product or process. Subpart B—FOIA Exemption Guidelines Subpart K—Purpose and Force of 701.21 General. Regulations within the Depart- 701.22 Exemption (b)(1). ment of the Navy 701.23 Procedures for processing classified documents. § 700.1201 Purpose and force of United 701.24 Exemption (b)(2). States Navy Regulations. 701.25 Exemption (b)(3). 701.26 Exemption (b)(4). United States Navy Regulations is 701.27 Exemption (b)(5). the principal regulatory document of 701.28 Exemption (b)(6). the Department of the Navy, endowed 701.29 Exemption (b)(7). with the sanction of law, as to duty, re- 701.30 Exemption (b)(8). 701.31 Exemption (b)(9). sponsibility, authority, distinctions, and relationships of various commands, Subpart C—Addresses for Department of officials, and individuals. Other regula- the Navy Records and Locations for tions, instructions, orders, manuals, or Public Inspection similar publications, shall not be issued within the Department of the 701.31 Addresses for requests for Depart- ment of the Navy records. Navy which conflict with, alter or 701.32 Locations at which Department of amend any provision of Navy Regula- the Navy records are available for public tions. inspection.

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Subpart D—Fee Guidelines 701.118 Exemptions for specific Navy record systems. 701.40 FOIA fees. 701.119 Exemptions for specific Marine Corps 701.41 Definitions. records systems. 701.42 Application. AUTHORITY: 5 U.S.C. 552. 701.43 Fee restrictions. 701.44 Fee waivers. EDITORIAL NOTE: For nomenclature 701.45 Fee assessment. changes for this part see 59 FR 29721, June 9, 701.46 Aggregating requests. 1994. 701.47 Effect of the Debt Collection Act of 1982 (Pub. L. 97-365). Subpart A—Department of the 701.48 Computation of fees. 701.49 Collection of fees. Navy Freedom of Information 701.50 Search time costs. Act Program 701.51 FOIA fee remittance/receipt controls. 701.52 Technical data fees. SOURCE: 56 FR 66574, Dec. 24, 1991, unless 701.53 Other technical data records. otherwise noted.

Subpart E—Indexing, Public Inspection, § 701.1 Purpose. and Federal Register Publication of Subparts A, B, C, and D of this part Department of the Navy Directives implement the Freedom of Information and Other Documents Affecting the Act (5 U.S.C. 552), and the Department Public. of Defense Directives 5400.7 and 5400.7-R series1, Department of Defense Free- 701.61 Purpose. 701.62 Scope and applicability. dom of Information Act Program, (See 701.63 Policy. 32 CFR part 286) and promote uniform- 701.64 Publication of adopted regulatory ity in the Department of the Navy documents for the guidance of the public. Freedom of Information Act (FOIA) 701.65 Availability, public inspection, and Program. It is written to provide guid- indexing of other documents affecting ance to members of the public on how the public. and where to submit FOIA requests and 701.66 Publication of proposed regulations appeals within the Department of the for public comment. Navy. 701.67 Petitions for issuance, revision, or cancellation of regulations affecting the public. § 701.2 Applicability. Subparts A, B, C, and D of this part Subpart F—Department of the Navy apply throughout the Department of Privacy Act Program the Navy. It governs disclosure of agency records to ‘‘any person,’’ which 701.100 Purpose. 701.101 Applicability. means that any individual, to include 701.102 Definitions. foreign citizens, partnerships, corpora- 701.103 Policy. tions, associations and foreign, state, 701.104 Responsibility and authority. or local governments, may use the 701.105 Systems of records. FOIA to obtain information. The ex- 701.106 Safeguarding records in systems of ception to that policy is that it does records. not apply to Federal agencies or to fu- 701.107 Criteria for creating, altering, amend- gitives from justice. ing, and deleting Privacy Act systems of (a) Requests from state or local govern- records. 701.108 Collecting information about individ- ment officials. Requests from state or uals. local government officials for naval 701.109 Access to records. records are treated the same as any 701.110 Amendment of records. other requester. 701.111 Privacy Act appeals. (b) Requests from foreign governments. 701.112 Disclosure of records. Requests from foreign governments for 701.113 Exemptions. naval records are treated the same as 701.114 Enforcement actions. any other requester. However, requests 701.115 Computer matching program.

Subpart G—Privacy Act Exemptions 1 Copies may be obtained if needed, from the U.S. Naval Publications and Forms Cen- 701.116 Purpose. ter, Attn: Code 1053, 5801 Tabor Avenue, 701.117 Exemption for classified records. Philadelphia, PA 19120.

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from foreign governments that do not tices authorized in that instruction invoke the FOIA shall be referred to conflict in any respect, the provisions appropriate foreign disclosure channels of these subparts shall be controlling. and the requester so notified. (f) U.S. Navy Regulations. Release of a (c) Privileged release to U.S. Govern- record to a member of the public under ment officials. Naval records may be au- FOIA shall be deemed to have occurred thenticated and released to U.S. Gov- in the discharge of official duties (Arti- ernment officials if they are requesting cle 1120, U.S. Navy Regulations (1990)). them on behalf of Federal govern- Process a request by a member of the mental bodies, whether legislative, ex- public under the instructions outlined ecutive, administrative, or judicial. in Section 3 of Chapter 11, U.S. Navy For example: Regulations. (1) To a committee or subcommittee (g) Other directives. The following di- of Congress, or to either House sitting rectives, and other directives and in- as a whole. structions cited in part 701, to the ex- (NOTE: Requests from Members of Congress tent they do not conflict, provide addi- who are not seeking records on behalf of a tional information relating to subparts Congressional Committee, Subcommittee, or A, B, C, and D of this part. Should the either House sitting as a whole, but on be- practices authorized in the directives half of their constituents, are treated the same as any other requester). conflict in any respect, the provisions of these subparts shall be controlling. (2) To the Federal courts, whenever (1) Marine Corps Manual, paragraph ordered by officers of the court as nec- 1015 (NOTAL); Marine Corps Order essary for the proper administration of P5720.56, Availability to the Public of justice. Marine Corps Records (NOTAL); and (3) To other Federal agencies, both for Headquarters, U.S. Marine Corps, executive and administrative, as deter- HQO P5000.12, Chapter 10 (NOTAL) and mined by the head of a naval activity HQO 5720.9 (NOTAL). or designee. In those instances, naval activities (2) Federal Personnel Manual, chap- shall mark the records as ‘‘Privileged’’ ters 293, 294, 297, 335, 339, and 713 and ‘‘Exempt from Public Disclosure.’’ (NOTAL)—release of information from Any special handling instructions shall active and inactive civilian personnel also be annotated on the records. Be- records. cause such releases are not made under (3) Manual of the Medical Depart- the provisions of the FOIA, they do not ment, U.S. Navy (NAVMED P-117), impact on future decisions to release/ Chapters 23-70 through 23-79 (NOTAL) deny requests for the same records to release of information from active and other requesters. inactive medical records. (d) Publication and public availability (4) JAGINST 5800.7C, Manual of the of special classes of records. The require- Judge Advocate General (JAGMAN), ments of 5 U.S.C. 552 that certain class- Chapter V (NOTAL). es of Department of the Navy regu- (h) Relationship between FOIA and the latory, rulemaking, and organizational Privacy Act (PA). Not all requesters are records must be published in the FED- knowledgeable of the appropriate stat- ERAL REGISTER for the guidance of the utory authority to cite when request- public and made available for public in- ing records. In some instances, they spection and copying are implemented may cite neither Act, but will imply in 32 CFR part 701, subpart C. one or both Acts. For those reasons, (e) Public affairs regulations. Subparts the following guidelines are provided A, B, C, and D of this part are intended to ensure that requesters receive the to complement, not restrict, the con- greatest amount of access rights under duct of Department of the Navy public both Acts. affairs, media relations, community re- (1) Requesters who seek records lations and internal relations functions about themselves contained in a PA and practices authorized in Secretary system of records and who cite or of the Navy Instruction 5720.44 series, imply PA, will have their requests ‘‘Department of the Navy Public Af- processed under the provisions of PA fairs Regulations.’’ Should the prac- (see subpart F of this part).

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(2) Requesters who seek records (i) Objects or articles, such as struc- about themselves which are not con- tures, furniture, paintings, sculpture, tained in a PA system of records and three-dimensional models, vehicles, who cite or imply PA, will have their equipment, and parts of wrecked air- requests processed under FOIA provi- craft and ships, whatever their histori- sions, since they have no access under cal value, or value as evidence. PA. (ii) Administrative tools by which (3) Requesters who seek records records are created, stored, and re- about themselves which are contained trieved, if not created or used as in a PA system of records and who cite sources of information about organiza- or imply FOIA or both Acts will have tions, policies, functions, decisions, or their requests processed under the time procedures of a naval activity. Nor- limits of FOIA and the exemptions and mally, computer software, including fees of PA. That is appropriate since source code, object code, and listings of greater access will be received under source and object codes, regardless of PA. medium are not agency records (that (4) Requesters who seek access to does not include the underlying data agency records and who cite or imply which is processed and produced by PA and FOIA, will have their requests such software and which may in some processed under FOIA. instances be stored with the software). (5) Requesters who seek access to Exceptions to this position are out- agency records and who cite or imply lined in § 701.3(b)(3). FOIA, will have their requests proc- (iii) Anything that is not a tangible essed under FOIA. or documentary record, such as an in- If the requester has failed to cite the dividual’s memory or oral communica- appropriate Act, naval activities shall tion. apprise the requester in the final re- (iv) Personal records of an individual sponse under which Act his/her request not subject to agency creation or re- was processed. tention requirements, created and maintained primarily for the conven- § 701.3 Definitions. ience of an agency employee, and not (a) FOIA request. A written request distributed to other agency employees for Department of the Navy records, for their official use. made by ‘‘any person,’’ including a (v) Information stored within a com- member of the public (U.S. or foreign puter for which there is no existing citizen), an organization, or a business, computer program for retrieval of the but not including a Federal agency or a requested information. fugitive from the law that either ex- (3) In some instances, computer soft- plicitly or implicitly invokes 5 U.S.C. ware may have to be treated as a agen- 552, Department of Defense Directives cy record and processed under the 5400.7 and 5400.7-R series, ‘‘Department FOIA. Such situations are rare and of Defense Freedom of Information Act shall be treated on a case-by-case basis. Program’’ (see 32 CFR part 286) and/or Examples of when computer software subparts A, B, C, and D of this part. may have to be treated as an agency (b) Agency record. (1) The products of record are: data compilation, such as all books, pa- (i) When the data is embedded within pers, maps, and photographs, machine the software and cannot be extracted readable materials, or other documen- without the software. In that situation, tary materials, regardless of physical both the data and the software must be form or characteristics, made or re- reviewed for release or denial under ceived by an agency of the United FOIA. States Government under Federal law (ii) Where the software itself reveals or in connection with the transaction information about organizations, poli- of public business and in Department of cies, functions, decisions, or procedures the Navy’s possession and control at of a naval activity, such as computer the time a FOIA request is made. models used to forecast budget outlays, (2) The following are not included in calculate retirement system costs, or this definition: optimization models or travel costs.

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Review exemptions (b)(4) and (b)(5) at record’’ response if he/she believes an § 701.26 and § 701.27 of subpart B of this adequate search was not conducted. part for guidance on release determina- (g) Public interest. Public interest is tions of computer software. official information that sheds light on (4) A record must exist and be in the a naval activity’s performance of its possession and control of the Depart- statutory duties because it falls within ment of the Navy at the time of the re- the statutory purpose of FOIA in in- quest to be considered subject to this forming citizens about what their gov- part and the FOIA. There is no obliga- ernment is doing. That statutory pur- tion to create, compile, or obtain a pose, however, is not fostered by disclo- record to satisfy a FOIA request. sure of information about private citi- (5) If unaltered publications and proc- zens that is accumulated in various essed documents, such as regulations, manuals, maps, and related geo- governmental files that reveals little physical materials are available to the or nothing about an agency’s or offi- public through an established distribu- cial’s own conduct. tion system with or without charge, (h) Electronic data. Electronic data the provisions of 5 U.S.C. 552(a)(3) nor- are those records and information mally do not apply and they need not which are created, stored, and re- be processed under the FOIA. Nor- trieved by electronic means. This does mally, documents disclosed to the pub- not include computer software, which lic by publication in the FEDERAL REG- is the tool by which to create, store, or ISTER also require no processing under retrieve electronic data. the FOIA. In such cases, naval activities should direct the requester to the [56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29721, June 9, 1994] appropriate source to obtain the record. § 701.4 Policy. (c) Release authority. Release authorities are commanding officers and heads It is Department of the Navy policy of Navy and Marine Corps shore activi- to make its records available to re- ties or their designee that are author- questers in accordance with FOIA. ized to furnish copies of records under When requested, Navy and Marine their cognizance for which no FOIA ex- Corps activities shall assist requesters emption applies. in complying with the administrative (d) Initial Denial Authority (IDA). An requirements necessary to request ma- official who has been granted authority terials sought under the Act. to withhold records under FOIA, either (a) Openness with the public. The pub- in whole or in part, based on the FOIA lic has a right to information concern- exemptions. IDAs may also grant or ing the activities of its government. deny requests for reduction or waiver Department of the Navy policy is to of fees. See § 701.5 for a list of IDAs. conduct its activities in an open man- (e) Appellate authority. The Secretary ner and to provide the public with a of the Navy (SECNAV) has delegated maximum amount of accurate and his appellate authority to the Navy timely information concerning its ac- Judge Advocate General (NJAG) and tivities, consistent always with the le- the General Counsel (OGC) to rule on administrative appeals of denials of gitimate public and private interests of FOIA requests for information under the American people. A Department of their cognizance, as outlined in § 701.10. the Navy record requested by a mem- (f) Administrative appeal. A request by ber of the public who follows rules es- a member of the general public, made tablished by proper authority shall under FOIA, asking the appellate au- only be withheld when it is exempt thority to reverse the IDA’s decision to from mandatory public disclosure withhold all or part of a requested based on one or more of the nine FOIA record or to deny a request for waiver exemptions. or reduction of fees. A requester may (b) Avoidance of procedural obstacles. also file an administrative appeal for Naval activities shall ensure that pro- non-response to a FOIA request within cedural matters do not unnecessarily the statutory time limits or for a ‘‘no

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impede a requester from obtaining De- (b)(7)(C)—personal information con- partment of the Navy records prompt- tained in investigatory records which if ly. Naval activities shall provide as- released would constitute an unwar- sistance to requesters to help them un- ranted invasion of privacy. Exemptions derstand and comply with procedures (b)(4), (b)(6), and (b)(7)(C) cannot be established by this instruction. Fees claimed for information which was sup- shall not be used to discourage request- plied by the requester of the informa- ers (see subpart D of this part). tion. (c) Prompt action on requests. When a (e) Public domain. Nonexempt records requester complies with the procedures released under this instruction are con- established in this instruction for ob- sidered in the public domain. Exempt taining naval records, the request shall receive prompt attention. A reply shall records released under this instruction be dispatched within 10 working days, or other statutory or regulatory au- unless a delay is authorized. If a naval thority may be considered to be in the activity has a significant number of re- public domain only when their release quests (i.e., 10 or more), the requests constitutes a waiver of a FOIA exemp- shall be processed in order of receipt. tion. When release does not constitute This, however, does not preclude a such a waiver, such as disclosure to a naval activity from acting on a request properly constituted advisory commit- which can be easily answered, regard- tee or a Congressional Committee, the less of its ranking within the order of released records do not lose their ex- receipt. A naval activity may also exempt status. Also, while authority may pedite action on a request regardless of exist to disclose records to individuals its ranking within the order of receipt in their official capacity, this instruc- upon a showing of exceptional need or tion applies if the same individual urgency. Exceptional need or urgency seeks the records in a private or per- is determined at the discretion of the sonal capacity. activity processing the request. (f) Creating a record. (1) A record must (d) Use of exemptions/discretionary re- exist and be in the possession and con- lease. Department of the Navy policy is trol of the Department of the Navy at to make records publicly available, un- the time of the search to be considered less they qualify for withholding under subject to FOIA. Mere possession of a one or more of the nine FOIA exemp- record does not presume departmental tions (see subpart B of this part for an control; such records, or identifiable in-depth review of the exemptions). portions, should be referred to the orig- Naval activities may elect to make a inating activity for direct response to discretionary release. A discretionary the requester. There is no obligation to release to one requester may, however, create or compile a record to satisfy a preclude the withholding of similar in- FOIA request. A naval activity may, formation under a FOIA exemption if subsequently requested by the same in- however, compile a new record if it is a dividual or someone else. Suggest the more useful response to the requester, following language be included with or less burdensome to the naval activ- the discretionary release of any record ity than providing existing records, that could be subject to withholding: and the requester does not object. The cost of creating or compiling such a The information you requested is subject record may not be charged to the re- to being withheld under section (b) of the Freedom of Information Act. The release of quester unless the fee for creating the this material to you by the Department of record is equal to or less than the fee the Navy is discretionary and does not con- which would be charged for providing stitute a waiver of our right to claim this ex- the existing record. See subpart D of emption for similar records in the future. this part for fees. Additionally, a discretionary release (2) With respect to electronic data, is generally not appropriate for records the issue of whether records are actu- exempt from disclosure under exemp- ally or merely extracted from an exist- tions (b)(1)—classified; (b)(3)—exempting database is not always readily ap- ed by statute; (b)(4)—trade secret/pro- parent. Consequently, when responding prietary; (b)(6)—personal privacy; and to FOIA requests for electronic data

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where creation of a record, program- Program (see 32 CFR part 286). CNO has ming, or particular format are ques- designated the Assistant Vice Chief of tionable, naval activities should apply Naval Operations (N09B30) as principal a standard of reasonableness (i.e., if the Department of the Navy FOIA Coordi- capability exists to respond to a re- nator to: quest, and the effort would be a ‘‘busi- (1) Set Department of the Navy pol- ness as usual’’ approach, then the re- icy on the provisions of the FOIA. quest should be processed; however, the (2) Serve as principal advisor on all request need not be processed when the FOIA matters. capability to respond does not exist (3) Oversee the administration of the without a significant expenditure of re- FOIA program, which includes prepar- sources, thus not being a normal ‘‘busi- ing the Department of the Navy An- ness as usual’’ approach). In such in- nual FOIA Report for submission to stances, the requester is advised that Congress. no record exists and the FOIA does not (4) Develop a Navy-wide FOIA train- require agencies to create or compile a ing program and serve as training-over- record to satisfy a FOIA request. sight manager. (g) Reasonably segregable information. (5) Conduct staff assistance visits FOIA requires that all ‘‘reasonably seg- within the Department of the Navy to regable’’ information must be released review compliance with 5 U.S.C. 552 when the meaning of these portions is and subparts A, B, C, and D of this not distorted by deletion of the denied part. portions, and when it reasonably can (6) Set Department of the Navy pol- be assumed that a skillful and knowl- icy on the marking, handling, safe- edgeable person could not reasonably guarding and transmission of docu- reconstruct the excised information. ments marked ‘‘For Official Use Only.’’ When a record is denied in whole, the response to the requester will specifi- (b) Commandant of the Marine Corps cally state that it is not reasonable to (CMC). CMC is responsible for admin- segregate portions of the record for re- istering and supervising the execution lease. of this instruction within the Marine (h) Special mail services. Naval activi- Corps. The Commandant has des- ties are authorized to use registered ignated the Director of Administration mail, certified mail, certificates of and Resource Management (Code AR) mailing, and return receipts. However, as the FOIA Coordinator for Head- this use should be limited to instances quarters, U.S. Marine Corps. where it appears advisable to establish (c) FOIA coordinator. Each addressee proof of dispatch or receipt of FOIA is responsible for implementing and ad- correspondence. ministering a FOIA program under this (i) Authentication of records released instruction. Each addressee shall des- under FOIA. In addition to the require- ignate a FOIA Coordinator to: ments of FOIA, records provided under (1) Serve as principal point of contact FOIA shall be authenticated when nec- on FOIA matters. essary to fulfill an official govern- (2) Provide training for activity/com- mental or other legal function. Au- mand personnel on the provisions of 5 thentication will be made with an ap- U.S.C. 552 and subparts A, B, C, and D propriate seal. This service is not in- of this part. cluded in the FOIA fee schedule and (3) Issue an implementing instruction naval activities may charge $5.20 for which designates the activity’s FOIA each authentication. Coordinator and Initial Denial Author- ity(ies), provides guidance on the § 701.5 Responsibility and authority. marking, handling, and safeguarding of (a) Chief of Naval Operations (CNO). documents marked FOUO, FOIA CNO is designated as the official re- records disposition, and FOIA process- sponsible for administering and super- ing procedures. vising the execution of 5 U.S.C. 552 and (4) Review internal directives, prac- Department of Defense Directives tices, and procedures, including those 5400.7 and 5400.7-R series, Department for forms and records, for conformity of Defense Freedom of Information Act with this instruction, when applicable.

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(5) Compile input and submit consoli- documents or records under his or her dated Annual FOIA Report to Echelon cognizance; to grant one 10-working 2 FOIA Coordinator, who, in turn, will day formal extension to the time limit provide consolidated report to CNO for responding to FOIA requests; and to (N09B30). deny requests to waive or reduce FOIA (6) Review activity conformance with fees when the information sought re- the marking, handling, transporting, lates to matters within their respective and safeguarding of FOUO information. geographical areas of responsibility or (7) Provide guidance on handling chain of command. FOIA requests and the scope of the (2) Within the Department of the FOIA exemptions. Navy, the following chief officials, (8) Review subpart C of this part and their respective vice commanders, dep- provide CNO (N09B30) with updated in- uties, and their principal assistants are formation, as appropriate. designated as IDAs. (9) Conduct staff assistance visits (i) Department of the Navy: Civilian within command and lower echelon Executive Assistants; CNO; CMC; Chief commands to ensure compliance with of Naval Personnel; Commanders of the FOIA. Naval Systems Commands, Office of (10) Echelon 2 FOIA Coordinators Naval Intelligence, Naval Security shall provide CNO (N09B30) with a com- Group Command, and Naval Computer plete listing of all FOIA Coordinators and Telecommunications Command; under their jurisdiction. Such informa- Chief, Bureau of Medicine and Surgery; tion should include activity name and Auditor General of the Navy; Naval In- address, office code, name of FOIA Co- spector General; Director, Office of Ci- ordinator, and commercial and autovon vilian Personnel Management; Chief of telephone numbers. Naval Education and Training; Com- (d) Release Authorities. (1) The role of mander, Naval Reserve Force; Chief of the release authority is to respond to Naval Research; Commander, Naval requests for documents under his/her Meteorology and Oceanography Com- cognizance for which no FOIA exemp- mand; heads of DON Staff Offices, tion applies. Release authorities are Boards, and Councils; Flag Officers. commanding officers and heads of all NJAG and his Deputy, and the OGC and Navy and Marine Corps activities (de- his Deputies, are excluded from this partmental and field). grant of authorization. While the (2) Release authorities are required NJAG and OGC are not Initial Denial to coordinate with officials having cog- Authorities, they are authorized to fur- nizance over the subject matter of the ther delegate the authority conferred requested record, if there is a question here to other senior officers/officials as to its releasability. However, if it is within NJAG and OGC. determined that a requested record re- (ii) Initial Denial Authorities may quires withholding, in whole or in part, choose to delegate initial denial au- the release authority must refer the thority to those major activities under documents along with recommenda- their control that receive voluminous tions regarding release to the initial requests. Such action is discretionary denial authority (IDA) in the chain of and should be limited. command. If geographically isolated, (iii) For the shore establishment: the release authority may forward the (A) All officers authorized under Ar- request to another IDA, if so author- ticle 22, Uniform Code of Military Jus- ized by the IDA in the chain of com- tice (UCMJ), or designated in section mand. 0120, Manual of the Judge Advocate (3) For records which are part of the General, to convene general courts- Navy’s Privacy Act (PA) systems of martial. records, the record custodian specified (B) Director, Naval Criminal Inves- in the systems notice is the appro- tigative Service and Deputy Com- priate authority to respond to the re- mander, Naval Legal Service Com- quest. mand. (e) Initial Denial Authorities (IDAs). (1) (iv) In the Operating Forces: All offi- The IDA role is to deny and grant re- cers authorized by Article 22, UCMJ, or quests, either in whole or in part, for designated in section 0120, Manual of

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the Judge Advocate General (JAGINST ment that enables the Government to 5800.7C), to convene general courts- locate the record with a reasonable martial. amount of effort. FOIA does not au- [56 FR 66574, Dec. 24, 1991, as amended at 59 thorize ‘‘fishing expeditions.’’ If a re- FR 29721, June 9, 1994] quest does not contain a reasonable description, the naval activity shall ad- § 701.6 Format and procedures for re- vise the requester of the defect and questing information under FOIA. when possible assist the requester in (a) Minimum requirements. In an effort reframing the request. Naval activities to eliminate any unnecessary burdens are not obligated to act on the request on members of the public, the Depart- until the requester responds with more ment of the Navy does not require re- specificity. When practical, naval ac- questers to complete a specific form to tivities shall assist the requester in file a FOIA request. A request can be identifying the records sought and in written or typed, but at a minimum reformulating the request to reduce should: the burden on the agency in complying (1) Be in writing and indicate ex- with FOIA. pressly, or clearly imply, that it is a (1) The following guidelines are pro- request under 5 U.S.C. 552, Department vided for ‘‘fishing expedition’’ requests of Defense Directives 5400.7 and 5400.7- and are based on the principle of rea- R, Department of Defense Freedom of sonable effort. Descriptive information Information Act Program (see 32 CFR about a record may be divided into two part 286), or subparts A, B, C, and D of broad categories—file related and this part. Verbal requests are not hon- event related. File related includes in- ored. formation on the type of record (e.g., (2) Contain a reasonable description memorandum, letter, etc.), title, index of the particular record(s) requested to citation, subject area, date the record enable naval personnel to locate or was created, and originator. Event re- identify the particular record(s) de- lated includes the circumstances re- sired with a reasonable amount of ef- sulting in the record’s creation or date fort. and circumstances surrounding the (3) Contain a clear statement of the event the record covers. requester’s willingness to pay all fees (2) Generally, a record is reasonably or those up to a specified amount if the described when the description con- fees are expected to exceed the mini- tains sufficient file related information mum fee waiver threshold, or provide to permit an organized non-random satisfactory evidence that he or she is search of the activity’s filing arrange- entitled to a waiver or reduction of ments and existing retrieval systems, such fees. or when the record contains sufficient (b) Identification of addressees. To ex- event related information needed to pedite processing of requests, request- conduct such a search. ers should submit written requests di- (3) The following guidelines deal with rectly to the naval activity having cog- requests for personal records. Ordi- nizance over the records and clearly narily, when personal identifiers are show all addressees within the Depart- provided only in connection with a re- ment of the Navy, Department of De- quest for records concerning the re- fense, or other Federal agency to whom quester, only records retrievable by that or a similar request was also sent. personal identifiers need be searched. That procedure will reduce processing Search for such records may be con- time requirements and ensure better ducted under PA procedures (see sub- inter and intra-agency coordination. part F of this part). No record may be Naval activities are under no obliga- denied that is releasable under FOIA. tion to establish procedures to receive (4) The previous guidelines notwith- hand delivered requests. standing, the decision of a naval activ- (c) Reasonably describe the record(s) ity concerning reasonableness of de- being sought. Identification of the scription must be based on knowledge record being sought is the responsibil- of its files. If the description enables ity of the requester. The requester naval personnel to locate the record must provide a description of the docu- with reasonable effort, the description

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is adequate. However, if a naval activ- tion to or grounds for waiver of the ity receives a request not ‘‘reasonably minimum requirements. described’’ it shall notify the requester of the defect and provide guidance on § 701.7 Procedures for processing specificity required to begin a search. FOIA requests. (d) Fees. (1) Fees may not be used to (a) Control system. All requests for discourage requesters. If fees are ex- records which cite or imply the FOIA pected to exceed the minimum fee must be entered into a formal control waiver threshold of $15.00, the re- system, either manual or computer- quester is required to address fees in ized, that is designed to track the re- the request, i.e., a willingness to pay quest from receipt to response. Infor- all fees or those up to a specified mation contained in the tracking sys- amount, or request a waiver/reduction tem should at a minimum include the of fees. name of the requester, the date of the (2) To assist naval activities in deter- request, the date the request was re- mining assessable fees, requesters are ceived, suspense date, and the date the encouraged to identify the fee category response was made. This will ensure for which they wish to be considered. If that the requester is apprised of the the requester believes he/she qualifies status of his/her request within 10 for a waiver/reduction of fees, request- working days and will provide required ers are required to provide specific jus- information should the requester chal- tification regarding qualification for a lenge the processing of his/her request. (1) Receipt controls. At a minimum, waiver so that decision can be ren- date stamp the request upon receipt, dered. See Subpart D of this Part 701 establish a suspense control record and for further information on fees. follow-up procedures, and conspicu- (e) Treatment of requests which do not ously stamp or label the request meet the minimum requirements. (1) In ‘‘FREEDOM OF INFORMATION ACT those instances when a request does REQUEST’’ to indicate priority han- not meet the minimum requirements, dling throughout processing. Naval ac- naval activities should nonetheless re- tivities are encouraged to assign a turn the requests within 10 working FOIA Case Number for each request days and advise the requester of how to and to apprise the requester of the perfect the request. Naval activities number assigned. This number is an ef- may contact the requester by tele- fective tool for tracking, filing, and re- phone to refine the request. For exam- trieving the request. ple, if a requester has failed to ‘‘reason- (2) Forwarding controls. As a rule, re- ably describe’’ the records being quests forwarded to another activity sought, he/she may be asked to provide for action should have the letter of re- identifying data such as location, time- ferral and envelope conspicuously frame, originator, background informa- stamped or labeled ‘‘FREEDOM OF IN- tion, etc., to enable a search. If the re- FORMATION ACT REQUEST’’ and a quester has failed to mention fees and record shall be kept of the request, and fees are applicable, the requester the date and activity to which it was should be provided an estimate of the forwarded. cost involved in processing the request. (b) Time limits. Once a request has When practicable, naval activities are been received by a naval activity hav- encouraged to contact requesters to ing cognizance over the requested clarify what they are seeking. record(s), that activity has 10 working (2) If a request fails to qualify within days (excluding Saturdays, Sundays, this instruction but the requested and legal holidays) to issue a letter record is available and releasable in its which advises the requester of the ac- entirety, the responding official may tion to be taken on the request (i.e., provide a copy of the record if he or she documents are denied; documents are determines it to be in the best interest released; documents will be released of the activity. This provision is within within a specific timeframe). If a naval the sole and exclusive discretion of the activity is unable to comply with the responsible official of the activity con- request within the 10 working day cerned and does not create an excep- timeframe, then a formal or informal

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time extension must be pursued and a time should be explained to the re- letter forwarded to the requester advis- quester, with notification that the ing of the extension. delay may be treated as an initial de- (1) A formal time extension letter is nial with a right to appeal, or that the issued in those instances where an ac- requester may agree to await a sub- tivity requires up to an additional 10 stantive response by an anticipated working days to respond to a request date. It should be made clear that any because of the need to: such agreement does not prejudice the (i) Search. The need to search for and right of the requester to appeal the ini- collect records located in whole or part tial decision after it is made. Further, at places separate from the activity naval activities should be advised that processing the request; the requester still retains the right to (ii) Examine. The need to search for, treat this delay as a defacto denial collect, and examine a substantial with full administrative remedies. number of records responsive to a re- (6) Informal extension of time lim- quest; or, its—a recommended alternative is to (iii) Consult. The need to consult with negotiate an informal extension of another naval activity or federal agen- time with the requester. The advan- cy with a substantial interest in the tages include the ability to agree on a determination of the request. mutually acceptable date to respond (2) A formal time extension response that exceeds 10 working days, and the must be issued by the IDA within 10 letter of confirmation does not require working days of receipt of the request, the signature of an IDA. Additionally, describe the circumstance(s) for the it does not impact on the additional delay, and indicate the anticipated days the appellate authority may take date for a substantive response. when responding to an appeal. (3) In those instances where it ap- (c) Decision to release records. Release pears the request might be ultimately authorities may release records under denied, in whole or in part, the appel- their cognizance which do not qualify late authority (i.e., NJAG or OGC) may for denial under FOIA exemptions. be consulted by expeditious means Such responses should be made within prior to authorizing a formal exten- the applicable time limits of FOIA and sion. should be processed as follows: (4) In those instances when it is an- (1) If the requested records are releas- ticipated the normal statutory time able in their entirety, release authori- limits (including the statutory time ties should forward the records to the extension) are insufficient to provide a requester and advise of any applicable response, the IDA shall acknowledge fees. the request in writing prior to the expi- (2) If the requested records are releas- ration of the normal statutory time able in their entirety but not yet avail- limits (including the statutory time able, the release authority should no- extension), describe the cir- tify the requester the request has been cumstance(s) requiring the delay and approved and the requested records will indicate the anticipated date for the be forwarded by a specified date. substantive response. The requester (3) If the request for examination of shall be advised that an appeal may be records is approved, notify the re- made to the cognizant appellate au- quester of the time and place. thority within 60 calendar days or (d) Processing documents originated by/ await a substantive determination by a created for another activity. (1) If an offi- specified date. It shall be made clear cial receives a request for records that that such an agreement does not preju- he or she holds, but which were origi- dice the right of the requester to ap- nated by another naval activity, the of- peal an adverse substantive determina- ficial shall normally coordinate with tion. that activity prior to referring the (5) In those unusual cases where the FOIA request and copies of the re- statutory time limits cannot be met quested documents to the originator and no informal extension has been for direct response. The naval activity agreed to, the inability to process any that initially received the request is part of the request within the specified responsible for notifying the requester

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of the referral. The originating naval is in the possession and control of the activity shall not release or deny such Department of the Navy, it must be de- records without prior consultation termined that the record is included in with the referring naval activity. one or more of the nine categories of (2) If an official receives a request for records exempt from mandatory disclo- records that he or she holds, but were sure as provided by the FOIA and ad- created for another naval activity or dressed at subpart B of this part. government agency, the official shall (1) Because release authorities can- refer the FOIA request and copies of not deny information, they must for- the requested documents to that activ- ward responsive documents along with ity/agency for direct response, after co- their release determination to an IDA ordination and concurrence. The activ- for consideration and response to the ity/agency may have an equally valid requester. In those instances, the re- interest in withholding the record as lease authority will apprise the re- the naval activity that created it. In quester that his/her request and re- such referrals, the naval activity sponsive documents were referred to should provide a recommendation con- the activity having cognizance over the cerning release with the referral. The documents for a release determination naval activity that initially received and direct response to the requester. the request is responsible for notifying The referral to an IDA shall include a the requester of the referral. copy of the request, documents respon- (e) Processing misdirected requests. Re- sive to the request, recommendation on questers are not always aware of the partial/total denial, and supporting ra- correct activity to address a FOIA re- tionale for the exemption(s) claimed. quest. (2) When an IDA receives a referral (1) A request received by a naval ac- from a subordinate activity rec- tivity having no records responsive to ommending a FOIA request be denied the request shall only be referred to in whole or in part, or receives a FOIA another naval activity if the activity request for documents under his/her contacts the naval activity and con- cognizance, the IDA shall take one of firms its cognizance over the requested the following actions within 10 working information. When a member of the public complies with the procedures es- days: tablished in this instruction for obtain- (i) Deny or release the requested in- ing records, the request shall receive formation. If an IDA determines the prompt attention and a reply dis- record contains information which is patched within 10 working days, unless not releasable under FOIA, and any re- a delay is authorized. Each naval activ- leasable information contained in the ity is responsible for developing proce- record is not reasonably segregable dures to ensure the expeditious han- from the non-releasable information, dling, prompt retrieval, and review of notify the requester of the exemp- requested records. The 10 working day tion(s) claimed and provide procedures time limit commences upon receipt of to be followed should the requester de- the request by the cognizant activity. cide to appeal the determination to ap- (2) If the cognizant official is unable pellate authority. to respond to the requester within the (ii) If unable to respond within the statutory time limit, he or she may applicable time limits, explain the rea- seek a formal or informal extension of son(s) for the delay to the requester, time. with notification that he or she may (3) If a naval activity has a signifi- treat this delay as an initial denial cant number of requests (e.g., 10 or with a right to submit an administra- more), the requests generally will be tive appeal to the cognizant appellate processed in order of receipt. But a authority, or that the requester may naval activity may commence action agree to await a substantive deter- on an easily answered request, regard- mination by a specified date. It shall be less of its ranking within the order of made clear that any such agreement receipt. does not prejudice the right of the re- (f) Decision to deny records in whole or quester to appeal an adverse sub- in part. To deny a requested record that stantive determination.

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(iii) If an IDA determines that the re- (2) Lack of records. Requester advised quester’s claimed entitlement to waiv- that a search of files held by the naval er/reduction of fees is not warranted, activity has resulted in a failure to lo- IDAs shall notify the requester of such cate any responsive records. Such re- determination, provide the reason(s) sponse now requires that a requester be for the denial, and advise the requester advised of his/her right to appeal the of the right to appeal the determina- adequacy of the search to the cog- tion to the cognizant appellate author- nizant appellate authority. The re- ity within 60 calendar days. If the response does not normally require the quester appeals the denial to waive/re- signature of an IDA. duce fees, the release of the records (3) Failure of requester to reasonably may be withheld until the fee is paid or describe records being sought. Requester the appellate authority grants a waiv- advised that his/her request requires er/reduction of fees. specificity with regard to description (3) IDAs are responsible for maintain- of the records being sought to enable ing copies of initial denials in a form the naval activity to conduct a reason- suitable for rapid retrieval, periodic able search. Such responses generally statistical compilation, and manage- apprise the requester of the kind of ment evaluation. specificity required. (g) Excising documents—(1) Classified (4) Other failures by requester to comply documents. Since FOIA requires that all with published rules and/or directives. Re- reasonably segregable portions of docu- quester advised that he/she has failed ments be released to the requester, to comply with established rules/direc- there will be instances when portions tives, such as failure to agree to pay of documents which contain classified fees, and therefore the request is being markings are subject to release. In returned for refinement. these instances, naval activities shall (5) Withdrawal. Requester contacted cross through the classified markings the naval activity by telephone or let- that appear at the top and bottom of ter and advised he/she wishes to cancel the document and cross through any the request or appeal. classified paragraph markings that are (6) Not an agency record. Requester being released. This practice is nec- advised the information/records he/she essary to eliminate any appearance seeks is not an agency record as de- that a ‘‘classified’’ document was re- fined by § 701.3 of Subpart A. leased. (i) Consultation/coordination. The De- (2) Unclassified documents. Naval ac- partment of the Navy processes thou- tivities are encouraged to ‘‘blank out’’ sands of FOIA requests annually. Be- and bracket the denied information cause there is no central repository for and annotate the exemption(s) records and no central release/denial claimed. This practice will permit the authority, proposed responses shall be requester to easily identify informa- properly coordinated and appropriate tion being withheld and the basis for officials consulted prior to a response withholding. being made to the requester. Specifi- (h) ‘‘Other Reasons’’ for not releasing a cally: record. Besides denying a records in (1) Naval activities and federal agen- whole or in part, there are six ‘‘other cies with a substantial interest in the reasons’’ for not releasing a record. In subject matter of the requested records most instances, these ‘‘other reason’’ should be consulted prior to release or responses do not constitute a denial of denial of information. information and therefore do not re- (2) Public affairs officers or the Chief quire the signature of an IDA. They of Information (CHINFO) should be are: consulted when a FOIA request is re- (1) Transferred request. Requester ad- ceived from a news media representa- vised that his/her request and/ or re- tive, the records requested are consid- quested documents have been trans- ered newsworthy, or a denial of a referred to another naval activity or fed- quest is expected to be publicly chal- eral agency having cognizance over the lenged. CHINFO should be promptly requested information for action and notified of any release having evident direct response. public affairs implications and a copy

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of the request and response should be of this part addresses when fees may be provided. collected in advance of forwarding the (3) The appropriate JAG attorney or documents. field counsel should be consulted on (2) All fees have been received. the interpretation and application of (3) Fees have been waived because this instruction where a denial of a re- they fall below the automatic fee waiv- quest is expected to be judicially chal- er threshold. lenged. (4) A request for waiver/reduction of (j) Response to the requester. (1) Initial fees has been denied. determinations to release or deny a record normally shall be made and the (5) Fees have been waived or reduced decision reported to the requester from a specified amount to another within 10 working days after receipt of specified amount because the rationale the request by the official designated provided in support of a request for to respond. When the time for response waiver has been accepted. becomes an issue, the official respon- (6) Fees due in a specified amount sible for replying shall acknowledge to have not been received (see subpart D the requester the date of the receipt of of this part for specific information on the request. FOIA fees and fee rates for technical (2) When a decision is made to release data). a record, a copy should be made available promptly to the requester once he § 701.8 Records requiring special han- or she has complied with preliminary dling. procedural requirements. The following actions shall be taken (3) When a request for a record is de- on requests for: nied in whole or in part, the official (a) Classified records. (1) If a naval ac- designated to respond shall inform the tivity receives a request for informa- requester in writing of the IDA’s name, tion whose existence or nonexistence is rank, and title, shall cite the specific itself classifiable under Executive exemption(s) that apply in sufficient Order 12356, 50 U.S.C. 401, the naval ac- detail, and provide the requester with the name and address of the appellate tivity shall refuse to confirm or deny authority, should the requester desire the existence or nonexistence of the re- to file an appeal. When claiming ex- quested information. emption ‘‘(b)(1),’’ IDAs shall to the ex- (2) If a naval activity receives a re- tent reasonably feasible, provide the quest for documents in its custody that requester with a summary of the appli- were classified by another agency, or cable criteria for classification. Addi- which contains information classified tionally, the marking ‘‘For Official Use by another agency, it shall refer the re- Only’’ on a requested document does quest and copies of the requested docu- not constitute a basis for denial. Rath- ments to the originating agency for er, it alerts the reviewer that the docu- processing, and may, after consultation ment may contain information which with the originating agency inform the is protectible under exemptions (b)(2) requester of the referral. Referred through (b)(9). It is up to the reviewing records shall be identified consistent official to advise the requester of the with security requirements. In cases applicable exemptions and to release where the originating agency deter- all ‘‘reasonably segregable’’ informa- mines they can neither confirm nor tion. deny the existence or nonexistence of (k) Fees. The final response to the re- the requested information, the refer- quester should contain information on ring agency shall deny the request. the fee status of the request. Gen- erally, information shall reflect one or (3) If a naval activity receives a re- more of the following conditions: quest for classified records or informa- (1) ‘‘The fees for processing your re- tion originated by another naval activ- quest total $ . Please forward your ity, for which the head of the activity check or money order made payable to is not the classifying authority under the Treasurer of the United States to OPNAV Instruction 5520.1 series, ‘‘De- this office within 30 days.’’ Subpart D partment of the Navy Information and

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Personnel Security Program Regula- tial records. Requests for JAGMAN in- tion,’’ the request, copies of the re- vestigative reports and courts-martial quested documents, and a recommenda- records shall be promptly readdressed tion concerning release (if appropriate) and forwarded to NJAG and the re- shall promptly be readdressed and for- quester notified of the referral. warded to the official having classifica- (e) Mishap Investigation Reports tion authority for the subject matter. (MIRs). The Commander, Naval Safety That official will make a release deter- Center (COMNAVSAFECEN) is the re- mination concerning the classified in- lease/denial authority for all requests formation and notify the requester, or for mishap investigation reports. Re- the activity originally receiving the requests for mishap investigation reports quest, in 10 working days of that deter- shall be promptly readdressed and for- mination. The naval activity that ini- warded to COMNAVSAFECEN and the tially received the request has respon- requester notified of the referral. sibility for notifying the requester of (f) Naval Audit Service reports. The the referral. Referred records shall Auditor General of the Navy is the re- only be identified to the extent consist- lease/denial authority for all Naval ent with security requirements. Audit Service reports. Requests for (b) Naval Investigative Service (NIS)/ audit reports shall be promptly re- Naval Criminal Investigative Service addressed and forwarded to the Auditor (NCIS) reports. The Director, Naval General and the requester notified of Criminal Investigative Service, is the the referral. release/denial authority for all NIS/ (g) Technical documents controlled by NCIS reports. Accordingly, a request distribution statements. A request for a for a NIS/NCIS report shall be prompt- technical document to which ‘‘Dis- ly readdressed to NCIS and the re- tribution Statement B, C, D, E, F, or quester notified of the referral. Direct X’’ (see OPNAVINST 5510.1 series) is af- liaison with NCIS prior to the referral fixed shall be promptly readdressed and is encouraged. forwarded to the ‘‘controlling DOD of- (c) Naval Inspector General reports. (1) fice’’ for review and release determina- The Naval Inspector General tion. The naval activity that initially (NAVINSGEN) is the release/denial au- received the request is responsible for thority for all investigations and in- notifying the requester of the referral. spections conducted by or at the direc- Direct liaison with the cognizant offi- tion of NAVINSGEN and for any cial prior to referral is encouraged. records held by any command that re- (h) Records originated by other govern- late to Navy hotline complaints that ment agencies. When a request for have been referred to the NAVINSGEN. records originated by an agency out- Accordingly, such requests shall be side the Department of the Navy is re- promptly readdressed and forwarded to ceived, promptly readdress and forward NAVINSGEN and the requester noti- the request along with copies of the re- fied of the referral. Requests for local quested documents to the cognizant command Inspector General reports agency and notify the requester of the which have not been referred to the referral. That may be accomplished by NAVINSGEN may be released by the sending a copy of the referral letter, local command. less attachments, to the requester. The (2) The Deputy Naval Inspector Gen- 10 working day time limit begins when eral for Marine Corps Matters the request is received by the cog- (DNIGMC) is the release authority for nizant agency. If additional guidance is all investigations conducted by the required, contact CNO (N09B30) or CMC DNIGMC. Requests for local Marine (ARAD), as appropriate. Direct liaison Corps command Inspector General re- with the cognizant agency is encour- ports shall be coordinated with the aged to ensure expeditious handling of DNIGMC. the request. (d) Manual of the Judge Advocate Gen- (i) National Security Council (NSC)/ eral (JAGMAN) investigative reports and White House Documents. The Director, courts-martial records. NJAG is the re- NSC is the release/denial authority for lease/denial authority for all JAGMAN NSC documents or White House files. investigative reports and courts-mar- Requesters seeking NSC or White

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House documents should be notified to nial authority for all naval medical write directly to the NSC or White quality assurance documents as defined House for such documents. Department by Title 10, United States Code, Sec- of the Navy documents in which NSC tion 1102. Requests for medical quality or the White House has a concurrent assurance shall be promptly re- reviewing interest shall be forwarded addressed and forwarded to BUMED to the Office of the Assistant Secretary and the requester notified of the refer- of Defense (Public Affairs) (OASD(PA)), ral. ATTN: Directorate for Freedom of In- (m) Records of a non-U.S. Government formation and Security Review source. (1) When a request is received (DFOISR), which shall effect coordina- for a record that was obtained from a tion with the NSC or White House, and non-U.S. Government source, or for a return the documents to the originat- record containing information clearly ing activity after review and a release identified as provided by a non-U.S. determination is made. NSC or White Government source, the source of the House documents discovered in a naval record or information (known as ‘‘the activity’s files which are responsive to submitter’’ for proprietary data under a FOIA request shall be forwarded to FOIA exemption (b)(4)) shall be the Director, Freedom of Information promptly notified of the request and af- and Security Review, OASD(PA), for forded reasonable time (e.g., 30 cal- subsequent coordination with the NSC endar days) to present any objections or White House and returned to the concerning release, unless it is clear naval activity for a release determina- that there can be no valid basis for ob- tion. Additionally, in such instances an jection. That practice is required for information copy should be provided to FOIA requests for data not deemed CNO (N09B30). clearly exempt from disclosure under (j) Naval Telecommunications Proce- exemption (b)(4). If, for example, the dures (NTP) publications. The Com- record or information was provided mander, Naval Computer and Tele- with actual or presumptive knowledge communications Command of the non-U.S. Government source and (COMNAVCOMTELCOM) is the release/ established that it would be made denial authority for NTP publications. available to the public upon request, Requests for NTP publications shall be there is no obligation to notify the promptly readdressed and forwarded to source. Any objections shall be evalu- COMNAVCOMTELCOM and the re- ated. The final decision to disclose in- quester notified of the referral. Direct formation claimed to be exempt under liaison with COMNAVCOMTELCOM exemption (b)(4) shall be made by an prior to referral is encouraged. official equivalent in rank to the offi- (k) Naval Nuclear Propulsion Informa- cial who would make the decision to tion (NNPI). The Director, Naval Nu- withhold that information under FOIA. clear Propulsion Program (N00N/ When a substantial issue has been NAVSEA 08) is the release/denial au- raised, the naval activity may seek ad- thority for all information concerning ditional information from the source of NNPI. Naval activities receiving such the information and afford the source requests are responsible for searching and requester reasonable opportunities their files for responsive records. If no to present their arguments on legal documents are located, the naval activ- and substantive issues prior to making ity should respond to the requester and an agency determination. When the provide N00N with a copy of the resource advises he or she will seek a request and response. If documents are straining order or take court action to located, the request, responsive prevent release of the record or infor- records, and a recommendation regard- mation, the requester shall be notified ing release should be promptly re- and action on the request normally addressed to the CNO (N00N/NAVSEA shall not be taken until after the out- 08), who will ensure proper coordina- come of that court action is known. tion and review. When the requester brings court action (l) Medical quality assurance docu- to compel disclosure, the submitter ments. The Chief, Bureau of Medicine shall be promptly notified of this ac- and Surgery (BUMED) is the release/de- tion.

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(2) The coordination provisions of naval unit to which they are attached, this paragraph also apply to any non- and their presence or absence from U.S. Government record in the posses- their households. Release of such infor- sion and control of the Department of mation aids the targeting of service the Navy from multinational organiza- members and their families by terror- tions, such as the North Atlantic Trea- ists or other persons opposed to imple- ty Organization (NATO) and North mentation of national policy. Only an American Air Defense (NORAD), or for- extraordinary public interest in disclo- eign governments. Coordination with sure of this information can outweigh foreign governments will be made the need and responsibility of the Navy through the Department of State. to protect the tranquility and safety of (n) Government Accounting Office service members and their families (GAO) documents. On occasion, the De- who repeatedly have been subjected to partment of the Navy receives FOIA re- harassment, threats, and physical in- quests for GAO documents containing jury. Units covered by this policy are: Department of the Navy information, (i) Those units located outside the 50 either directly from requesters, or as states, District of Columbia, Common- referrals from the GAO. Since the GAO wealth of Puerto Rico, Guam, U.S. Vir- is outside the Executive Branch and gin Islands, and American Samoa. therefore not subject to FOIA, all FOIA (ii) Routinely deployable units. requests for GAO documents contain- Those units that normally deploy from ing Department of the Navy informa- homeport or permanent station on a tion will be processed by the Depart- periodic or rotating basis to meet oper- ment of the Navy. In those instances ational requirements or participate in when a requester seeks a copy of an un- scheduled exercises. This includes rou- classified GAO report, naval activities tinely deployable ships, aviation may apprise the requester of its avail- squadrons, operational staffs, and all ability from the Director, GAO Dis- units of the Fleet Marine Force (FMF). tribution Center, ATTN: DHISF, P.O. Routinely deployable units do not in- Box 6015, Gaithersburg, MD 20877-1450 clude ships undergoing extensive yard under their cash sales program. work or whose primary mission is sup- (o) Mailing lists. Frequent FOIA report of training, e.g., yard craft and quests are received for mailing lists of auxiliary aircraft landing training the home addresses and/or duty station ships. addresses of naval personnel. (1) A list of home addresses is not re- (iii) Units engaged in sensitive oper- leasable without the individuals’ con- ations. Those units primarily involved sent because it is a clearly unwar- in training for or conduct of covert, ranted invasion of the individuals’ per- clandestine, or classified missions, in- sonal privacy, and therefore, may be cluding units primarily involved in col- withheld from disclosure under 5 U.S.C. lecting, handling, disposing, or storing 552(b)(6), see subpart B of this part. of classified information and materials. (2) Unclassified information about This also includes units engaged in service members may be withheld when training or advising foreign personnel. disclosure ‘‘would constitute a clearly Examples of units covered by this ex- unwarranted invasion of personal pri- emption are nuclear power training fa- vacy’’ under FOIA (exemption (b)(6) ap- cilities, SEAL Teams, Security Group plies). Disclosure of lists of names and Commands, Weapons Stations, and duty addresses or duty telephone num- Communication Stations. bers of members assigned to units that (3) Except as otherwise provided, lists are stationed in foreign territories, containing names and duty addresses routinely deployable, or sensitive, con- of DOD personnel, both military and ci- stitutes a clearly unwarranted invasion vilian, who are assigned to units in the of personal privacy. Disclosure of such Continental United States (CONUS) information poses a security threat to and U.S. territories shall be released those service members because it re- regardless of who has initiated the reveals information about their degree of quest. involvement in military actions in sup- (4) Exceptions to this policy must be port of national policy, the type of coordinated with the CNO (N09B30) or

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CMC (ARAD) prior to responding to reprinted in capital letters centered at quests, including those from Members the bottom on the outside of the front of Congress. The foregoing policy cover (if any), on each page containing should be considered when weighing FOUO information, and on the outside the releasability of the address or of the back cover (if any). phone number of a specifically named (2) An unclassified directive that con- individual. tains FOUO information shall have [56 FR 66574, Dec. 24, 1991, as amended at 59 FOR OFFICIAL USE ONLY typed, FR 29721, June 9, 1994] stamped, or printed in capital letters centered at the bottom on the outside § 701.9 For Official Use Only (FOUO). of the front cover (if any), on each page FOUO is a marking which is placed of the directive top and bottom, and on on documents to alert the holder that the outside of the back cover (if any). they contain information that may be (3) Within a classified document, an withheld under exemptions (b)(2) individual page that contains both through (b)(9) of the FOIA. Because FOUO and classified information shall FOUO is not a security classification, be marked at the top and bottom with exemption (b)(1) does not apply. the highest security classification of (a) Prior FOUO application. The prior information appearing on the page. application of FOUO is not a conclusive (4) Within a classified or unclassified basis for withholding a record re- document, an individual page that con- quested under FOIA. When such a tains FOUO information, but does not record is requested, it shall be evalu- contain classified information, shall ated to determine whether FOIA ex- have FOR OFFICIAL USE ONLY typed, emptions apply in withholding all or stamped, or printed in capital letters portions of the record. Information centered at the top and bottom edge of which is reasonably segregable and the page. does not fall under a FOIA exemp- (5) Other records, such as photo- tion(s) must be released to the re- graphs, films, cassette tapes, movies, quester. or slides, shall be marked FOR OFFI- (b) Historical papers. Records such as CIAL USE ONLY so that a recipient or notes, working papers, and drafts reviewer knows the status of the infor- tained as historical evidence of Depart- mation. ment of the Navy actions have no spe- (6) Unclassified automatic data proc- cial status apart from FOIA exemp- essing (ADP) media with FOUO infor- tions. mation shall be marked as follows: (c) Time to mark records. The marking (i) An unclassified deck of punched or of records at the time of their creation aperture cards with FOUO information provides notice of FOUO content and shall be marked as a single document facilitates review when a record is re- with FOR OFFICIAL USE ONLY quested under the FOIA. Records re- marked on the face of the first and last quested under FOIA that do not bear card, and on the top of the deck. such markings, shall not be assumed to (ii) An unclassified magnetic tape, be releasable without examination for cassette, or disk pack that contains the presence of information that re- FOUO information shall have FOR OF- quires continued protection and quali- FICIAL USE ONLY marked externally fies as exempt from public release. on a removable label. The resulting (d) Distribution statement. Information hard copy report or computer printout in a technical document that requires a shall reflect the FOR OFFICIAL USE distribution statement under ONLY marking on the top and bottom OPNAVINST 5510.1 series, ‘‘Depart- of each page. It may be accomplished ment of the Navy Information and Per- by using a programmable header or sonnel Security Program Regulation,’’ marking the hard copy manually. shall bear that statement and may be (7) FOUO material transmitted out- marked FOUO, as appropriate. side the Department of the Navy re- (e) Location of markings. (1) An un- quires an expanded marking to explain classified document that contains the significance of the FOUO marking. FOUO information shall have FOR OF- This may be accomplished by typing or FICIAL USE ONLY typed, stamped, or stamping the following statement on

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the record prior to transfer: ‘‘This doc- tain the abbreviation ‘‘FOUO’’ before ument contains information EXEMPT the beginning of the text. Such mes- FROM MANDATORY DISCLOSURE sages shall be transmitted per commu- under the FOIA. Exemp- nications security procedures in ACP- tion(s)...apply(ies).’’ 121 (United States Supplement 1, (f) Release and transmission procedures. ‘‘Communication Instructions’’) for Until FOUO status is terminated, the FOUO information. following release and transmission in- (g) Transporting FOUO information. structions apply: Records which contain FOUO informa- (1) FOUO information may be dis- tion shall be transported in a manner seminated within Department of the that precludes disclosure of contents. If Navy activities and between officials of not commingled with classified infor- the Department of the Navy and con- mation, FOUO information may be tractors and grantees who conduct offi- sent via first-class mail or parcel post. cial business for the Department of the Bulky shipments that otherwise qual- Navy or Department of Defense. Re- ify under postal regulations may be cipients shall be made aware of the sta- sent fourth-class mail. tus of such information, and trans- (h) Safeguarding FOUO information. mission shall be by means that pre- (1) During normal working hours, clude unauthorized public disclosure. records determined to be FOUO shall Transmittal documents shall call at- be placed in an out-of-sight location if tention to the presence of FOUO at- the work area is accessible to non-gov- tachments. ernmental personnel. (2) Department of the Navy holders of (2) At the close of business, FOUO FOUO information may convey such records shall be stored to preclude un- information to officials in other de- authorized access. Filing such material partments or agencies of the executive with other unclassified records in un- and judicial branches to fulfill a gov- locked files, desks, or similar contain- ernmental function, subject to any lim- ers is adequate when U.S. Government itations contained in the Privacy Act or government contractor internal (PA) (see Subpart F of this Part 701), building security is provided during pertaining to disclosure of personal in- non-duty hours. When internal security formation from PA record systems. control is not exercised, locked build- When transmitting these records, en- ings or rooms normally provide ade- sure they are marked FOR OFFICIAL quate after-hours protection. If such USE ONLY, and the recipient is ad- protection is not considered adequate, vised the information has been exempt FOUO material shall be stored in from public disclosure under FOIA and locked receptacles, such as file cabi- that special handling instructions do nets, desks, or bookcases. FOUO or do not apply. For purposes of dis- records that are subject to the provi- closing records, Department of Defense sions of the PA (see Subpart F of this is the ‘‘agency.’’ Part 701) shall meet the safeguards for (3) Records released to Congress or that group of records as outlined in the the GAO should be reviewed to see if PA systems notice. the information warrants FOUO status. (3) Guidance for safeguarding media If not, prior FOUO markings shall be marked FOUO and processed by an removed. If the withholding criteria ADP system, activity, or network is are met, the records shall be marked addressed in OPNAVINST 5239.1 series, FOUO and the recipient provided an ex- ‘‘Department of the Navy Automatic planation for such exemption and Data Processing Security Program.’’ marking. Alternatively, the recipient (i) Termination. The originator or may be requested, without marking the other competent authority, such as an record, to protect it against public dis- IDA or appellate authority, will termi- closure for reasons that are explained. nate FOUO markings or status when (4) Each part of electronically trans- the information no longer requires pro- mitted messages containing FOUO in- tection from public disclosure. When formation shall be marked appro- FOUO status is terminated, all known priately. Unclassified messages con- holders shall be notified as practical. taining FOUO information shall con- Upon notification, holders shall remove

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the FOUO markings. Records in file or NJAG or OGC) within 60 days of the storage need not be retrieved solely for date of the response. that purpose. (2) The appeal letter must be in writ- (j) Disposal. (1) Non-record copies of ing and requesters should provide a FOUO material (including hard copy copy of the IDA’s response when filing reports and computer printouts) may a written appeal to the Navy’s appel- be destroyed by tearing each copy into late authorities (OGC or NJAG, de- pieces to preclude reconstructing, and pending on subject matter), regarding disposed in regular trash containers. an IDA’s decision that a record is ex- When local circumstances or experi- empt in whole or in part or because a ence indicates that this destruction naval activity denied a request for a method is insufficient, local authori- waiver/reduction of fees. The requester ties may direct other methods while should include a copy of the denial let- considering the additional expense bal- ter and provide supporting rationale on anced against the sensitivity of FOUO why the appeal should be granted. The information in the records. FOUO in- requester may appeal a ‘‘no records’’ formation on unclassified magnetic response if he/she believes an adequate storage media shall be disposed of by search of files was not conducted. overwriting the media one time with (b) Time of receipt. The time limits for any one character. Storage areas with- responding to a FOIA appeal commence in an ADP system (internal memory, when the appeal reaches the office of buffers, registers, and similar storage the appellate authority having juris- areas) may be cleared by using a hard- diction over the record. Misdirected ap- ware clear switch, a power-on reset peals should be referred expeditiously cycle, or a program designated to to the proper appellate authority. overwrite the storage area. (c) Appellate authorities.—(1) Respon- (2) Record copies of FOUO documents sibility and authority. NJAG and OGC shall be disposed of following the dis- are authorized to adjudicate appeals posal standards established under made to the Secretary of the Navy SECNAVINST 5212.5C (Records Dis- (SECNAV) on denials of requests for posal Manual) for the particular kind copies of Department of the Navy of record. records or portions thereof, or refusals (k) Unauthorized disclosure. The unau- to waive or reduce fees on matters thorized disclosure of FOUO records within their respective areas of cog- does not constitute an unauthorized nizance. That includes the authority to disclosure of Department of the Navy release or withhold records, or portions information classified for security pur- thereof, waive or reduce fees, and to poses. However, appropriate adminis- act as required by SECNAV for appeals trative or disciplinary action shall be under 5 U.S.C. 552 and subparts A, B, C, taken against those responsible. Unau- and D of this part. NJAG and OGC are thorized disclosure of FOUO informa- further authorized to delegate this au- tion that is protected by the PA may thority to a designated Assistant result in civil and criminal sanctions NJAG and the Principal Deputy OGC or against responsible person(s). The Deputy General Counsel (Logistics), re- naval activity that originated the spectively, under such terms and condi- FOUO information shall be informed of tions as they may deem appropriate. its unauthorized disclosure. (2) Respective areas of cognizance. As [56 FR 66574, Dec. 24, 1991, as amended at 59 delineated in SECNAV Instructions FR 29722, June 9, 1994] 5430.25D and 5430.27A (NOTAL), the respective areas of cognizance of NJAG § 701.10 FOIA appeals/judicial actions. and OGC for providing legal services (a) How to file an appeal. The follow- for the Department of the Navy are: ing guidelines should be followed by in- (i) NJAG. In addition to military law, dividuals wishing to appeal a denial of all matters except those falling under information, a request for waiver/re- the cognizance of OGC. duction of fees, or a ‘‘no record’’ re- (ii) OGC. Business and commercial sponse: law aspects of: (1) The appeal must be received by (A) Acquisition, custody, manage- the cognizant appellate authority (i.e., ment, transportation, taxation, and

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disposition of real and personal prop- (2) Final determinations on appeals erty and the procurement of services, shall normally be made within 20 work- including the fiscal, budgetary, and ac- ing days after receipt. counting aspects thereof; excepting, (f) Delay in responding to a FOIA ap- however, tort claims and admiralty peal. If additional time is needed due to claims arising independently of con- unusual circumstances, the final deci- tracts, and matters relating to the sion may be delayed for the number of naval petroleum reserves; working days (not to exceed 10), that (B) Operations of the Military Sealift were not utilized as additional time for Command, excepting tort and admi- responding to the initial request. If a ralty claims arising independently of determination cannot be made and the contracts; requester is notified within 20 working (C) Office of the Comptroller of the days, the appellate authority shall ac- Navy; knowledge to the requester in writing (D) Naval Computer and Tele- the date of receipt of the appeal, cir- communications Command; cumstances for the delay, and antici- (E) Patents, inventions, trademarks, pated date for substantive response. copyrights, royalty payments, and Requesters may be advised that if the similar matters; delay exceeds the statutory extension (F) Procurement of foreign military or is for reasons other than ‘‘unusual sales, co-production and cooperative circumstances,’’ they may consider research and development and related their administrative remedies ex- agreements, NATO standardization hausted. Further, requesters should be agreements, and matters relating to advised that they may wait for a sub- the Arms Exports Control Act; stantive response without prejudicing (G) Department of the Navy litiga- their right to judicial remedy. The ap- tion before the Armed Services Board pellate authority shall continue to of Contract Appeals; and, process the case expeditiously whether (H) Civilian personnel law matters on or not the requester seeks a court employing present and former Navy ci- order for release of the record(s). A vilian employees; and copy of any response provided subse- (I) Environmental matters. quent to filing of a complaint shall be (d) Addresses for appeals. Appeals forwarded to the Department of Jus- should be addressed to the cognizant tice. appellate authority. The addresses of the SECNAV’s designees are: (g) Action upon receipt. Upon receipt (1) Judge Advocate General, Navy De- of a FOIA appeal, NJAG or OGC shall partment, 200 Stovall Street, Alexan- inform the cognizant IDA of receipt of dria, VA 22332-2400. the appeal. The appellate authority (2) General Counsel of the Navy, 2211 will seek documentation from the IDA Jefferson Davis Highway, Arlington, from which to make a determination. VA 22244–5103. Normally, the IDA will be requested to (e) Time limits for filing FOIA appeals. forward a copy of the initial request, a (1) The requester should file the appeal copy of the response, a copy of excised so it reaches the appellate authority and unexcised documents, and support- not later than 60 calendar days from ing rationale for continued withholding the date of the initial denial letter. At (if applicable) to the appellate author- the end of 60 calendar days, the case ity within 10 working days. may be considered closed; however, the (h) Consultation/coordination. (1) The requester may file litigation for denial Assistant for Naval Investigative Mat- of the appeal. If the requester was pro- ters and Security (OP-09N) may be con- vided several incremental determina- sulted to resolve inconsistencies or dis- tions for a single request, the time putes involving classified records. limit for filing the appeal begins when (2) Direct liaison with appropriate of- the requester receives the last re- ficials within the Department of the sponse. Records which are denied shall Navy and other interested federal agen- be retained for a period of six years to cies is authorized at the discretion of meet the statute of limitations of the appellate authority, who also co- claims requirement. ordinates with appropriate Department

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of Defense officials and Justice as pre- may examine any requested record in scribed by directives of the Secretary camera (in private) to determine of Defense (SECDEF). whether the denial was justified. (3) SECNAV or appropriate Civilian (2) Actions by the court. (i) When a Executive Assistants shall be consulted naval activity fails to make a deter- and kept advised of cases with unusual mination within the statutory time implications. CHINFO shall be con- limits but can demonstrate due dili- sulted and kept advised on cases hav- gence in exceptional circumstances, ing public affairs implications. the court may retain jurisdiction and (i) Response to the requester. (1) When allow the naval activity additional an appellate authority makes a deter- time to complete its review of the mination to release all or a portion of records. records withheld by an IDA, a copy of the records released should be prompt- (ii) If the court determines that the ly forwarded to the requester after requester’s complaint is substantially compliance with any procedural re- correct, it may require the United quirements, such as payment of fees. States to pay reasonable attorney fees (2) Final denial to provide a re- and other litigation costs. quested record or to approve a request (iii) When the court orders the re- to waive or reduce fees must be made lease of denied records, it may also in writing by the appellate authority. issue a written finding that the cir- The response shall include the follow- cumstances surrounding the withholding: ing raise questions whether civilian (i) An explanation of the basis for the personnel acted arbitrarily and capri- denial including the applicable statu- ciously. In these cases, the special tory exemption(s) invoked. counsel of the Merit Systems Protec- (ii) If the final denial is based in tion Board will conduct an investiga- whole or in part on a security classi- tion to determine whether or not dis- fication, the explanation shall include ciplinary action is warranted. The a determination that the record meets naval activity is obligated to take the the cited criteria and rationale of the action recommended by the special governing Executive Order, is based on counsel. a declassification review, and the re- (iv) When a naval activity fails to view confirmed the continuing validity of the security classification. comply with the court order to produce (iii) The response shall advise the re- records that have been withheld im- quester that the material denied does properly, the court may punish the re- not contain reasonably segregable por- sponsible official for contempt. tions. (3) Non-United States Government (iv) The response shall advise the resource information. A requester may quester of the right to judicial review. bring suit in a U.S. District Court to (v) The final denial shall include the compel the release of records obtained name and title of the official respon- from a non-government source or sible for the denial. records based on information obtained (vi) An information copy, less attach- from a non-government source. The ments, should be provided to CNO source shall be notified promptly of the (N09B30). court action. If the source advises that (j) Judicial actions. A requester may it is seeking court action to prevent re- seek an order from a U.S. District lease, the naval activity shall defer an- Court to compel release of a record swering or otherwise pleading to the after exhaustion of administrative complaint as long as permitted by the remedies, i.e., the IDA or appellate au- Court or until a decision is rendered in thority denied release or when a naval the court action initiated by the activity failed to respond within the source, whichever is sooner. prescribed time limits. (1) Burden of proof. The naval activity [56 FR 66574, Dec. 24, 1991, as amended at 59 has the burden of proof to justify its FR 29722, June 9, 1994] refusal to provide a record. The court evaluates the case de novo (anew) and

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§ 701.11 Publication, indexing, and fied as 5 U.S.C. 552 number (b)(1) public inspection of certain classes through (b)(9). of records. (b) Even though a document may Secretary of the Navy Instruction contain information which qualifies for 5720.452, ‘‘Indexing, Public Inspection, withholding under one or more FOIA and Federal Register Publication of exemptions, FOIA requires that all Department of the Navy Directives and ‘‘reasonably segregable’’ information other Documents Affecting the Pub- be provided to the requester, unless the lic,’’ assigns the heads of Department segregated information would have no of the Navy components, Commanders meaning. In other words, redaction is of the Naval Systems Commands, and not required when it would reduce the the Military Sealift Command respon- balance of the text to ‘‘unintelligible sibilities for executing the following gibberish.’’ additional requirements on records (c) The decision to withhold informa- under their respective cognizance: tion in whole or in part based on one or (a) Publication of certain classes of more of the FOIA exemptions requires Department of the Navy organiza- the signature of an Initial Denial Au- tional, regulatory, policy, procedural, thority (IDA). See paragraph (e) of interpretative, and substantive records § 701.5 for a listing of IDAs. (d) The following types of records on a current basis in the FEDERAL REG- may be withheld in whole or in part ISTER, for the guidance of the public. from public disclosure under FOIA, un- (b) Maintenance of current indexes of less otherwise prescribed by law. A dis- various classes of records which are cretionary release to one requester precedential for decisions affecting may preclude the withholding of the members of the public, and publication same records under a FOIA exemption of such indexes at least quarterly or if the record is subsequently requested making them available to the public by by someone else. In applying exemp- other authorized means. tions, the identity of the requester and (c) Making the above records and in- the purpose for which the record is dexes regularly available for public in- sought are irrelevant with the excep- spection and copying at naval location that an exemption may not be in- tions. voked where the particular interest to be protected is the requester’s interest. Subpart B—FOIA Exemption Guidelines § 701.22 Exemption (b)(1). Those properly and currently classi- SOURCE: 56 FR 66586, Dec. 24, 1991, unless fied in the interest of national defense otherwise noted. or foreign policy, as specifically au- EDITORIAL NOTE: At 56 FR 66586, 66590, Dec. thorized under criteria established by 24, 1991, §§701.21—701.32 (subparts B and C) Executive Order (i.e., Executive Order were revised. Section 701.31 appears at both 12356) and implemented by regulations. subpart B and subpart C. The Agency will Although material is not classified at publish a correction in the FEDERAL REG- the time of the FOIA request, a classi- ISTER at a later date. fication review may be undertaken to determine whether the information § 701.21 General. should be classified. The procedures in (a) The FOIA is a disclosure statute OPNAVINST 5510.1H, ‘‘Department of whose goal is an informed citizenry. the Navy Information and Personnel Because of this records are considered Security Program Regulation’’ apply. to be releasable unless they contain in- In addition, this exemption shall be information that qualifies for withhold- voked when the following situations ing under one or more of the nine FOIA are apparent: exemptions. The exemptions are identi- (a) The fact of the existence or nonexistence of a record would itself re- 2 Copies may be obtained if needed, from veal classified information. In that sit- the Commanding Officer, U.S. Naval Publica- uation, naval activities shall neither tions and Forms Center, 5801 Tabor Avenue, confirm nor deny the existence or non- Philadelphia, PA 19120-5099. existence of the record being requested.

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A ‘‘refusal to neither confirm nor Information and Personnel Security deny’’ response must be used consist- Program.’’ ently, not only when a record exists, (b) Material that is not classified at but also when a record does not exist. the time of the FOIA request may un- Otherwise, the pattern of using a ‘‘no dergo a classification review to deter- record’’ response when a record does mine whether the information should not exist, and a ‘‘refusal to neither be classified (ensure strict compliance confirm nor deny’’ when a record does with the provisions of OPNAVINST exist will itself disclose national secu- 5510.1 series regarding classification of rity information. That kind of response information after receipt of a FOIA re- is referred to as a ‘‘Glomar’’ denial. quest). (b) Information that concerns one or (c) Executive Order 12356 provides more of the classification categories that ‘‘information shall be classified as established by Executive order and long as required by national security OPNAVINST 5510.1 series, ‘‘Depart- considerations, and time frame no ment of the Navy Information and Per- longer triggers automatic declassifica- sonnel Security Program Regulation,’’ tion.’’ shall be classified if its unauthorized (d) If the original classifier of a disclosure, either by itself or in the record receives a request for the record context of other information, reason- and upon review determines that there ably could be expected to cause damage is no basis for continued classification, to the national security. either in whole or part, the record or portions of it should be declassified. § 701.23 Procedures for processing The document also undergoes another classified documents. review to determine whether any other (a) The threshold for claiming ex- FOIA exemptions apply to the declas- emption (b)(1) is that the document is sified information. properly and currently classified. Be- (e) In some instances, the compila- cause of that, naval activities should tion of unclassified information may normally refer requests for classified result in the classification of the documents to the activity that origi- record as a whole. This is called the nally classified the information. If the ‘‘mosaic’’ approach—the concept that referring activity has an interest in the apparently harmless pieces of informa- matter, they should also provide the tion, when assembled together could receiving activity with a release deter- reveal a damaging picture. mination. The receiving activity will then conduct a declassification review § 701.24 Exemption (b)(2). and apprise the requester of their de- Those related solely to the internal termination, i.e., documents are prop- personnel rules and practices of an erly and currently classified and there- agency. This exemption has two pro- fore must be denied; portions of the files, high (b)(2) and low (b)(2). documents are releasable; etc. Only an (a) Records qualifying under high official authorized under § 701.5 to deny (b)(2) are those containing or constitut- requests and who has cognizance over ing statutes, rules, orders, manuals, di- the classified matters in the records, rectives, and instructions the release of may deny records. Such denial must be which would allow circumvention of based on an approved security classi- the records thereby substantially hin- fication guide issued under dering the effective performance of a OPNAVINST 5510.1 series or significant function of the Department OPNAVINST 5513 series; resource docu- of the Navy. Examples include: ment originated by another naval ac- (1) Those operating rules, guidelines, tivity or government agency; an origi- and manuals for Department of the nal classification determination with Navy investigators, inspectors, audi- written justification for classification, tors, or examiners that must remain and the justification remains valid; or, privileged in order for the naval activ- not readily identifiable, but classifica- ity to fulfill a legal requirement. tion is believed warranted because of (2) Personnel and other administra- classification criteria in OPNAVINST tive matters, such as examination 5510.1 series, ‘‘Department of the Navy questions and answers used in training

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courses or in the determination of the (d) Civil Service Reform Act—Rep- qualifications of candidates for em- resentation Rights and Duties, Labor ployment, entrance on duty, advance- Unions, 5 U.S.C. 7114(b)(4). ment, or promotion. (e) Authority to Withhold Unclassi- (3) Computer software, the release of fied Special Nuclear Weapons Informa- which would allow circumvention of a tion, 10 U.S.C. 128. This statute pro- statute or Department of the Navy hibits the unauthorized dissemination rules, regulations, orders, manuals, di- of unclassified information pertaining rectives, or instructions. In this situa- to security measures, including secu- tion, the use of the software must be rity plans, procedures, and equipment closely examined to ensure the possi- for the physical protection of special bility of circumvention exists. nuclear material. (4) Security classification guides. (f) Authority to Withhold Unclassi- fied Technical Data with Military or (b) Records qualifying under the low Space Application, 10 U.S.C. 130. (b)(2) profile are those that are trivial (g) Action on Reports of Selection and housekeeping in nature for which Boards, 10 U.S.C. 618. there is no legitimate public interest (h) Confidentiality of Medical Qual- or benefit to be gained by release, and ity Records: Qualified Immunity Par- it would constitute an administrative ticipants, 10 U.S.C. 1102. burden to process the request in order (i) Confidentiality of Financial to disclose the records. Examples in- Records, 12 U.S.C. 3403. clude, rules of personnel’s use of park- (j) Communication Intelligence, 18 ing facilities or regulation of lunch U.S.C. 798. hours, statements of policy as to sick (k) Confidential Status of Patent Ap- leave, and trivial administrative data plications, 35 U.S.C. 122. such as file numbers, mail routing (l) Secrecy of Certain Inventions and stamps, initials, data processing nota- Withholding of Patents (specific appli- tions, brief references to previous com- cable section(s) must be involved, 35 munication, and other like administra- U.S.C. 181 through 188. tive markings. (m) Confidentiality of Inventions In- formation, 35 U.S.C. 205. § 701.25 Exemption (b)(3). (n) Procurement Integrity, 41 U.S.C. Those concerning matters that a 423. statute specifically exempts from dis- (o) Confidentiality of Patient closure by terms that permit no discre- Records, 42 U.S.C. 290dd–2. tion on the issue, or under criteria es- (p) Information regarding Atomic En- tablished by that statute for withhold- ergy: Restricted and Formerly Re- ing or referring to particular types of stricted Data (Atomic Energy Act of matters to be withheld. Authorization 1954), specific applicable exemptions or requirement may be found in the must be invoked (e.g., 42 U.S.C. 2161 statute itself or in Executive orders or through 2168). regulations authorized by, or in imple- (q) Protection of Intelligence Sources mentation of a statute. Examples in- and Methods, 50 U.S.C. 403(d)(3). clude: (r) Protection of identities of US un- (a) National Security Agency Infor- dercover intelligence officers, agents, mation Exemption, Pub. L. 86-36, Sec- informants and sources, 50 U.S.C. 421. tion 6. (s) Examples of statutes which DO (b) Confidentiality of identity of em- NOT qualify under exemption (b)(3) in- ployee who complains to the IG (5 clude: 5 U.S.C. 552a, Privacy Act; 17 U.S.C. App., Inspector General Act of U.S.C. 101 et seq., Copyright Act; 18 1978, section 7). U.S.C. 793, Gathering, Transmitting or (c) Ethics in Government Act of Losing Defense Information to Aid For- 1978—Protecting Financial Disclosure eign Governments; 18 U.S.C. 1905, Trade Reports of Special Government Em- Secrets Act; and 28 U.S.C. 1498, Patent ployees (5 U.S.C. App., Ethics in Gov- and Copyright Cases. ernment Act of 1978, section 207(a) (1) [56 FR 66574, Dec. 24, 1991, as amended at 59 and (2)). FR 29722, June 9, 1994]

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§ 701.26 Exemption (b)(4). data under 10 U.S.C. 2320-2321 and DOD Those containing trade secrets or Federal Acquisition Regulation Sup- commercial or financial information plement (DFARS), subpart 27.4. Tech- that a naval activity receives from a nical data developed exclusively with person or organization outside the Gov- federal funds may be withheld under ernment with the understanding that exemption (b)(3) if it meets the criteria the information or record will be re- of 10 U.S.C. 130. tained on a privileged or confidential (g) Computer software which is copy- basis. Records within the exemption righted under the Copyright Act of 1976 must contain trade secrets, or commer- (17 U.S.C. 106), the disclosure of which cial or financial records, the disclosure would have an adverse impact on the of which is likely to cause substantial potential market value of a copy- harm to the competitive position of the righted work. source providing the information, im- Note: The status of unit prices in pair the government’s ability to obtain awarded in government contracts, once necessary information in the future, or a controversial issue, has become more impair some other legitimate govern- settled with recent court decisions. ment interest. Examples include: The courts have held that disclosure of (a) Commercial or financial informa- unit prices would not directly reveal tion received in confidence in connec- confidential proprietary information, tion with loans, bids, contracts, or pro- such as a company’s overhead, profit posals, as well as other information received in confidence or privileged such rates, or multiplier, and that the possi- as trade secrets, inventions and discov- bility of competitive harm was thus eries, or other proprietary data. too speculative. (b) Statistical data and commercial or financial information concerning § 701.27 Exemption (b)(5). contract performance, income, profits, Those records containing internal ad- losses, and expenditures, if offered and vice, recommendations, and subjective received in confidence from a contrac- evaluations, as contrasted with factual tor or potential contractor. matters, that are reflected in records (c) Personal statements given in the pertaining to the decision-making course of inspections, investigations, process of an agency, whether between or audits, when such statements are re- agencies or between Department of De- ceived in confidence from the individ- fense and Department of the Navy com- ual and retained in confidence because ponents, except as provided in § 701.27 they reveal trade secrets or commer- number (b) through (e). Also exempted cial or financial information normally are records pertaining to the attorney- considered confidential or privileged. client privilege and the attorney work- (d) Financial data provided in con- product privilege. fidence by private employers in con- (a) Examples include: nection with local wage surveys used (1) Nonfactual portions of staff pa- to fix and adjust pay schedules applica- pers, to include after-action reports ble to the prevailing wage rate for em- and situation reports containing staff ployees within the Department of the evaluations, advice, opinions, or sug- Navy. (e) Scientific and manufacturing gestions. processes or developments concerning (2) Advice, suggestions, or evalua- technical or scientific data or other in- tions prepared on behalf of Department formation submitted with an applica- of the Navy individual consultants or tion for a research grant, or with a re- by boards, committees, councils, port while research is in progress. groups, panels, conferences, commis- (f) Technical or scientific data devel- sions, task forces, or other similar oped by a contractor or subcontractor groups formed for the purpose of ob- exclusively at private expense, or de- taining advice and recommendations. veloped in part with federal funds and (3) Nonfactual portions of evalua- in part at private expense, where the tions by Department of the Navy per- contractor or subcontractor retains a sonnel of contractors and their prod- legitimate proprietary interest in the ucts.

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(4) Information of a speculative, ten- the discovery process by special order tative, or evaluative nature on proof the court based on the needs of a posed plans to procure, lease, or other- litigant balanced against the interests wise acquire and dispose of materials, of the Department of the Navy in real estate, facilities, or functions, maintaining its confidentiality, the when such information would provide record or document need not be made undue or unfair competitive advantage available under this instruction. Con- to private personal interests or would sult with legal counsel to determine impede legitimate government func- whether exemption (b)(5) material tions. would be routinely made available (5) Trade secret or other confidential through the discovery process. research development, or commercial (c) Intra- or interagency memoranda information owned by the Government, or letters that are factual, or those where premature release is likely to af- reasonably segregable portions that are fect the Government’s negotiating po- factual, are routinely available sition or other commercial interests. through ‘‘discovery’’ and shall be made (6) Records that are exchanged available to a requester, unless the fac- among agency personnel and between tual material is otherwise exempt from Department of the Navy, Department release, inextricably intertwined with of Defense, or other agencies in prepa- the exempt information, so fragmented ration for anticipated administrative as to be uninformative, or so redundant proceeding by an agency or litigation of information already available to the before any federal, state, or military requester as to provide no new sub- court, as well as records that qualify stantive information. for the attorney-client privilege. (d) A direction or order from a supe- (7) Portions of official reports of in- rior to a subordinate contained in inspection, reports of the Inspector Gen- ternal communication cannot be with- erals, audits, investigations, or surveys held from a requester if it constitutes pertaining to safety, security, of the policy guidance or a decision, as distin- internal management, administration, guished from a discussion of prelimi- or operation of one or more naval ac- nary matters or a request for informa- tivities, when these records have tradi- tion or advice that would compromise tionally been treated by courts as priv- the decision-making process. ileged against disclosure in litigation. (e) An internal communication on a (8) Computer software meeting the decision subsequently made a matter of standards of § 701.3(b)(3) which is delib- public record must be made available erative in nature, the disclosure of to a requester when the rationale for which would inhibit or chill the deci- the decision is expressly adopted or in- sion making process. In that situation, corporated by reference in the record the use of software must be closely ex- containing the decision. amined to ensure its deliberative nature. § 701.28 Exemption (b)(6). (9) Planning, programming, and budgetary information which is in- Information in personnel and medical volved in the defense planning and re- files, and similar files, that if disclosed source allocation process. to the requester would result in a (b) If any such intra- or interagency clearly unwarranted invasion of per- record or reasonably segregable portion sonal privacy. Release of information of such record would be made available about an individual contained in a Pri- routinely through the ‘‘discovery proc- vacy Act (PA) system of records that ess’’ (the legal process by which liti- would constitute a clearly unwarranted gants obtain information from each invasion of privacy is prohibited, and other relevant to the issues in a trial could subject the releaser to civil and or hearing) in the course of litigation criminal penalties. with Department of the Navy, such (a) Examples of files other than per- record, should not be withheld even sonnel and medical files containing though discovery has not been sought similar personal information include: in actual litigation. If, the information (1) Those compiled to evaluate or ad- could only be made available through judicate the suitability of candidates

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for civilian employment or member- them or their designated legal rep- ship in the Armed Forces, and the eli- resentative only to the extent consist- gibility of individuals (civilian, mili- ent with PA. tary, or contractor employees) for se- (e) When determining whether a re- curity clearances, or for access to par- lease is ‘‘clearly unwarranted,’’ the ticularly sensitive classified informa- public interest in release must be bal- tion. anced against the sensitivity of the pri- (2) Files containing reports, records, vacy interest threatened. For example, and other material pertaining to per- lists of names and duty addresses of sonnel matters in which administrative Department of the Navy personnel (ci- action, including disciplinary action, vilian and military) assigned to units may be taken. that are sensitive, routinely (b) Home addresses are normally not deployable, or stationed in foreign ter- releasable without the consent of the ritories must be withheld because re- individuals concerned. In addition, lists lease could aid in the targeting of De- of Department of the Navy military partment of the Navy employees and and civilian personnel’s names and their families by terrorists. See para- duty addresses who are assigned to graph (p) of § 701.8 regarding requests units that are sensitive, routinely for mailing lists. deployable, or stationed in foreign ter- (f) When withholding information ritories can constitute a clearly unwar- solely to protect the personal privacy ranted invasion of personal privacy. of the subject of the record, informa- (1) Privacy interest. A privacy inter- tion should not be withheld from that est may exist in personal information individual or from his or her des- even though the information has been ignated representative. The personal disclosed at some place and time. If privacy of others discussed in that personal information is not freely record may constitute a basis for delet- available from sources other than the ing reasonably segregable portions of Federal Government, a privacy interest the record even when providing it to exists in its nondisclosure. The fact the subject of the record. This exemp- that the Federal Government expended tion shall not be exercised in an at- funds to prepare, index and maintain tempt to protect the privacy of a de- records on personal information, and ceased person but may be used to pro- the fact that a requester invokes FOIA tect the privacy of the deceased per- to obtain these records indicates the son’s family. information is not freely available. (2) Published telephone directories, (g) Individual’s personnel, medical, organizational charts, rosters and simi- or similar file may be withheld from lar materials for personnel assigned to them or their designated legal rep- units that are sensitive, routinely resentative only as consistent with deployable, or stationed in foreign ter- SECNAVINST 5211.5C, ‘‘Personal Pri- ritories are withholdable under exemp- vacy and Rights of Individuals Regard- tion (b)(6). ing Records Pertaining to Them- (c) This exemption is relevant to a selves.’’ request for information that is inti- (h) A clearly unwarranted invasion of mate to an individual or that possibly the privacy of the persons identified in could have adverse effects upon that a personnel, medical, or similar record individual or his or her family if dis- may constitute a basis for deleting closed. Subpart F of this Part 701 lists those reasonably segregable portions of several examples of non-derogatory in- that record, even when providing it to formation about the official character the subject of the record. When with- of a naval member or employee that holding personal information from the can routinely be disclosed to a member subject of the record, legal counsel of the public without constituting a should first be consulted. clearly unwarranted invasion of personal privacy of the individual con- § 701.29 Exemption (b)(7). cerned. Records or information compiled for (d) Individuals’ personnel, medical, law enforcement purposes, (i.e., civil, or similar files may be withheld from criminal, or military law, including

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the implementation of Executive or- enforcement authority in a criminal ders or regulations issued pursuant to investigation or by an agency conduct- law). This exemption may be invoked ing a lawful national security intel- to prevent disclosure of documents not ligence investigation (5 U.S.C. 552 originally created for, but later gath- (b)(7)(D)); ered for law enforcement purposes. (5) Would disclose techniques and (a) This exemption applies, however, procedures for law enforcement inves- only to the extent that production of tigations or prosecutions, or would dis- such law enforcement records or infor- close guidelines for law enforcement mation: investigations or prosecutions, if such (1) Could reasonably be expected to disclosure could reasonably be ex- interfere with enforcement proceedings pected to risk circumvention of the law (5 U.S.C. 552(b)(7)(A)); (5 U.S.C. 552(b)(7)(E)); or, (2) Would deprive a person of the (6) Could reasonably be expected to right to a fair trial or an impartial adjudication (5 U.S.C. 552(b)(7)(B)); endanger the life or physical safety of (3) Could reasonably be expected to any individual (5 U.S.C. 552(b)(7)(F)). constitute an unwarranted invasion of (b) Examples include: personal privacy of a living person, in- (1) Statements of witnesses and other cluding surviving family members of material developed during the course an individual identified in such a of the investigation and all materials record (5 U.S.C. 552(b)(7)(C)); prepared in connection with related (i) This exemption also applies when government litigation or adjudicative the fact of the existence or nonexist- proceedings. ence of a responsive record would itself (2) The identity of firms or individ- reveal personally private information, uals investigated for alleged irregular- and the public interest in disclosure is ities involving contracting with De- not sufficient to outweigh the privacy partment of Defense or Department of interest. In this situation, naval activi- the Navy when no indictment has been ties shall neither confirm nor deny the obtained nor any civil action filed existence or non-existence of the against them by the United States. record being requested. (3) Information obtained in con- (ii) A refusal to ‘‘neither confirm nor fidence, expressed or implied, in the deny’’ response must be used consist- course of a criminal investigation by a ently, not only when a record exists, criminal law enforcement agency or of- but also when a record does not exist. fice within Department of Defense, or a Otherwise, the pattern of using a ‘‘no lawful national security intelligence records’’ response when a record does investigation conducted by an author- not exist and a ‘‘refusal to neither con- ized agency or office within Depart- firm nor deny’’ when a record does ment of Defense. National security in- exist will itself disclose personally pri- telligence investigations include back- vate information. ground security investigations con- (iii) Refusal to ‘‘neither confirm nor ducted for the purpose of obtaining af- deny’’ should not be used when the per- firmative or counterintelligence infor- son whose personal privacy is in jeop- mation. ardy has provided the requester with a waiver of his or her privacy rights; or, (c) The right of individual litigants the person whose personal privacy is in to investigate records currently avail- jeopardy is deceased, and the agency is able by law. aware of that fact. (d) When the subject of an investiga- (4) could reasonably be expected to tive record is the requester of the disclose the identity of a confidential record, it may be withheld only as au- source, including a source within the thorized by SECNAVINST 5211.5C, DON, a state, local, or foreign agency ‘‘Personal Privacy and Rights of Indi- or authority, or any private institution viduals Regarding Records Pertaining which furnishes information on a con- to Themselves.’’ fidential basis; could disclose informa- (e) Exclusions. Excluded from this ex- tion furnished from a confidential emption are the following two situa- source and obtained by a criminal law tions:

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(1) Whenever a request is made which § 701.31 Addresses for requests for De- involves access to records or informa- partment of the Navy records. tion complied for law enforcement pur- The following addresses delineate the poses, and the investigation or proceed- location of commonly requested infor- ing involves a possible violation of mation. Members of the public are en- criminal law where there is reason to couraged to write directly to the offi- believe that the subject of the inves- cial having cognizance over the tigation or proceeding is unaware of its record(s), as it will expedite processing. pendency, and the disclosure of the ex- When the official having custody of the istence of the records could reasonably record is not known, the request should be expected to interfere with enforce- be addressed to the originating official ment proceedings, naval activities or the official having primary respon- may, during only such times as those sibility for the subject matter in- circumstances continue, treat the volved. The following are the most records or information as not subject commonly requested types of records: to exemption 7. In such situation, the response to the requester will state no (a) Audit reports. Send requests for in- records were found. ternal audit matters to the Auditor General of the Navy, P.O. Box 1206, (2) Whenever informant records Falls Church, VA 22041-0206. maintained by a criminal law enforcement organization within DON under (b) Chaplain Corps. Send requests for the informant’s name or personal iden- religious affairs matters to the Chief of tifier, the naval activity may treat the Chaplains, Navy Department, Washing- records as not subject to exemption 7, ton, DC 20370-2000. unless the informant’s status as an in- (c) Civilian personnel records. (1) Send formant has been officially confirmed. requests for personnel records of cur- If it is determined that the records are rent civilian employees, or those sepa- not subject to exemption 7, the re- rated from Federal employment less sponse to the requester will state no than 30 days, to the employing instal- records were found. lation marked for the attention of the civilian personnel officer. § 701.30 Exemption (b)(8). (2) Send requests for individuals formerly employed by the Department of Exempts those records contained in the Navy, or separated from Federal or related to examination, operation, employment for more than 30 days, to or condition reports prepared by, on be- the Director, National Personnel half of, or for the use of an agency re- Records Center, (Civilian Personnel sponsible for the regulation or super- Records), 111 Winnebago Street, St. vision of financial institutions. Louis, MO 63118. § 701.31 Exemption (b)(9). (d) Contractual/procurement records and related matters. (1) Send requests Exempts those records containing ge- for copies of Navy procurement direc- ological and geophysical information tives and Defense Federal Acquisition and data, including maps, concerning Regulations (DFARs) to the Super- wells. intendent of Documents, U.S. Govern- ment Printing Office, Washington, DC Subpart C—Addresses for Depart- 20402. ment of the Navy Records (2) Send requests for copies of current and Locations for Public In- contracts to the contracting officer or spection head of the procurement activity when known. If unknown, submit requests SOURCE: 56 FR 66590, Dec. 24, 1991, unless for Navy contracts to the Chief of otherwise noted. Naval Operations (N09B30), 2000 Navy Pentagon, Washington, DC 20350–2000, EDITORIAL NOTE: At 56 FR 66586, 66590, Dec. and Marine Corps contracts to the Dep- 24, 1991, §§701.21—701.32 (subparts B and C) were revised. Section 701.31 appears at both uty Chief of Staff for Installations and subpart B and subpart C. The Agency will Logistics, Headquarters U.S. Marine publish a correction in the FEDERAL REG- Corps, 2 Navy Annex, Washington, DC ISTER at a later date. 20380–0001.

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(e) Courts-martial records. (1) Send re- those in the Defense Federal Acquisi- quests for records of trial by general tion Regulations (DFARs), and Navy courts-martial, or special courts-mar- procurement directives; and, industrial tial which resulted in a bad conduct security claims and litigation should discharge, or involving commissioned be directed to the Office of Counsel of officers to the Judge Advocate General, the concerned activity. If unknown, Code 20, 200 Stovall Street, Alexandria, submit to the General Counsel of the VA 22332-2400. Navy, 2211 Jefferson Davis Highway, (2) Send requests for records of trial Arlington, VA 22344–5103. by summary courts-martial or special (2) Judge Advocate General legal courts-martial not involving a bad con- matters. In addition to military law, duct discharge to the officer having su- all matters except those outside the ju- pervisory authority in the review proc- risdiction of the General Counsel ess. should be directed to the Judge Advo- (f) Naval Inspector General Reports. cate General, 200 Stovall Street, Alex- Send requests for Navy hotline com- andria, VA 22332-2400. plaints and all other investigations and (i) Medical records. (1) Send requests inspections conducted by the for inpatient medical treatment NAVINSGEN to the Naval Inspector records of active duty Navy and Marine General, Building 200, room 100, 901 M Corps personnel and their dependents Street SE., Washington, DC 20374–5006. to the medical treatment facility Send requests for local command In- where the patient is or was treated. spector General reports to the local IG The records are held for two years and office. then retired to the National Personnel (g) Investigative records. (1) Send re- Records Center, 9700 Page Avenue, St. quests for NCIS investigatory records Louis, MO 63132-5100. and related matters to the Director, (2) Send requests for outpatient med- Naval Criminal Investigative Service, ical treatment records of active duty Washington Navy Yard, Building 111, Navy and Marine Corps personnel and 901 M Street SE., Washington, DC their dependents to the military treat- 20388–5380. ment facility attached to the command (2) Send requests for JAG Manual in- at which they are assigned. vestigative reports to the Judge Advo- (3) Send requests for outpatient med- cate General (Code 33), Navy Depart- ical records of Navy personnel sepa- ment, 200 Stovall Street, Alexandria, rated (discharged, retired, or deceased) VA 22332-2400. for less than 4 months to the Com- (3) Send requests for mishap inves- manding Officer, Naval Reserve Per- tigative reports to Commander, Naval sonnel Center, New Orleans, LA 70149- Safety Center, 375 A Street, Norfolk, 7800. After four months, send requests VA 23511–4399. to Director, National Personnel (h) Legal matters. (1) General Counsel Records Center, (Military Personnel legal matters. Those relating to the ac- Records), 9700 Page Avenue, St. Louis, quisition, custody, management, trans- MO 63132-5100. Send requests for de- portation, taxation, and disposition of pendents’ outpatient records to the real and personal property, and the last medical facility where treatment procurement of services, including the was provided if within 2 years of spon- fiscal, budgetary, and accounting as- sor’s release/separation from the serv- pects thereof, excepting, however, tort ice. After the 2 years, send requests to claims and admiralty claims arising Director, National Personnel Records independently of contract, and matters Center, (Military Personnel Records), relating to the naval petroleum re- 9700 Page Avenue, St. Louis, MO 63132- serves; operations of the Military Sea- 5100. lift Command, excepting tort and ad- (4) Send requests for outpatient med- miralty claims arising independently ical records of Marine Corps personnel of contract; the Office of the Comptrol- separated (discharged, retired, or de- ler of the Navy; procurement matters ceased) for less than four months to Di- in the field of patents, inventions, rector, Marine Corps Reserve Support trademarks, copyrights, royalty pay- Center, 10950 El Monte Street, Overland ments, and similar matters, including Park, KS 66211-1408. After four months,

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send requests to Director, National (4) Send requests for records of drill- Personnel Records Center, (Military ing reservists to the member’s servic- Personnel Records), 9700 Page Avenue, ing personnel support unit. St. Louis, MO 63132-5100. Requests for (5) Send requests for records of inac- dependents’ outpatient records should tive duty reservists who still have an be addressed to the last medical facil- obligation to the Navy to the Com- ity where treatment was provided if manding Officer, Naval Reserve Per- within 2 years of active duty member’s sonnel Center, New Orleans, LA 70149- release/separation from the service. 7800. After two years, send requests to Di- (6) Send requests for records of sepa- rector, National Personnel Records rated reservists who have not retired Center, (Military Records Center), 9700 to the Director, National Personnel Page Avenue, St. Louis, MO 63132-5100. Records Center, (Military Personnel (5) When the location of a military Records), 9700 Page Avenue, St. Louis, member or dependent’s medical record MO 63132-5100. is not known, send requests to Chief, (7) Send requests for records of re- Bureau of Medicine and Surgery, 2300 E tired reservists to the Commanding Of- Street, NW., Washington, DC 20372–5120. ficer, Naval Reserve Personnel Center, (6) Send requests for medical records New Orleans, LA 70149-7800. of drilling reservists to the reserve cen- (k) Publications. (1) Send requests for ters where they are assigned. unclassified instructions, other than Secretary of the Navy Instructions, is- (7) Send requests for medical records sued under the Department of the of inactive or retired reservists to Navy’s directives issuance system and Commanding Officer, Naval Reserve subject index thereof (NAVPUBINST Personnel Center, New Orleans, LA 5215.1B) to the Aviation Supply Office, 70149-7800. Naval Publications and Forms Direc- (8) Civilian employee medical records. torate, Customer Service, Code 1013, Send requests to the medical facility 5801 Tabor Avenue, Philadelphia, PA where the person is/was treated. After 2 19120–5099. years, send requests to Director, Na- (2) Send requests for all tional Personnel Records Center, (Ci- SECNAVINSTs and OPNAVINSTs vilian Personnel Records), 111 Winne- marked FOUO or classified to the CNO bago Street, St. Louis, MO 63118. (N09B30), 2000 Navy Pentagon, Wash- (j) Military personnel records. (1) Send ington, DC 20350–2000. requests for records of active duty (3) Send requests for Marine Corps di- Navy personnel, or those separated rectives, publications, and manuals to (discharged, retired or deceased for up Commandant of the Marine Corps, to 1 year) to Chief of Naval Personnel, (Code AR), HQ USMC, 2 Navy Annex, 2 Navy Annex, Washington, DC 20370– Washington, DC 20380–0001. 5001 and for Marine Corps personnel to (4) Send requests for military speci- Commandant of the Marine Corps, fications, standards, and handbooks to (Code MM), Navy Department, Wash- the Commanding Officer, Defense ington, DC 20380-0001. Printing Service Detachment Office, (2) Send requests for records of Navy Customer Service, Building 4D, 700 and Marine Corps personnel separated Robbins Avenue, Philadelphia, PA (discharged, retired or deceased) for 19111–5094. more than 1 year and inactive reserv- (l) Research records. Send requests for ists to Director, National Personnel records regarding basic research and Records Center, (Military Personnel grants to the activity having custody Records), 9700 Page Avenue, St. Louis, of the record. If unknown, send to the MO 63132-5100. Chief of Naval Research, 800 North (3) Send requests for former officer Quincy Street, Arlington, VA 22217- personnel separated prior to 1902 and 5660. former enlisted personnel separated (m) Systems commands—(1) Aeronauti- prior to 1885 to Chief, Military Ref- cal weapon systems. Send requests for erence Branch, Military Archives Divi- information on aeronautical weapon sion, National Archives, Washington, systems, associated sub-systems and DC 20408. related systems and equipment to the

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Commander, 1421 Jefferson Davis High- Technical Information Service, 5285 way, Arlington, VA 22243–5120. Port Royal Road, Springfield, VA 20402. (2) Facilities. Send requests for infor- (q) Unknown. If requesters are unable mation on facilities and land manage- to determine the official having cog- ment (design, construction, and main- nizance over the requested records, tenance; utilities; housing; and real es- they should send their request for tate matters) to the Commander, Naval naval matters to the Chief of Naval Op- Facilities Engineering Command, 200 erations (N09B30), 2000 Navy Pentagon, Stovall Street, Alexandria, VA 22332- Washington, DC 20350–2000, and Marine 2300. Corps matters to Commandant of the (3) Ships. Send requests for informa- Marine Corps (Code ARAD), HQ USMC, tion on ships and ordnance materials 2 Navy Annex, Washington, DC 20380– to the Commander, Naval Sea Systems 0001. Command, 2531 Jefferson Davis High- [56 FR 66574, Dec. 24, 1991, as amended at 59 way, Arlington, VA 22242–5160. FR 29722 June 9, 1994] (4) Space and Naval Warfare. Send requests for information on development § 701.32 Locations at which Depart- technologies regarding battle force ar- ment of the Navy records are avail- chitecture and engineering, space com- able for public inspection. munications, navigation, undersea and (a) Navy Department Library. The ocean surveillance, oceanographic mat- Navy Department Library is located at ters, anti-submarine warfare, informa- the Washington Navy Yard, Building tion transfer systems, and information 44, 9th and M Streets, SE, Washington, management systems to the Com- DC 20374-0571. mander, Space and Naval Warfare Sys- (1) Hours of Operation. 9 a.m. to 4 tems Command, 2451 Crystal Drive, Ar- p.m., Monday through Friday, except lington, VA 22245–5200. holidays. (5) Supply. Send requests for informa- (2) Type of Materials Held. The library tion on naval supply matters to the has 130,000 volumes of information of Commander, Naval Supply Systems interest to the Navy, such as naval and Command, 1931 Jefferson Davis High- general history, international law and way, Arlington, VA 22341–5360, and for diplomacy, naval architecture and Marine Corps supply matters to the shipbuilding, naval customs and tradi- Commandant of the Marine Corps, HQ tions, naval shore stations, yards and USMC, 2 Navy Annex, Washington, DC bases, uniforms, insignia, awards and 20380–0001. flags, geography, travel and guide (n) Ships decklogs. Send requests for books, aviation, Navy music, etc. Also ships decklogs originating after 30 contained are approximately 5,000 rare June 1945 to the Director, Naval Histor- book collections. Additionally, the li- ical Center, Ships’ Histories Branch, brary has an index by subject matter of 901 M Street SE., Washington Navy materials held, i.e., NAVPUBINST Yard, Washington, DC 20374–0571. Those 5215.1B, Consolidated Subject Index, a originated prior to 1945 are held by the quarterly publication which lists in- Chief, Military Reference Branch, Mili- structions originated by Washington tary Archives Division, National Ar- Headquarters organizations and Marine chives, Washington, DC 20408. Corps directives system checklist of di- (o) Supply catalogs. Send requests for rectives distributed outside Head- Navy and Federal supply catalogs, quarters, U.S. Marine Corps. The li- master cross-reference indexes, and re- brary is equipped with desks and study lated cataloging publications (catalog- carrels for library users and has spe- ing handbooks such as H2-1 and H2-3 cialized devices to facilitate research, and Federal manuals for supply cata- such as microfilm reader/printers, copy loging, such as M1-1, -2 and -3) to Su- machines, and outlets for tape record- perintendent of Documents, United ers. States Government Printing Office, (b) Defense Reading Room. The De- Washington, DC 20402-9325. fense Reading Room is located in Room (p) Technical reports. Send requests 2E165 of the Pentagon, Washington, DC for unclassified technical reports or 20310-1400. Due to building security, publications to the Director, National upon arrival at the Pentagon, call 695-

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3973 to arrange for an escort to the Congress with an indepth look at the Reading Room. costs and time the Navy is expending (1) Hours of Operation. 8 a.m. to 4 to process FOIA requests. p.m., Monday through Friday, except (c) Scope. (1) The guidelines set forth holidays. below are not intended to imply that (2) Type of Materials Held. Microfiche fees must be charged for providing in- copies of indexes and decisional docu- formation to the public in the routine ments regarding Navy Discharge Re- course of business, nor are they meant view Board and Board for Correction of as a substitute for any other schedule Naval Records proceedings. of fees, such as those in (c) Law Library of the Judge Advocate NAVCOMPTMAN, Vol. 3, CH-339, which General. The law library is located at does not supersede the collection of the Hoffman Building 2, Room 9S47, 200 fees under FOIA. Stovall Street, Alexandria, VA 22332- (2) Subpart D of this part does not su- 2400. persede fees chargeable under a statute (1) Hours of Operation. 9 a.m. to 4 specifically setting the level of fees for p.m., Monday through Friday, except particular types of records. A ‘‘statute holidays. specifically providing for setting the (2) Type of Materials Held. The library level of fees for particular types of has published and unpublished deci- records’’ means any statute that en- sions of the Navy-Marine Corps Court ables a government agency, such as the of Military Review, Navy and Marine Government Printing Office (GPO) or Corps directives, miscellaneous super- the National Technical Information seded manuals, and courts-martial or- Service (NTIS), to set and collect fees. ders and the Navy Department Bul- Naval activities should ensure that letin. when documents that would be responsive to a request are maintained for Subpart D—Fee Guidelines distribution by agencies operating statutory based fee schedule programs SOURCE: 56 FR 66592, Dec. 24, 1991, unless such as GPO or NTIS, inform request- otherwise noted. ers of the steps necessary to obtain § 701.40 FOIA fees. records from those sources. (a) Background. The FOIA Reform (c) Resolution of fees. The issue of fees Act of 1986 brought about significant should be resolved prior to a naval ac- changes on how FOIA fees are assessed. tivity expending resources to process a Subpart D of this part highlights in de- FOIA request. Specifically, a requester tail the changes made and conforms should have an opportunity to decide with the Office of Management and whether or not to pursue a request if Budget (OMB) Uniform Fee Schedule fees are applicable and the requester and Guidelines which were issued as a has failed to agree to pay those fees. result of the Reform Act. OMB guide- There have been instances where naval lines for fees reflect direct costs for activities have worked a costly request search, review (in the case of commer- only to be told by the requester that it cial requesters), and duplication of doc- is no longer needed, since it will result uments, collection of which are per- in a cost. Additionally, if a requester mitted by FOIA. has agreed to pay fees up to a specified (b) DD Forms 2086/2086-1. Naval activi- amount and the costs of processing the ties are encouraged to utilize DD request will exceed those fees, naval Forms 2086/2086-1 to track costs for activities must resolve the issue of ad- each FOIA request processed, unless a ditional fees prior to continuing with standard processing cost can be com- the processing of the request. puted for routine kinds of requests. (d) Responses. Naval activities shall The form is designed to track all costs ensure that final responses to the re- and is utilized to compile fee informa- quester address FOIA fees.

tion for the Annual FOIA Report. EDITORIAL NOTE: At 56 FR 66592, Dec. 24, While not all costs can be charged to 1991, §701.40 was revised. Paragraph (c) was the requester for recoupment, they are inadvertently added twice. The duplicate nonetheless reportable as they provide designations are of differing content. The

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Agency will publish a correction in the FED- shall be charged. If a naval activity es- ERAL REGISTER at a later date. timates that assessable duplication charges may exceed $25, it shall notify § 701.41 Definitions. the requester of the estimate, unless The following definitions set forth the requester has indicated in advance the parameters for determining FOIA his or her willingness to pay fees as fees: high as those anticipated. Such notice (a) Direct costs. Direct costs means shall offer the requester the oppor- those expenditures a naval activity ac- tunity to confer with naval personnel tually incurs in searching for, review- to reformulate the request to meet his ing (in the case of commercial request- or her needs at a lower cost. ers), and duplicating documents to re- (d) Review. Review time refers to ex- spond to a FOIA request. Direct costs amining documents responsive to a include, for example, the salary of the FOIA request to determine whether employee performing the work (the employee’s basic rate of pay plus 16 one or more of the statutory exemp- percent of that rate to cover benefits), tions permit withholding. It also in- and the costs of operating duplicating cludes processing the documents for machinery. Not included are overhead disclosure, such as excising them for expenses such as costs of space, heat- release. Review does not include time ing, or lighting the facility where spent resolving general legal or policy records are stored. issues on applying the exemptions. (b) Search time. Search time includes Charges may be assessed only for the all time spent looking for material re- initial review. Naval activities may sponsive to a request and a page-by- not charge for reviews during an ad- page or line-by-line identification (if ministrative appeal of an exemption al- necessary) of material in the document ready applied. Records or portions of to determine if it, or portions thereof, records withheld in full under an ex- are responsive to the request. Naval ac- emption subsequently determined not tivities should ensure that searches are to apply, may be reviewed again to de- efficient and completed in the least ex- termine the applicability of other expensive manner to minimize costs to emptions not previously considered and the naval activity and the requester. the costs for such a subsequent review For example, naval activities should could be assessed. not do a line-by-line search when dupli- (e) Commercial use request. A commer- cating an entire document containing cial use request is a request from or on responsive information would be less behalf of one seeking information for a expensive and quicker to comply with use or purpose that furthers the com- the request. Time spent reviewing doc- mercial, trade, or profit interest of the uments to determine whether to apply requester. In determining whether a re- one or more of the statutory exemp- quester belongs to this category, naval tions is not search time, but review activities must determine the request- time. er’s use of the documents requested. (c) Duplication. Duplication refers to Naval activities should seek additional the process of making a copy of a docu- clarification before assigning the re- ment in response to a FOIA request. Copies can be paper copy, microfiche, quest to a specific category when audiovisual, or machine readable docu- doubting the intended use of the re- mentation (e.g., magnetic tape or disc). quester, or where the use is not clear Every effort will be made to ensure from the request itself. that the copy provided is in a form rea- (f) Educational institution. An edu- sonably usable by requesters. If copies cational institution is a preschool, pub- are not clearly usable, the requester lic or private elementary or secondary will be notified that their copy is the school, institution of graduate higher best available and the agency’s master education, institution of undergradu- copy will be made available for review ate higher education, institution of upon appointment. For duplicating of professional education, and an institu- computer tapes and audiovisuals, the tion of vocational education operating cost, including the operator’s time a program(s) of scholarly research.

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(g) Non-commercial scientific institu- charges which recover the full direct tion. A non-commercial scientific insti- costs of searching for, reviewing for re- tution is operated solely for conducting lease, and duplicating the records scientific research the results of which sought. Commercial requesters, are not are not intended to promote any par- entitled to 2 hours of free search time ticular product or industry and not op- and 100 free pages of reproduction of erated on a ‘‘commercial’’ basis. documents. However, fees totaling $15 (h) Representative of the news media. or less must be waived. Commercial re- Representative of the new media is a questers are not normally entitled to a person actively gathering news for an waiver or reduction of fees based upon entity organized and operated to pub- an assertion that disclosure would be lish or broadcast news to the public. in the public interest. Because use of ‘‘News’’ means information about cur- the requested material is the exclusive rent events or of current interest to determining criteria, a commercial en- the public. Examples of news media enterprise may make a request that is tities include television or radio sta- not for commercial use. It is also pos- tion broadcasting to the public at large sible that a nonprofit organization and publishers of periodicals when could make a request for commercial qualifying as disseminators of ‘‘news’’ use. Such situations must be addressed who make their products available for on a case-by-case basis. purchase or subscription by the general (b) Educational institution requesters. public. Those examples are not all-in- When a request is made by an edu- clusive. As traditional methods of news cational institution whose purpose is delivery evolve (e.g., electronic dis- scholarly research fees shall be limited semination of newspapers through tele- to reasonable standard charges for doc- communications services) alternative ument duplication (excluding charges media would be included in this cat- for the first 100 pages). Requesters egory. ‘‘Free-lance’’ journalists may be must reasonably describe the records considered as working for a news orga- being sought and must show that the nization if they can demonstrate a request is made under the auspices of a basis for expecting publication by that qualifying institution and that the organization, even if not actually em- records are not sought for commercial ployed. Proof may be by publication use, but in furtherance of scholarly re- contract, but naval activities may also search. look to the requester’s past publication (c) Non-commercial scientific institution record in making this determination. requesters. When the request is made by Representatives of the news media do a non-commercial scientific institution not include private libraries, private whose purpose is scientific research repositories of Government records, or fees shall be limited to only reasonable middlemen such as information ven- standard charges for document duplica- dors or data brokers. tion (excluding charges for the first 100 (i) All other requesters. All other re- pages). Requesters must reasonably de- questers refers to persons who do not scribe the records sought and must qualify as an educational institution, show that the request is being made non-commercial scientific institution, under the auspices of a qualifying in- representative of the news media, or stitution and that records are not commercial use requester. An example sought for commercial use, but in fur- is a nonprofit organization. therance of scientific research. (d) Representatives of the news media. § 701.42 Application. (1) When the request is made by a rep- (a) Commercial requesters. When resentative of the news media, fees records are requested for commercial shall be limited to only reasonable use, fees shall be assessed to recover standard charges for document duplica- reasonable standard charges for docu- tion (excluding charges for the first 100 ment search, review, and duplication. pages). Requesters must reasonably de- Requesters must reasonably describe scribe the records sought. the records sought. When naval activi- (2) Representatives of the news media ties review a request for documents for must meet the criteria defined in para- commercial use, they should assess graph (h) of § 701.41, and the request

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must not be made for commercial use. lected (i.e., $15), no charges would re- A request for records supporting the sult. news dissemination function of the re- (b) Requesters are entitled to the quester shall not be considered to be a first 2 hours of search and 100 pages of request that is for a commercial use. duplication without charge once per re- For example, a request by a newspaper quest. Consequently, if after complet- for records relating to an investigation ing its portion of a request, a naval ac- of a defendant in a current criminal tivity, refers the request to another trial of public interest could be pre- naval activity to act on their portion sumed to be a request from an entity of the request, the referring naval ac- eligible for inclusion in this category, tivity shall inform the recipient of the and entitled to records at the cost of amount of search time and duplication duplication alone (excluding charges cost to date so the final Navy response for the first 100 pages). will address all fees in the processing of (3) ‘‘Representative of the news the request. For referrals to other fed- media’’ does not include private librar- eral agencies or Department of Defense ies, private repositories of Government components, if the naval costs of proc- records, or middlemen, such as infor- essing the request are chargeable based mation vendors or data brokers. on fee guidelines, the fees should be (e) All other requesters. Naval activi- collected from the requester and the ties shall charge requesters who do not recipient of the referral advised of the fit into any of the above categories fees to recover the full direct cost of search fee status of the request. If the fees are and duplicating records, except the not chargeable based on the fee guide- first 2 hours of search time and the lines, the recipient of the referral first 100 pages of duplication shall be should be advised of the naval fees as- furnished without charge. Requesters sociated with the processing of the re- must reasonably describe the records quest. sought. Requests from subjects about (c) In determining the ‘‘cost of col- themselves will continue to be treated lecting a fee’’ consider administrative under the fee provisions of 5 U.S.C. costs to the naval activity of receiving 552a, which permit fees only for dupli- and recording a remittance, and proc- cation. Naval activities are reminded essing the fee for deposit in the Treas- that this category of requester may be ury Department’s special account. The eligible for a waiver or reduction of Treasury’s cost to handle such remit- fees if disclosure of the information is tance is negligible and shall not be con- in the public interest. sidered in a naval activity’s determination. § 701.43 Fee restrictions. (d) To determine cost, ‘‘pages’’ refers (a) A naval activity may not charge to standard size paper copies normally fees if the costs of routine collection 8 1/2’’ x 11’’ or 11’’ x 14’’. Thus, request- and processing of the fee are likely to ers would not be entitled to 100 micro- equal or exceed the amount of the fee. fiche or 100 computer disks, for exam- Except for requesters seeking docu- ple. A microfiche containing the equiv- ments for a commercial use, naval ac- alent of 100 pages or 100 pages of com- tivities shall provide the first 2 hours puter printouts, meets the restriction. of search time and the first 100 pages of (e) For computer searches, the first 2 duplication without charge. For exam- free hours will be determined by the ple, for a request (other than one from salary scale of the individual doing the a commercial requester) involving 2 computer search. For example, when hours and 10 minutes of search time the direct costs of the computer and 105 pages of documents, a naval ac- central processing unit, input-output tivity would recover the cost of only devices, and memory capacity equal $24 ten minutes of search time and five (2 hours of equivalent search at the pages of duplication. If this processing clerical level), computer costs in excess cost was equal to or less than the cost to the naval activity for billing the re- of that amount are chargeable as com- quester and processing the fee col- puter search time.

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§ 701.44 Fee waivers. should analyze the substantive con- (a) When the naval activity deter- tents of a record or portion of the mines that waiver or reduction of fees record to determine whether disclosure is in the public interest, documents is meaningful and will inform the pub- will be furnished without charge or at lic on Department of the Navy’s oper- a reduced charge. It is in the public in- ations or activities. While the subject terest when furnishing the information of a request may contain information is likely to contribute significantly to on operations or activities of the De- public understanding of the operations partment of the Navy, it may not have or activities of the Department of the great potential for contributing to a Navy, and is not primarily in the com- meaningful understanding of these op- mercial interest of the requester. erations or activities. An example (b) Fees shall be waived automati- would be a heavily redacted record, cally for all requesters when direct with only random words, fragmented costs for a FOIA request total $15 or sentences, or paragraph headings. A de- less. termination as to whether that type of (c) Decisions to waive or reduce fees record will contribute to the public un- that exceed the automatic fee waiver derstanding of the operations or activi- threshold shall be made on a case-by- ties of the Department of the Navy case basis when: must be weighed against the request- (1) Disclosure of the information ‘‘is er’s intended use. Another example is in the public interest because it is like- disclosure of information already in ly to contribute significantly to public the public domain or nearly identical understanding of the operations or ac- information may add no meaningful tivities of the government.’’ new information on Department of the (i) Subject of the request. Naval activi- Navy operations and activities. ties should analyze whether the subject (iii) Contribution to the public’s under- matter of the request involves issues standing from disclosure. Disclosure con- which will significantly contribute to tributes to the public’s understanding the public understanding of the operations or activities of the Department when disclosure will inform or have the of the Navy. Requests for records in potential to inform the public, rather the possession of the Department of than the individual requester or small the Navy originated by non-govern- segment of interested persons. The re- ment organizations and sought for quester’s identity determines whether their intrinsic content rather than in- the requester has the capability and informative value will not likely contrib- tention to disseminate the information ute to public understanding of the op- to the public. Assertions of plans to erations or activities of the Depart- write a book, research a particular sub- ment of the Navy. Examples of such ject, doctoral desertion work, or records are press clippings, magazine indigency are insufficient. Requester articles, or records forwarding a par- must demonstrate the capacity to dis- ticular opinion or concern from a mem- close the information in a manner in- ber of the public regarding a naval ac- formative to the general public. Re- tivity. Similarly, disclosures of records questers should describe their quali- of considerable age may or may not fications, nature of their research, pur- bear directly on the current activities pose of the requested information, and of the Department of the Navy; how- intended means of dissemination to the ever, the age of a particular record public. shall not be the sole criteria for deter- (iv) The significance of the contribution mining the value of a document. These to public understanding. Naval activities requests must be closely reviewed must assess the significance or impact while considering the requester’s stat- of disclosure against the current level ed purpose for the records and the po- of public knowledge or understanding tential for public understanding of the prior to the disclosure. In other words, operations and activities of the Depart- will disclosure on a current subject of ment of the Navy. wide public interest be unique in con- (ii) Informative value of the informa- tributing previous unknown facts, tion to be disclosed. Naval activities thereby enhancing public knowledge,

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or will it basically duplicate what is al- pursuits are primarily undertaken for ready known by the general public. educational purposes, and charging a Naval activities shall not make value fee would be inappropriate. Conversely, judgments whether the information is data brokers or others who compile important enough to be made public. government information for marketing (2) Disclosure of the information ‘‘is can normally be presumed to primarily not primarily in the commercial inter- have a commercial interest. est of the requester.’’ (iii) The above factors and examples are (i) Existence and magnitude of a com- not all inclusive. Each fee decision must mercial interest. If the request is a com- be considered on a case-by-case basis mercial interest, naval activities the merits of the information provided should address the magnitude of that in each request. When the decision to interest to see if the requester’s com- charge, reduce, or waive the fee cannot mercial interest is primary, as opposed be clearly resolved, naval activities to any secondary personal or non-com- should rule in favor of the requester. mercial interest. In addition to profit- (d) The following additional cir- making organizations, individual per- cumstances describe situations where sons or other organizations may have a waiver or reduction of fees are most commercial interest in obtaining cer- likely warranted: tain records. Where it is difficult to de- (1) A record is voluntarily created to termine whether this is a commercial preclude an otherwise burdensome ef- requester, naval activities may infer it fort to provide voluminous amounts of from the requester’s identity and cir- available records, including additional cumstances of the request. The re- information not requested. quester’s commercial benefit must (2) A previous denial of records is re- clearly override any personal or non- versed in total, or in part, and the as- profit interest to apply FOIA commer- sessable costs are not substantial (e.g., cial standards. $15 - $30). (ii) The primary interest in disclosure. Once a requester’s commercial interest § 701.45 Fee assessment. has been determined, naval activities (a) Fees may not be used to discour- should then determine if disclosure age requesters. FOIA fees are limited would be primarily in that interest. to standard charges for direct docu- That requires balancing the commer- ment search, review (in the case of cial interest of the request against any commercial requesters), and duplica- public benefit derived as a result of tion. that disclosure. Where the public inter- (b) To be responsive as possible to est served is beyond that of the re- FOIA requests while minimizing un- quester’s commercial interest, a waiver warranted costs to the taxpayer, naval or reduction of fees would be appro- activities shall: priate. Conversely, even if a significant (1) Analyze each request to determine public interest exists and the relative the category of the requester. If the commercial interest of the requester is naval activity’s determination of the greater than the public interest, then a category of the requester is different waiver or reduction of fees would be in- than that claimed by the requester, the appropriate. For example, while news naval activity will: media organizations have a commer- (i) Notify the requester that addi- cial interest as business organizations, tional justification should be provided their role of disseminating news to the to support the category claimed, and public can ordinarily be presumed to be that a search for responsive records of a primary interest. Therefore, any will not be initiated until agreement commercial interest is secondary to on the category of the requester. Ab- the primary interest in serving the sent further category justification public. Similarly, scholars writing from the requester and a reasonable pe- books or engaged in other forms of aca- riod of time (i.e., 30 calendar days), the demic research may recognize a com- naval activity shall render a final cat- mercial benefit, either directly or indi- egory determination and notify the re- rectly (through the institution they quester of the determination, including represent); however, normally such administrative appeal rights.

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(ii) Advise the requester that a assurance of full payment where the research for responsive records will not quester has a history of prompt pay- be initiated until the requester indi- ments, or require an advance payment cates a willingness to pay assessable of an amount up to the full estimated costs for the category determined by charges for requesters without a his- the naval activity. tory of payment. (2) Requesters must submit a fee dec- (7) Where a requester has previously laration appropriate for these cat- failed to pay a fee charged in a timely egories: fashion (i.e., within 30 calendar days (i) Commercial requesters must indi- from the date of the billing), the naval cate a willingness to pay all search, re- activity may require the requester to view, and duplication costs. pay the full amount owed, plus any ap- (ii) Educational or non-commercial scientific institution or news media rep- plicable interest, or demonstrate that resentatives. Requesters must indicate a the fee had been paid, and to make an willingness to pay duplication charges in advance payment of the full amount of excess of 100 pages, if more than 100 pages the estimated fee before the naval ac- of records are desired. tivity begins to process a new or pend- (iii) All others. Requesters must indi- ing request. Interest will be at the rate cate a willingness to pay assessable prescribed in 31 U.S.C. 3717 and con- search and duplication costs if more firmed with respective accounting and than 2 hours of search effort or 100 finance offices. pages of records are desired and the re- (8) After all work is completed on a sultant fees will exceed the $15 fee request and the documents are ready waiver threshold. for release, naval activities may re- (3) If the above conditions are not quest payment prior to forwarding the met, then the request need not be proc- documents if there is no payment his- essed and the requester shall be so in- tory on the requester or if the re- formed within 10 working days. quester has previously failed to pay a (4) As described above, naval activi- fee in a timely fashion (i.e., within 30 ties must be prepared to provide an es- calendar days of the billing). If the re- timate of assessable fees to the requester fails to pay in a timely fashion, quester. While searches vary among paragraph (b)(7) of § 701.45 applies. naval activities and an estimate is Naval activities may not hold docu- often difficult prior to an actual ments ready for release pending pay- search, requesters desiring estimates are entitled to them before committing ment from requesters with a history of to a willingness to pay. Should naval prompt payment. activity costs exceed the amount of the (9) When naval activities act under estimate or the amount agreed to by § 701.45 number (b)(1) through (7), FOIA the requester, the amount in excess of time limits (10 working days from re- the estimate or the amount agreed to ceipt of initial requests and 20 working shall not be charged without the re- days from receipt of appeals, plus per- quester’s agreement. missible extensions of time) begin after (5) A naval activity may not require the naval activity has received a will- advance payment of any fee (i.e., pay- ingness to pay fees or fee payments, if ment before work is commenced or appropriate. continued on a request) unless the re- (10) Naval activities may charge for quester previously failed to timely pay time spent in searching for records, fees or the agency determined that the even if that search fails to locate fee exceeds $250. A timely fashion is 30 records responsive to the request. calendar days from the date of billing Naval activities may also charge by the naval activity. search and review (in the case of com- (6) Where a naval activity estimates mercial requesters) time if records lo- or determines that allowable charges cated are determined to be exempt that a requester may be required to from disclosure. In practice, if the pay are likely to exceed $250, the naval activity should notify the requester of naval activity estimates that search the likely cost and obtain satisfactory charges are likely to exceed $25, it

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shall notify the requester of the esti- spective accounting and finance offices mated amount of fees, unless the re- for collection under the Debt Collec- quester has indicated in advance a will- tion Act of 1982. ingness to pay fees up to the estimated amount. Such notice shall offer the re- § 701.48 Computation of fees. quester the opportunity to confer with The fee schedule in Subpart D of this the naval activity with the object of part shall be used to compute search, reformulating the request to meet his review (in the case of commercial re- or her needs at a lower cost. questers), and duplication costs for § 701.46 Aggregating requests. processing FOIA requests. Costs shall be computed on time actually spent. Except for commercial requesters, a naval activity may not charge for the Time-based and dollar-based minimum first 2 hours of search time or for the charges for search, review (in the case first 100 pages of reproduction. A re- of commercial requesters), and duplica- quester may not file multiple requests tion are not authorized. at the same time each seeking portions of a document or documents to avoid § 701.49 Collection of fees. payment of fees. When a naval activity Collect FOIA fees when providing the reasonably believes that a requester or, documents to the requester when the a group of requesters acting in concert requester specifically states that costs is attempting to break a request into a are acceptable or acceptable up to a series of requests to evade fees, the specified amount. Collection may not naval activity may aggregate the re- be made in advance unless the requests and charge accordingly. In de- quester has failed to pay previously as- termining whether it is reasonable to sessed fees within 30 calendar days aggregate the requests, consider the from the date of the billing by the time period of the requests. For exam- naval activity, or the naval activity ple, it would be reasonable to presume determines the fee will be in excess of that multiple requests of this type $250. made within a 30-day period had been made to avoid fees. It is harder to § 701.50 Search time costs. make that presumption for requests over a longer time period. Before ag- The following schedules outline au- gregating requests from more than one thorized fees: requester, naval activities must have a (a) Manual search. concrete basis to conclude that the requesters are acting in concert to avoid payment of fees. Naval activities may Hour- not aggregate multiple requests from Type Grade ly one requester on unrelated subjects. Rate

§ 701.47 Effect of the Debt Collection Clerical ...... E9/GS8 and below ...... $12 Act of 1982 (Pub. L. 97-365). Professional ...... 01-06/GS9-GS/GM15 ...... 25 Executive ...... 07/GS/GM16/ES1 and above 45 The Debt Collection Act of 1982 (Pub. L. 97-365) provides for a minimum annual rate of interest on overdue debts (b) Computer search. Computer search to the Federal Government. Naval ac- is based on the direct cost of the tivities may charge an interest penalty central processing unit, input-output for fees outstanding 30 days from the devices, and memory capacity of the date of billing (the first demand no- computer configuration. The cost of tice). The interest rate shall be as pre- computer search is based on the com- scribed in 31 U.S.C. 3717. Naval activi- puter operator/programmer’s time in ties should verify the current interest determining how to conduct and subse- rate with respective accounting and fi- quently executing the search and is nance offices. After one demand letter charged at the rate of a manual search. has been sent and 30 calendar days (c) Duplication costs. have lapsed with no payment, naval activities may submit the debt to the re-

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respondence to the requester which seeks the fee remittance, date remit- Type Cost per Page tance received, number of check, date Pre-printed material (i.e., unaltered direc- sent to local disbursing office, and copy tives, publications) ...... $.02 of NAVCOMPT Form 2277. This track- Office copy (i.e., xeroxed copies) ...... 15 ing system can be manual or auto- Microfiche ...... 25 mated and should be designed to iden- Computer copies (tapes or reprints) ...... Actual cost 1 tify outstanding FOIA remittances so 1 This means the cost of duplicating the tape or printout, that follow-up letters can be sent ad- which includes the operator's time and cost of the tape. vising the requester that his/her ac- (d) Review time (only applies in the case count requires prompt action. of commercial requesters). (b) Naval activities shall advise requesters to make their check/money order payable to the Treasurer of the United States. Upon receipt of a check/ Hour- Type Grade ly money order, the receiving activity Rate shall submit a NAVCOMPT Form 2277, Voucher for Disbursement and/or Col- Clerical ...... E9/GS8 and below ...... $12 Professional ...... 01-06/GS9-GS/GM15 ...... 25 lection, and the check/money order to Executive ...... 07/GS/GM16/ES1 and above 45 the local disbursing office for processing. ‘‘FOIA Receipt Account Number (e) Audiovisual documentary materials. 3210’’ shall be annotated on the Compute search costs as for any other NAVCOMPT Form 2277 when process- record. Duplication cost is the actual ing all FOIA fees, except those received direct cost of reproducing the material, by Defense Business Operating Fund including the wage of the person doing (DBOF) and non-appropriated funded the work. Audiovisual materials pro- (NAF) activities. vided to a requester need not be in re- (c) Remittances received by DBOF producible format or quality. activities shall be made payable to the (f) Other records. Compute direct activity and the requester should indi- search and duplication cost for any cate on the check ‘‘FOIA Remittance.’’ record not described above as described The remittance shall be deposited in for audiovisual documentary material. the DBOF activity account. (g) Costs for special services. Comply- (d) Remittances received by NAF ac- ing with requests for special services is tivities shall be made payable to the at the discretion of the naval activity. activity and the requester should indi- FOIA and its fee structure do not cover cate on the check ‘‘FOIA Remittance.’’ these kinds of services. Naval activi- The remittance shall be deposited in ties may recover the costs of special the NAF activity account. services asked for by the requester [56 FR 66574, Dec. 24, 1991, as amended at 59 after agreement has been obtained FR 29723, June 9, 1994] from the requester to pay for one or more of the following services: § 701.52 Technical data fees. (1) Certifying that records are true (a) General. Technical data, recorded copies. information, regardless of the form or (2) Sending records by special meth- method of the recording, of a scientific ods such as express mail, etc. or technical nature (including computer software documentation). This § 701.51 FOIA fee remittance/receipt controls. term does not include computer software or data incidental to contract ad- (a) Naval activities shall implement ministration, such as financial and/or procedures to track FOIA fee remit- management information. Technical tances. At a minimum, the tracking data requiring release under FOIA, system should include the name of the shall be released after the requester requester, company (if applicable), pays all reasonable costs for search, amount of fee charged (identify by duplication, and review of the records total and breakdown, i.e., $250: $100 to be released. search, $50.00 review, $100 reproduc- (b) Definition. Technical data means tion), date and serial number of cor- recorded information, regardless of the

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form of method of the recording of a scientific or technical nature (includ- Hourly ing computer software documentation). Type Grade Rate This term does not include computer software or data incidental to contract Clerical ...... E9/GS8 and below ...... $13.25 administration, such as financial and/ (Minimum Charge) ...... 8.30 or management information. (c) Retention of funds. Naval activi- Professional and Executive hourly rate ties shall retain fees received from re- of fees are established at actual hourly leasing technical data. The funds shall rate prior to search. A minimum be available for the same purpose and charge will be established at 1/2-hourly the same time period as the appropria- rates. tion from which the costs were in- (ii) Computer search is the total cost curred in complying with the request. of the central processing unit, input- Reasonable costs are the full costs to output devices, and memory capacity the Government of rendering the serv- of the actual computer configuration. ice, or fair market value of the service, The wage for the computer analyst/op- whichever is greater. Fair market erator determining how to conduct and value shall be determined by commer- subsequently executing the search will cial rates in the local geographical be recorded as part of the computer area. In the absence of a known market search and is at the same rate of the value, charges shall be based on recov- manual search scale. ery of full costs to the Government. (2) Duplication costs are as follows: The full cost includes all direct and indirect costs to conduct the search and to duplicate records responsive to the request. This cost is different from the Type Cost direct costs allowable under the FOIA. Aerial photographs, specifications, per- (d) Waiver. Naval activities shall mits, charts, blueprints, and other waive the payment of costs for tech- technical documents ...... $2.50 each Engineering data (microfilm): ...... nical data when greater than the costs Aperture cards: ...... required for release of this same infor- Silver duplicate negative ...... $.75 per card mation under FOIA, if: (When keypunched and veri- (1) The request is made by a United fied) ...... 85 per card States citizen or a United States cor- Diazo duplicate negative ...... 65 per card (When keypunched and veri- poration who certifies that the tech- fied) ...... 75 per card nical data requested is needed to sub- 35mm roll film ...... $.50 per frame mit an offer, or determine capability of 16mm roll film ...... 45 per frame submitting an offer. The technical data Paper prints (engineering drawings) ...... $1.50 each must relate to the product which will Paper reprints of microfilm indices ...... 10 each be provided to the United States or a contractor with the United States. (3) Review time is computed as fol- However, naval activities may require lows: the citizen or corporation to pay a deposit of not more than the cost of complying with the request, which will be Hourly refunded upon submission of an offer Type Grade Rate by the citizen or corporation; (2) The release of technical data is re- Clerical ...... E9/GS8 and below ...... $13.25 quested to comply with an inter- (Minimum Charge) ...... 8.30 national agreement; or, (3) The naval activity determines Professional and Executive hourly rate that waiver is in the interest of the of fees are established at actual hourly United States. rate prior to review. A minimum (e) Fee rates. (1) Search time is com- charge will be established at 1/2-hourly puted as follows: rates. (i) Manual Search.

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§ 701.53 Other technical data records. on decisions concerning members of the public; Charges for services not specifically (c) Maintaining current indexes of provided above are at the following documents having precedential effect rates: on decisions concerning members of the public, and publishing such indexes or making them available by other Type Cost means; (d) Receiving and considering peti- Minimum charge for office copy (up to tions of members of the public for the six images) ...... $3.50 Each additional image ...... 10 issuance, revision, or cancellation of Each typewritten page ...... 3.50 regulatory documents of some classes; Certification and validation with seal ...... 5.20 and Hand-drawn plots and sketches, each (e) Distributing the FEDERAL REG- hour or fraction thereof ...... 12.00 ISTER for official use within the De- partment of the Navy.

Subpart E—Indexing, Public In- § 701.62 Scope and applicability. spection, and Federal Reg- This subpart prescribes actions to be ister Publication of Depart- executed by, or at the direction of, Navy Department [as defined in ment of the Navy Directives § 700.104(c) of this chapter] components and Other Documents Affect- and specified headquarters activities ing the Public for apprising members of the public of Department of the Navy regulations, SOURCE: 59 FR 46760, Sept. 12, 1994, unless policies, substantive and procedural otherwise noted. rules, and decisions which may affect them, and for enabling members of the § 701.61 Purpose. public to participate in Department of This subpart implements 5 U.S.C. the Navy rulemaking processes in mat- 552(a)(1) and (2) and provisions of De- ters of substantial and direct concern partment of Defense Directive 5400.7, to the public. This subpart com- May 13, 1988 (32 CFR part 286, 55 FR plements subpart A, which implements 53104); Department of Defense Directive Navy-wide requirements for furnishing 5400.9, December 23, 1974 (32 CFR part documents to members of the public 336, 40 FR 4911); and the Regulations of upon request. That a document may be the Administrative Committee of the published or indexed and made avail- Federal Register (1 CFR chaps. I and II) able for public inspection and copying by delineating responsibilities and pre- under this instruction does not affect scribing requirements, policies, cri- the possible requirement under subpart teria, and procedures applicable to: A for producing it for examination, or furnishing a copy, in response to a re- (a) Publishing the following Depart- quest made under that subpart. ment of the Navy documents in the FEDERAL REGISTER: § 701.63 Policy. (1) Certain classes of regulatory, or- In accordance with the spirit and in- ganizational, policy, substantive, and tent of 5 U.S.C. 552, the public has the procedural documents required to be right to the maximum information published for the guidance of the pub- concerning the organization and func- lic; tions of the Department of the Navy. (2) Certain classes of proposed regu- This includes information on the poli- latory documents required to be pub- cies and the substantive and procedural lished for public comment prior to issu- rules used by the Department of the ance; and Navy in its dealings with the public. In (3) Certain public notices required by accordance with Department of De- law or regulation to be published; fense policy described in 32 CFR part (b) Making available, for public in- 336, 40 FR 4911, moreover, the public is spection and copying, certain classes of encouraged to participate in Depart- documents having precedential effect ment of the Navy rulemaking when the

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proposed rule would substantially and pertaining to internal personnel rules directly affect the public. and internal practices. (iii) Local regulations. It is unneces- § 701.64 Publication of adopted regu- sary to publish in the FEDERAL REG- latory documents for the guidance ISTER a regulation which is essentially of the public. local in scope or application, such as a (a) Classes of documents to be pub- directive issued by a base commander lished. Subject to the provisions of 5 in the implementation of his U.S.C. 552(b) which exempt specified responsiblity and authority under sub- matters from requirements for release part G of part 700 of this title for to the public [see subpart B of this guarding the security of the installa- part], the classes of Department of the tion or controlling the access and con- Navy documents required to be pub- duct of visitors or tradesmen. However, lished on a current basis in the FED- such publication may be authorized ERAL REGISTER are listed below. under extraordinary circumstances, as (1) Naval organization and points of determined by the Chief of Naval Oper- contact—descriptions of the central and ations or the Commandant of the Ma- field organization of the Department of rine Corps, as appropriate, with the the Navy and the locations at which, concurrence of the Judge Advocate the members or employees from whom, General. and the methods whereby, the public (iv) Incorporation by reference. With may obtain information, make submit- the approval of the Director of the Fed- tals or requests, or obtain decisions; eral Register given in the limited in- (2) Methods and procedures for business stances authorized in 1 CFR Part 51 with the public—statements of the gen- and 32 CFR 336.5(c), the requirement eral course and methods by which De- for publication in the FEDERAL REG- partment of the Navy functions affect- ISTER may be satisfied by reference in the FEDERAL REGISTER to other publi- ing members of the public are chan- cations containing the information neled and determined, including the which must otherwise be published in nature and requirements of all formal the FEDERAL REGISTER. In general, and informal procedures available; matters eligible for incorporation by (3) Procedural rules and forms—rules of reference are restricted to materials in procedure for functions affecting mem- the nature of published data, criteria, bers of the public, descriptions of forms standards, specifications, techniques, available or the places at which forms illustrations, or other published infor- may be obtained, and instructions as to mation which are reasonably available the scope and contents of all papers, re- to members of the class affected. ports, or examinations required to be (b) Public inspection. When feasible, submitted under such rules of proce- Department of the Navy and Depart- dures; and ment of Defense documents published (4) Substantive rules and policies—sub- in the FEDERAL REGISTER should be stantive rules of general applicability made available for inspection and adopted as authorized by law, and copying, along with available indexes statements of general policy or inter- of such documents, in the same loca- pretations of general applicability for- tions used for public inspection and mulated and adopted by the Depart- copying of the documents con- ment of the Navy. Such rules are com- templated in § 701.65. monly contained in directives, manuals, and memorandums. § 701.65 Availability, public inspection, (i) ‘‘General applicability’’ defined. The and indexing of other documents af- definition prescribed in 1 CFR 1.1 per- fecting the public. tains to the classes of documents con- (a) Discussion. Section 552(a) of title templated in § 701.64(b)(4). 5, United States Code, requires the De- (ii) Internal personnel rules and inter- partment of the Navy to make avail- nal practices. In addition to the other able for public inspection and copying exemptions listed in 5 U.S.C. 552(b) and documents which have precedential subpart B of this part, particular at- significance on those Department of tention is directed to the exemption the Navy decisions which affect the

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public. These documents must be kept bility (i. e., applicable only to specific readily available for public inspection cases; organizations, or persons), which and copying at designated locations, are not required to be published in the unless they are promptly published and FEDERAL REGISTER, but which may copies are offered for sale. Addition- have precedential effect in the disposi- ally, documents issued after July 4, tion of other cases affecting members 1967, are required to be indexed on a of the public; current basis. These indexes, or supple- (iii) Manuals and instructions—admin- ments thereto, must be published at istrative staff manuals, directives, and least quarterly in accordance with the instructions to staff, or portions there- provisions of this paragraph. In deter- of, which establish Department of the mining whether a particular document Navy policy or interpretations of pol- is subject to the requirements of this icy that serve as a basis for determin- paragraph, consideration should be ing the rights of members of the public given to the statutory purposes and with regard to Department of the Navy legal effect of the provisions. functions. In general, manuals and in- (1) Statutory purposes. In general, the structions relating only to internal purpose of the requirement to provide management aspects of property or fis- members of the public with essential cal accounting, personnel administra- information is to enable them to deal tion, and most other ‘‘proprietary’’ effectively and knowledgeably with functions of the department are not Federal agencies; to apprise members within the scope of this provision. This of the public of the existence and con- provision also does not apply to in- tents of documents which have poten- structions for employees on methods, tial legal consequences as precedents techniques, and tactics to be used in in administrative determinations performing their duties; for example: which may affect them; and to permit (A) Instructions or manuals issued public examination of the basis for ad- for audit, investigation, and inspection ministrative actions which affect the purposes; public. (B) Those which prescribe oper- (2) Legal effect. If a document is reational tactics; standards of perform- quired to be indexed and made avail- ance; criteria for defense, prosecution, able under this paragraph, it may not or settlement of cases; or negotiating be used or asserted as a precedent or bargaining techniques, limitations, against a member of the public unless or positions; and it was so indexed and made available, (C) Operations and maintenance or unless the person against whom it is manuals and technical information asserted had actual and timely notice concerning munitions, equipment, and of its contents. systems, and foreign intelligence oper- (b) Classes of documents affected. (1) ations. Subject to the provisions of 5 U.S.C. (2) In determining whether a docu- 552(b) which exempt specified matters ment has precedential effect, the pri- from the requirements of public disclo- mary test is whether it is intended as sure, the following classes of Depart- guidance to be followed either in deci- ment of the Navy documents are in- sions or evaluations by the issuing cluded in the requirements of this authority’s subordinates, or by the is- paragraph: suing authority itself in the adjudica- (i) Final adjudicative opinions and or- tion or determination of future cases ders—opinions (including concurring involving similar facts or issues. The and dissenting opinions) and orders kinds of orders or opinions which clear- which are issued as part of the final ly would have precedential effect are disposition of adjudication proceedings those that are intended to operate both (as defined in 5 U.S.C. 551) and which as final dispositions of the questions may have precedential effect in the dis- involved in the individual cases pre- position of other cases affecting mem- sented, and as rules of decision to be bers of the public; followed by the issuing authority or its (ii) Policy statements and interpreta- subordinates in future cases involving tions—statements of policy and inter- similar questions. By contrast, many pretations of less than general applica- adjudicative orders and opinions issued

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within the Department of the Navy op- tails include protection of privacy in a erate only as case-by-case applications person’s business affairs, medical mat- of policies or interpretations estab- ters, or private family matters; human- lished in provisions of manuals or di- itarian considerations; and avoidance rectives and are not themselves used, of embarrassment to a person. cited, or relied on as rules of decision (d) Publication of indexes—(1) Form of in future cases. In these instances, the indexes. Each index should be arranged underlying manual or directive provi- topically or by descriptive words, so sions obviously would have that members of the public may be able precedential effect, but the orders and to locate the pertinent documents by opinions themselves would not have. A subject, rather than by case name or recommendation by an official who is by a numbering system. not authorized to adjudicate, or to (2) Time of publication. Each compo- issue a binding statement of policy or nent having cognizance of records re- interpretation in a particular matter quired under this paragraph to be in- would not have precedential effect, dexed shall compile and maintain an though an order, opinion, statement of index of such records on a continually policy, or interpretation issued by an current basis. Each such index was re- authorized official pursuant to such quired to initially be published by July recommendation might have that ef- 1, 1975. An updated version of each such fect. index, or a current supplement thereto, (c) Deletion of identifying details. (1) shall be published by an authorized Although the exemptions from public method at least annually thereafter. disclosure described in 5 U.S.C. 552 and (3) Methods of publication. The meth- subpart B of this part are applicable to ods authorized for publication of the documents which are required to be in- indexes contemplated in this paragraph dexed and made available for public in- are: spection and copying under this paragraph, there is no general requirement (i) Publication in the FEDERAL REG- that any segregable portions of par- ISTER; tially exempt documents be so indexed (ii) Commercial publication, provided and made available for public inspec- that such commercial publication is tion and copying. As a general rule, a readily available to members of the record may therefore be held exempt in public, or will be made available upon its entirety from the requirements of request and payment of costs (if this this paragraph if it is determined that method is utilized, information on the it contains exempt matter and that it cost of copies and the address from is reasonably foreseeable that disclo- which they may be obtained shall be sure would be harmful to an interest published in the FEDERAL REGISTER); or protected by that exemption. An excep- (iii) Furnishing internally repro- tion to this general rule does exist with duced copies upon request, at cost not regard to a record which would be ex- to exceed the direct cost of duplication empt only because it contains informa- in accordance with subpart D of this tion which, if disclosed, would result in part, provided that it is determined, by a clearly unwarranted invasion of pri- an order published in the FEDERAL vacy. REGISTER, that the publication of the (2) Where necessary to prevent a index by methods § 701.65(d)(3) (i) or (ii) clearly unwarranted invasion of a per- would be unnecessary or impracticable. son’s privacy, identifying details Such order shall state the cost of cop- should be deleted from a record which ies and the address from which they is required to be indexed and made may be obtained. The Chief of Naval available for public inspection and Operations (N09B30) is authorized to copying under this paragraph. In every issue such an order in a proper case. such case, the justification for the de- (4) Public inspection of indexes. In ad- letion must be fully stated in writing dition to publication by one of the fore- in a manner which avoids creating in- going methods, each index will be made ferences that could be injurious to the available for public inspection and person whose privacy is involved. Usual copying in accordance with § 701.65(e) reasons for deletion of identifying de- at the locations where Department of

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the Navy records are available for pub- eral applicability and future effect for lic inspection. implementing, interpreting, or pre- (e) Where records may be inspected. Lo- scribing law or policy, or practice and cations and times at which Department procedure requirements constituting of the Navy records, and indexes there- authority for prospective actions hav- of, are available for public inspection ing substantial and direct impact on and copying are shown in § 701.32. the public, or a significant portion of (f) Cost. Fees for copying services, if the public, must be evaluated to deter- any, furnished at locations shown in mine whether inviting public comment § 701.32 shall be determined in accord- prior to issuance is warranted. Docu- ance with subpart D of this part. ments that merely implement regula- (g) Records of the United States Navy- tions previously issued by higher naval Marine Corps Court of Military Review. authorities or by the Department of The United States Navy-Marine Corps Defense will not be deemed to ‘‘origi- Court of Military Review is deemed to nate’’ requirements within the purview be a ‘‘court of the United States’’ with- of this section. If a proposed document in the meaning of 5 U.S.C. 551 and is is within the purview of this section, therefore excluded from the require- publication to invite public comment ments of 5 U.S.C. 552. Nevertheless, will be warranted unless, upon evalua- unpublished decisions of the United tion, it is affirmatively determined States Navy-Marine Corps Court of both that a significant and legitimate Military Review, although not indexed, interest of the Department of the Navy are available for public inspection at or the public will be served by omitting the location shown in § 701.32(c). such publication for public comment, and that the document is subject to § 701.66 Publication of proposed regu- one or more of the following excep- lations for public comment. tions: (a) Discussion. The requirements of (1) It pertains to a military or foreign this section are not imposed by stat- affairs function of the United States ute, but are the implementation of which has been determined under the policies and procedures created admin- criteria of an Executive Order or stat- istratively in 32 CFR part 336. In effect, ute to require a security classification the pertinent provisions of 32 CFR part in the interests of national defense or 336 establish, within the Department of foreign policy; Defense and its components, proce- (2) It relates to naval management, dures that are analogous to the public naval military or civilian personnel, or rulemaking procedures applicable to public contracts (e.g., Navy Procure- some functions of other Federal agen- ment Directives), including nonappro- cies under 5 U.S.C. 553. While the ad- priated fund contracts; ministrative policy of encouraging the (3) It involves interpretative rules, maximum practicable public participa- general statements of policy, or rules tion in the Department of the Navy of agency organization, procedure, or rulemaking shall be diligently fol- practice; or lowed, determinations by the Depart- (4) It is determined with regard to ment of the Navy as to whether a pro- the document, for good cause, that in- posed regulatory requirement origi- viting public comment is impractica- nated by it comes within the purview ble, unnecessary, or contrary to the of this paragraph and the correspond- public interest. ing provisions of 32 CFR part 336, and (c) Procedures—(1) Normal case. Unless as to whether inviting public comment the official having cognizance of a pro- is warranted, shall be conclusive and posed regulatory document determines final. under the criteria of § 701.66(b) that in- (b) Classes of documents affected. Each viting public comment is not war- proposed regulation or other document ranted, he or she shall cause it to be of a class described in § 701.64(a) (or a published in the FEDERAL REGISTER proposed revision of an adopted docu- with an invitation for the public to ment of any of those classes) which submit comments in the form of writ- would ‘‘originate’’ within the Depart- ten data, views, or arguments during a ment of the Navy a requirement of gen- specified period of not less than 30 days

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following the date of publication. An petition, if this is deemed to be com- opportunity for oral presentation nor- patible with orderly conduct of public mally will not be provided, but may be business. The petitioner shall be ad- provided at the sole discretion of the vised in writing of the disposition, and official having cognizance of the pro- the reasons for the disposition, of any posed directive if he or she deems it to petition within the purview of this sec- be in the best interest of the Depart- tion. ment of the Navy or the public to do so. After careful consideration of all Subpart F—Department of the relevant matters presented within the period specified for public comment, Navy Privacy Act Program the proposed document may be issued in final form. After issuance, the AUTHORITY: Pub. L. 93–579, 88 stat. 1896 (5 U.S.C. 552a). adopted document, and a preamble explaining the relationship of the adopt- SOURCE: 59 FR 55348, Nov. 7, 1994, unless ed document to the proposed document otherwise noted. and the nature and effect of public comments, shall be published in the § 701.100 Purpose. FEDERAL REGISTER for the guidance of Subparts F and G of this part imple- the public. ment the Privacy Act (5 U.S.C. 552a), (2) Where public comment is not war- and DoD Directive 5400.11 1, and DoD ranted. The official having cognizance 5400.11–R 2, (see 32 CFR part 310) and of a proposed document within the pur- provides Department of the Navy poli- view of this paragraph shall, if he or cies and procedures for: she determines that inviting public (a) Governing the collection, safe- comment concerning the document is guarding, maintenance, use, access, not warranted under the criteria of amendment, and dissemination of per- § 701.66(b), incorporate that determina- sonal information kept by Department tion, and the basis therefor, in the doc- of the Navy in systems of records; ument when it is issued or submitted (b) Notifying individuals if any sys- to a higher authority for issuance. tems of records contain a record per- After issuance, such document shall be taining to them; published in the FEDERAL REGISTER for (c) Verifying the identity of individ- the guidance of the public, if required uals who request their records before under § 701.64(b). the records are made available to them; § 701.67 Petitions for issuance, revision, or cancellation of regulations (d) Notifying the public of the exist- affecting the public. ence and character of each system of records. In accordance with the provisions of 32 CFR part 336, the Department of the (e) Exempting systems of records Navy shall accord any interested per- from certain requirements of the Pri- son the right to petition, in writing, vacy Act; and for the issuance, revision, or cancella- (f) Governing the Privacy Act rules tion of regulatory document that origi- of conduct for Department of the Navy nates, or would originate, for the De- personnel, who will be subject to crimi- partment of the Navy, a policy, re- nal penalties for noncompliance with 5 quirement, or procedure which is, or U.S.C. 552a, as amended by the Com- would be, within the purview of § 701.66. puter Matching Act of 1988. The official having cognizance of the particular regulatory document in- § 701.101 Applicability. volved, or having cognizance of the This subpart and subpart G of this subject matter of a proposed document, part apply throughout the Department shall give full and prompt consider- of the Navy. It is also applicable to ation to any such petition. Such official may, at his or her absolute discre- 1 Copies may be obtained, at cost, from the tion, grant the petitioner an oppor- National Technical Information Service, 5285 tunity to appear, at his or her own ex- Port Royal Road, Springfield, VA 22161. pense, for the purpose of supporting the 2 See footnote 1 to § 701.100.

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contractors by contract or other le- when convened to oversee, coordinate gally binding action, whenever a De- and approve or disapprove all DoD partment of the Navy contract pro- component computer matching covered vides for the operation of a system of by the Privacy Act. records or portion of a system of (e) Disclosure. The transfer of any records to accomplish a Department of personal information from a system of the Navy function. For the purposes of records by any means of communica- any criminal liabilities adjudged, any tion (such as oral, written, electronic, contractor or any employee of such mechanical, or actual review), to any contractor is considered to be an em- person, private entity, or government ployee of Department of the Navy. In agency, other than the subject of the case of a conflict, this subpart and sub- record, the subject’s designated agent part G of this part take precedence or the subject’s legal guardian. over any existing Department of the (f) Federal personnel. Officers and em- Navy directive that deals with the per- ployees of the Government of the Unit- sonal privacy and rights of individuals ed States, members of the uniformed regarding their personal records, ex- services (including members of the Re- cept for disclosure of personal informa- serve Components), individuals or sur- tion required by 5 U.S.C. 552 (1988) as vivors thereof, entitled to receive im- amended by the Freedom of Informa- mediate or deferred retirement benefits tion Reform Act and implemented by under any retirement program of the Secretary of the Navy Instruction Government of the United States (in- 3 5720.42E , ‘‘Department of the Navy cluding survivor benefits). Freedom of Information Act Program.’’ (g) Individual. A living citizen of the § 701.102 Definitions. United States or alien lawfully admitted to the U.S. for permanent resi- For the purposes of this subpart and dence. The legal guardian of an individ- subpart G of this part, the following ual has the same rights as the individ- meanings apply. ual and may act on his or her behalf. (a) Access. The review or copying of a No rights are vested in the representa- record or parts thereof contained in a tive of a deceased person under this in- system of records by any individual. struction and the term ‘‘individual’’ (b) Agency. For the purposes of dis- does not embrace an individual acting closing records subject to the Privacy in a non-personal capacity (for exam- Act between or among Department of ple, sole proprietorship or partnership). Defense (DoD) components, the Depart- (h) Individual access. Access to infor- ment of Defense is considered a single mation pertaining to the individual by agency. For all other purposes, Depart- the individual or his or her designated ment of the Navy is considered an agent or legal guardian. agency within the meaning of Privacy (i) Maintain. Includes maintain, col- Act. lect, use, or disseminate. (c) Confidential source. A person or organization who has furnished informa- (j) Member of the public. Any individ- tion to the Federal Government either ual or party acting in a private capac- under an express promise that the per- ity. son’s or the organization’s identity will (k) Minor. Under this subpart and be held in confidence or under an im- subpart G of this part, a minor is an in- plied promise of such confidentiality if dividual under 18 years of age, who is this implied promise was made before not a member of the U.S. Navy or Ma- September 27, 1975. rine Corps, nor married. (d) Defense Data Integrity Board. Con- (l) Official use. Under this subpart and sists of members of the Defense Pri- subpart G of this part, this term is used vacy Board, as outlined in DoD Direc- when Department of the Navy officials tive 5400.11 and, in addition, the DoD and employees have a demonstrated Inspector General or the designee, need for the use of any record or the information contained therein in the per- 3 Copies available from Chief of Naval Oper- formance of their official duties. ations (N09B30), 2000 Navy Pentagon, Wash- (m) Personal information. Information ington, DC 20350–2000. about an individual that is intimate or

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private to the individual, as distin- of records. He or she may serve at any guished from information related sole- level in Department of the Navy. Sys- ly to the individual’s official functions tems managers are indicated in the or public life. published record systems notices. If (n) Privacy Act (PA) request. A request more than one official is indicated as a from an individual for notification as system manager, initial responsibility to the existence of, access to, or resides with the manager at the appro- amendment of records pertaining to priate level (i.e., for local records, at that individual. These records must be the local activity). maintained in a system of records. (u) System of records. A group of (o) Record. Any item, collection, or records under the control of a Depart- grouping of information about an indi- ment of the Navy activity from which vidual that is maintained by a naval information is retrieved by the individ- activity including, but not limited to, ual’s name or by some identifying the individual’s education, financial number, symbol, or other identifying transactions, and medical, criminal, or particular assigned to the individual. employment history, and that contains System notices for all Privacy Act sys- the individual’s name or other identify- tems of records must be published in ing particulars assigned to the individ- the FEDERAL REGISTER and are also ual, such as a finger or voice print or a published in periodic Chief of Naval Op- photograph. erations Notes (OPNAVNOTEs) 5211 4. (p) Review authority. An official (v) Word processing equipment. Any charged with the responsibility to rule combination of electronic hardware on administrative appeals of initial de- and computer software integrated in a nials of requests for notification, ac- variety of forms (firmware, program- cess, or amendment of records. The mable software, hard wiring, or similar Secretary of the Navy has delegated equipment) that permits the processing his review authority to the Assistant of textual data. Generally, the equip- Secretary of the Navy (Manpower and ment contains a device to receive in- Reserve Affairs (ASN(M&RA)), the formation, a computer-like processor General Counsel (OGC), and the Judge with various capabilities to manipulate Advocate General (NJAG). Addition- the information, a storage medium, ally, the Office of Personnel Manage- and an output device. ment (OPM) is the review authority for (w) Word processing system. A com- civilian official personnel folders or bination of equipment employing auto- records contained in any other OPM mated technology, systematic proce- record. dures, and trained personnel for the (q) Risk assessment. An analysis which primary purpose of manipulating considers information sensitivity, vul- human thoughts and verbal or written nerability, and cost to a computer fa- communications into a form suitable cility or word processing center in safe- to the originator. The results are writ- guarding personal information proc- ten or graphic presentations intended essed or stored in the facility or center. to communicate verbally or visually (r) Routine use. Disclosure of a record with another individual. outside the Department of Defense for (x) Working day. All days excluding a purpose that is compatible with the Saturday, Sunday, and legal holidays. purpose for which the record was collected and maintained by the Depart- § 701.103 Policy. ment of Defense. The routine use must It is the policy of Department of the have been included in the notice for the Navy to: system of records published in the FED- (a) Ensure that all its personnel com- ERAL REGISTER. ply fully with 5 U.S.C. 552a, DoD Direc- (s) Statistical record. A record main- tive 5400.11 and DoD 5400.11–R, to pro- tained only for statistical research, or tect individuals from unwarranted in- reporting purposes, and not used in vasions of privacy. Individuals covered whole or in part in making any deter- by this protection are living citizens of mination about a specific individual. the U.S. or aliens lawfully admitted for (t) System manager. An official who has overall responsibility for a system 4 See footnote 3 to § 701.101.

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permanent residence. A legal guardian (3) Within the scope of an authorized of an individual or parent of a minor law enforcement activity; or when acting on the individual’s or mi- (4) For the maintenance of certain nor’s behalf, has the same rights as the items of information relating to reli- individual or minor. (A member of the gious affiliation for members of the Armed Forces is not a minor for the naval service who are chaplains. This purposes of this subpart and subpart G should not be construed, however, as of this part). restricting or excluding solicitation of (b) Collect, maintain, and use only information which the individual is that personal information needed to willing to have in his or her record con- support a Navy function or program as cerning religious preference, particu- authorized by law or E.O., and disclose larly that required in emergency situa- this information only as authorized by tions. 5 U.S.C. 552a and this subpart and sub- (5) Maintain only systems of records part G of this part. In assessing need, which have been published in the FED- consideration shall be given to alter- ERAL REGISTER, in accordance with natives, such as use of information not periodic Chief of Naval Operations individually identifiable or use of sam- Notes (OPNAVNOTEs) 5211 and pling of certain data for certain indi- § 701.105. These OPNAVNOTEs 5211 pro- viduals only. Additionally, consider- vide a listing of all Department of the ation is to be given to the length of Navy Privacy Act systems of records time information is needed, and the and identify the Office of Personnel cost of maintaining the information Management (OPM) government-wide compared to the risks and adverse con- systems containing information on De- sequences of not maintaining the infor- partment of the Navy civilian employ- mation. ees, even though technically, Depart- (c) Keep only personal information ment of the Navy does not have cog- that is timely, accurate, complete, and nizance over them. A Privacy Act sys- relevant to the purpose for which it tems notice outlines what kinds of in- was collected. formation may be collected and maintained by naval activities. When col- (d) Let individuals have access to, lecting/maintaining information in a and obtain copies of, all or portions of Privacy Act system of records, review their records, subject to exemption the systems notice to ensure activity procedures authorized by law and this compliance is within the scope of the subpart and subpart G of this part. system. If you determine the systems (e) Let individuals request amend- notice does not meet your needs, con- ment of their records when discrep- tact the systems manager or Chief of ancies proven to be erroneous, un- Naval Operations (N09B30) with your timely, incomplete, or irrelevant are concerns so that amendment of the noted. system may be considered. (f) Let individuals request an administrative review of decisions that deny § 701.104 Responsibility and authority. them access, or refuse to amend their (a) Chief of Naval Operations (CNO). records. CNO is designated as the official re- (g) Ensure that adequate safeguards sponsible for administering and super- are enforced to prevent misuse, unau- vising the execution of 5 U.S.C. 552a, thorized disclosure, alteration, or de- DoD Directive 5400.11, and DoD 5400.11– struction of personal information in R. CNO has designated the Assistant records. Vice Chief of Naval Operations (N09B30) (h) Maintain no records describing as principal Privacy Act Coordinator how an individual exercises his or her for the Department of the Navy to: rights guaranteed by the First Amend- (1) Set Department of the Navy pol- ment (freedom of religion, political be- icy on the provisions of the Privacy liefs, speech, and press; peaceful assem- Act. blage; and petition for redress of griev- (2) Serve as principal advisor on all ances), unless they are: Privacy Act matters. (1) Expressly authorized by statute; (3) Oversee the administration of the (2) Authorized by the individual; Privacy Act program, which includes

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preparing the Department of the Navy standards, forms, and reports), as ap- Privacy Act report for submission to propriate. Congress. (7) Provide guidance on handling Pri- (4) Develop Navy-wide Privacy Act vacy Act requests and scope of Privacy training program and serve as training- Act exemptions. oversight manager. (8) Conduct staff assistance visits (5) Conduct staff assistance visits within command and lower echelon within Department of the Navy to re- commands to ensure compliance with view compliance with 5 U.S.C. 552a and the Privacy Act. this subpart and subpart G of this part. (9) Echelon 2 Privacy Act Coordina- (6) Coordinate and prepare responses tors shall provide CNO (N09B30) with a for Privacy Act requests received for complete listing of all Privacy Act Co- Office of the Secretary of the Navy ordinators under their jurisdiction. records. Such information should include activ- (b) Commandant of the Marine Corps ity name and address, office code, (CMC). CMC is responsible for admin- name of Privacy Act Coordinator, com- istering and supervising the execution mercial and DSN telephone number, of this subpart and subpart G of this and FAX number, if applicable. part within the Marine Corps. The (d) Release authority. Officials having Commandant has designated the Direc- cognizance over the requested subject tor, Manpower Management Informa- matter are authorized to respond to re- tion Systems Division (HQMC (Code quests for notification, access, and/or MI)) as the Privacy Act coordinator for amendment of records. These officials Headquarters, U.S. Marine Corps. could also be systems managers (see § 701.104(g)). (c) Privacy Act Coordinator. Each ad- (e) Denial authority. Within the De- dressee is responsible for implementing partment of the Navy, the following and administering a Privacy Act pro- chief officials, their respective vice gram under this subpart and subpart G commanders, deputies, principal assist- of this part. Each addressee shall des- ants, and those officials specifically ignate a Privacy Act Coordinator to: designated by the chief official are au- (1) Serve as principal point of contact thorized to deny requests, either in on Privacy Act matters. whole or in part, for notification, ac- (2) Provide training for activity/com- cess and amendment, made under this mand personnel on the provisions of 5 subpart and subpart G of this part, U.S.C. 552a and this subpart and sub- when the records relate to matters part G of this part. within their respective areas of respon- (3) Issue implementing instruction sibility or chain of command: which designates the activity’s Privacy (1) Department of the Navy. Civilian Act Coordinator, Privacy Act records Executive Assistants; CNO; CMC; Chief disposition, Privacy Act processing of Naval Personnel; Commanders of the procedures, identification of Privacy Naval Systems Commands, Office of Act systems of records under their cog- Naval Intelligence, Naval Security nizance, and training aids for those Group Command, Naval Imaging Com- personnel involved with systems of mand, and Naval Computer and Tele- records. communications Command; Chief, Bu- (4) Review internal directives, prac- reau of Medicine and Surgery; Auditor tices, and procedures, including those General of the Navy; Naval Inspector having Privacy Act implications and General; Director, Office of Civilian where Privacy Act Statements (PASs) Personnel Management; Chief of Naval are needed. Education and Training; Commander, (5) Compile input and submit consoli- Naval Reserve Force; Chief of Naval dated Privacy Act report to Echelon 2 Research; Commander, Naval Oceanog- Privacy Act Coordinator, who, in turn, raphy Command; heads of Department will provide consolidated report to CNO of the Navy Staff Offices, Boards, and (N09B30). Councils; Flag Officers and General Of- (6) Maintain liaison with records ficers. NJAG and his Deputy, and OGC management officials (i.e., mainte- and his Deputies are excluded from this nance and disposal procedures and grant of authorization. While NJAG

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and OGC are not denial authorities, ations Notes (OPNAVNOTEs) 5211 6, they are authorized to further delegate ‘‘Current Privacy Act Issuances’’) the authority conferred here to other shall: senior officers/officials within NJAG (1) Ensure the system has been pub- and OGC. lished in the FEDERAL REGISTER and (2) For the shore establishment.(i) All that any additions or significant officers authorized under Article 22, changes are submitted to CNO (N09B30) Uniform Code of Military Justice for approval and publication. The sys- (UCMJ) or designated in section 0120, tems of records should be maintained Manual of the Judge Advocate General in accordance with the systems notices (JAGINST 5800.7C) 5, to convene general as published in the periodic Chief of courts-martial. Naval Operations Notes (ii) Commander, Naval Investigative (OPNAVNOTEs) 5211, ‘‘Current Privacy Service Command. Act Issuances.’’ (iii) Deputy Commander, Naval Legal (2) Maintain accountability records Service Command. of disclosures. (3) In the Operating Forces. All officers (h) authorized by Article 22, Uniform Code Department of the Navy employees. of Military Justice (UCMJ), or des- Each employee of the Department of ignated in section 0120, Manual of the the Navy has certain responsibilities Judge Advocate General (JAGINST for safeguarding the rights of others. 5800.7C), to convene general courts- These include: martial. (1) Not disclosing any information (f) Review authority. (1) The Assistant contained in a system of records by Secretary of the Navy (Manpower and any means of communication to any Reserve Affairs), is the Secretary’s des- person or agency, except as authorized ignee, and shall act upon requests for by this subpart and subpart G of this administrative review of initial denials part. of requests for amendment of records (2) Not maintaining unpublished offi- related to fitness reports and perform- cial files which would fall under the ance evaluations of military personnel provisions of 5 U.S.C. 552a. (see § 701.111(c)(3)). (3) Safeguarding the privacy of indi- (2) The Judge Advocate General and viduals and confidentiality of personal General Counsel, as the Secretary’s information contained in a system of designees, shall act upon requests for records. administrative review of initial denials of records for notification, access, or § 701.105 Systems of records. amendment of records, as set forth in To be subject to this subpart and sub- § 701.111(c)(2) and (4). part G of this part, a ‘‘system of (3) The authority of the Secretary of records’’ must consist of ‘‘records’’ the Navy (SECNAV), as the head of an that are retrieved by the name, or agency, to request records subject to some other personal identifier, of an the Privacy Act from an agency exter- individual and be under the control of nal to the Department of Defense for Department of the Navy. civil or criminal law enforcement pur- (a) Retrieval practices. (1) Records in a poses, under subsection (b)(7) of 5 group of records that are not retrieved U.S.C. 552a, is delegated to the Com- by personal identifiers are not covered mandant of the Marine Corps, the Di- by this subpart and subpart G of this rector of Naval Intelligence, the Judge part, even if the records contain infor- Advocate General, and the General mation about individuals and are under Counsel. the control of Department of the Navy. (g) Systems manager. Systems man- The records must be retrieved by per- agers, as designated in Department of sonal identifiers to become a system of the Navy’s compilation of systems notices (periodic Chief of Naval Oper- records. (2) If records previously not retrieved by personal identifiers are rearranged 5 Copies available from the Judge Advocate General, Navy Department, 200 Stovall Street, Alexandria, VA 22332–2400. 6 See footnote 3 to § 701.101.

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so they are retrieved by personal iden- (2) First amendment rights include, tifiers, a new system notice must be but are not limited to, freedom of reli- submitted in accordance with § 701.107. gion, freedom of political beliefs, free- (3) If records in a system of records dom of speech, freedom of the press, are rearranged so retrieval is no longer the right to assemble, and the right to by personal identifiers, the records are petition. no longer subject to this subpart and (e) System manager’s evaluations and subpart G of this part and the records reviews. (1) Evaluate each new system system notice should be deleted in ac- of records. Before establishing a sys- cordance with § 701.107. tem of records, evaluate the informa- (b) Recordkeeping standards. A record tion to be included and consider the maintained in a system of records sub- following: ject to this subpart and subpart G of (i) The relationship of each item of this part must meet the following cri- information to be collected and re- teria: tained to the purpose for which the (1) Be accurate. All information in system is maintained (all information the record must be factually correct. must be relevant to the purpose); (2) Be relevant. All information con- (ii) The specific impact on the pur- tained in the record must be related to pose or mission if each category of in- the individual who is the record subject formation is not collected (all informa- and also must be related to a lawful tion must be necessary to accomplish a purpose or mission of the Department lawful purpose or mission.); of the Navy activity maintaining the (iii) The ability to meet the informa- record. tional needs without using personal (3) Be timely. All information in the identifiers (will anonymous statistical record must be reviewed periodically to records meet the needs?); ensure that it has not changed due to (iv) The length of time each item of time or later events. information must be kept; (4) Be complete. It must be able to (v) The methods of disposal; stand alone in accomplishing the pur- (vi) The cost of maintaining the in- pose for which it is maintained. formation; and (5) Be necessary. All information in the record must be needed to accom- (vii) Whether a system already exists plish a Department of the Navy mis- that serves the purpose of the new sys- sion or purpose established by Federal tem. Law or E.O. of the President. (2) Evaluate and review all existing (c) Authority to establish systems of systems of records. records. Identify the specific Federal (i) When an alteration or amendment statute or E.O. of the President that of an existing system is prepared pur- authorizes maintaining each system of suant to § 701.107(b) and (c), do the eval- records. When a naval activity uses its uation described in § 701.105(e). ‘‘internal housekeeping’’ statute, i.e., 5 (ii) Conduct the following reviews an- U.S.C. 301, Departmental Regulations, nually and be prepared to report, in ac- the naval instruction that implements cordance with § 701.104(c)(8), the results the statute should also be identified. A and corrective actions taken to resolve statute or E.O. authorizing a system of problems uncovered. records does not negate the responsibil- (A) Training practices to ensure all ity to ensure the information in the personnel are familiar with the re- system of records is relevant and nec- quirements of 5 U.S.C. 552a, and DoD essary. Directive 5400.11, ‘‘DoD Privacy Pro- (d) Exercise of First Amendment rights. gram’’, this subpart and subpart G of (1) Do not maintain any records de- this part, and any special needs their scribing how an individual exercises specific jobs entail. rights guaranteed by the First Amend- (B) Recordkeeping and disposal prac- ment of the U.S. Constitution unless tices to ensure compliance with this expressly authorized by Federal law; subpart and subpart G of this part. the individual; or pertinent to and (C) Ongoing computer matching pro- within the scope of an authorized law grams in which records from the sys- enforcement activity. tem have been matched with non-DoD

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records to ensure that the require- records to anyone outside the Federal ments of § 701.115 have been met. government, take reasonable steps to (D) Actions of Department of the ensure the record which is being dis- Navy personnel that resulted in either closed is accurate, relevant, timely, Department of the Navy being found and complete for the purposes it is civilly liable or a person being found being maintained. criminally liable under 5 U.S.C. 552a, to (h) Federal government contractors—(1) determine the extent of the problem Applicability to Federal government con- and find the most effective way of pre- tractors. (i) When a naval activity con- venting the problem from occurring in tracts for the operation of a system of the future. records to accomplish its function, the (E) Each system of records notice to activity must ensure compliance with ensure it accurately describes the sys- this subpart and subpart G of this part tem. Where major changes are needed, and 5 U.S.C. 552a. For the purposes of alter the system notice in accordance the criminal penalties described in 5 with § 701.107(b). If minor changes are U.S.C. 552a, the contractor and its em- needed, amend the system notice pur- ployees shall be considered employees suant to § 701.107(c). of the agency during the performance (iii) Every even-numbered year, re- of the contract. view a random sample of Department (ii) Consistent with Parts 24 and 52 of of the Navy contracts that provide for the Federal Acquisition Regulation the operation of a system of records to (FAR), contracts for the operation of a accomplish a Department of the Navy system of records shall identify specifi- function, to ensure the wording of each cally the record system and the work contract complies with the provisions to be performed, and shall include in of 5 U.S.C. 552a and § 701.105(h). the solicitations and resulting contract (iv) Every three years, beginning in the terms as prescribed by the FAR. 1992, review the routine use disclosures (iii) If the contractor must use associated with each system of records records that are subject to this subpart to ensure the recipient’s use of the and subpart G of this part to perform records continues to be compatible any part of a contract, the contractor with the purpose for which the infor- activities are subject to this subpart mation was originally collected. and subpart G of this part. (v) Every three years, beginning in (iv) This subpart and subpart G of 1993, review each system of records for this part do not apply to records of a which exemption rules have been estab- contractor that are: lished to determine whether each ex- (A) Established and maintained sole- emption is still needed. ly to assist the contractor in making (vi) When directed, send the reports internal contractor management deci- through proper channels to the CNO sions, such as records maintained by (N09B30). the contractor for use in managing the (f) Discontinued information require- contract; ments. (1) Immediately stop collecting (B) Maintained as internal contractor any category or item of information about individuals that is no longer jus- employee records, even when used in tified, and when feasible, remove the conjunction with providing goods or information from existing records. services to the naval activity; (2) Do not destroy records that must (C) Maintained as training records by be kept in accordance with retention an educational organization contracted and disposal requirements established by a naval activity to provide training under SECNAVINST 5212.5 7, ‘‘Disposal when the records of the contract stu- of Navy and Marine Corps Records.’’ dents are similar to and commingled (g) Review records before disclosing out- with training records of other students, side the Federal government. Before dis- such as admission forms, transcripts, closing a record from a system of and academic counseling and similar records; or 7 Copies available from OPNAV/SECNAV (D) Maintained by a consumer report- Directives Control Office, Washington Navy ing agency to which records have been Yard, Building 200, Washington, DC 20350– disclosed under contract in accordance 2000. with 31 U.S.C. 952d.

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(v) For contracting that is subject to (a) Minimum standards. (1) Conduct this subpart and subpart G of this part, risk analysis and management plan- naval activities shall publish instruc- ning for each system of records. Con- tions that: sider sensitivity and use of the records, (A) Furnish Privacy Act guidance to present and projected threats and personnel who solicit, award, or admin- vulnerabilities, and present and pro- ister Government contracts; jected cost-effectiveness of safeguards. (B) Inform prospective contractors of The risk analysis may vary from an in- their responsibilities under this sub- formal review of a small, relatively in- part and subpart G of this part and the sensitive system to a formal, fully Department of the Navy Privacy Pro- quantified risk analysis of a large, gram; complex, and highly sensitive system. (C) Establish an internal system for (2) Train all personnel operating a reviewing contractor’s performance for system of records or using records from compliance with the Privacy Act; and a system of records in proper record security procedures. (D) Provide for the biennial review of (3) Label information exempt from a random sample of contracts that are disclosure under this subpart and sub- subject to this subpart and subpart G part G of this part to reflect their sen- of this part. sitivity, such as ‘‘FOR OFFICIAL USE (2) Contracting procedures. The De- ONLY,’’ ‘‘PRIVACY ACT SENSITIVE: fense Acquisition Regulatory (DAR) DISCLOSE ON A NEED-TO-KNOW Council, which oversees the implemen- BASIS ONLY,’’ or some other state- tation of the FAR within the Depart- ment that alerts individuals of the sen- ment of Defense, is responsible for de- sitivity to the records. veloping the specific policies and pro- (4) Administer special administra- cedures for soliciting, awarding, and tive, physical, and technical safeguards administering contracts that are sub- to protect records processed or stored ject to this subpart and subpart G of in an automated data processing or this part and 5 U.S.C. 552a. word processing system to protect (3) Contractor compliance. Naval ac- them from threats unique to those en- tivities shall establish contract sur- vironments. veillance programs to ensure contrac- (b) Records disposal. (1) Dispose of tors comply with the procedures estab- records from systems of records so as lished by the DAR Council under the to prevent inadvertent disclosure. Dis- preceding subparagraph. posal methods are considered adequate (4) Disclosing records to contractors. if the records are rendered unrecogniz- Disclosing records to a contractor for able or beyond reconstruction (i.e., use in performing a contract let by a such as tearing, burning, melting, naval activity is considered a disclo- chemical decomposition, burying, sure within Department of the Navy. pulping, pulverizing, shredding, or mu- The contractor is considered the agent tilation). Magnetic media may be of Department of the Navy when re- cleared by completely erasing, over- ceiving and maintaining the records for writing, or degaussing the tape. that activity. (2) The transfer of large volumes of records (e.g., printouts and computer § 701.106 Safeguarding records in sys- cards) in bulk to a disposal activity tems of records. such as a Defense Reutilization and Establish appropriate administrative, Marketing Office for authorized dis- technical, and physical safeguards to posal is not a disclosure of records, if ensure the records in every system of the volume of records, coding of the in- records are protected from unauthor- formation, or some other factor render ized alteration, destruction, or disclo- it impossible to recognize any personal sure. Protect the records from reason- information about a specific individ- ably anticipated threats or hazards ual. that could result in substantial harm, (3) When disposing or destroying embarrassment, inconvenience, or un- large quantities of records from a sys- fairness to any individual on whom in- tem of records, care must be taken to formation is maintained. ensure that the bulk of the records is

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maintained to prevent easy identifica- (3) A change that alters the purpose tion of specific records. If such bulk is for which the information is used. In maintained, no special procedures are order to be an alteration, the change required. If bulk is not maintained, or must be one that is not reasonably in- if the form of the records makes indi- ferred from any of the existing pur- vidually identifiable information easily poses. discernable, dispose of the records in (4) A change to equipment configura- accordance with § 701.106(b)(1). tion (either hardware or software) that creates substantially greater use of § 701.107 Criteria for creating, altering, amending and deleting Privacy records in the system. For example, Act systems of records. placing interactive computer terminals (a) Criteria for a new system of records. at regional offices when the system A new system of records is one for was formerly used only at the head- which no existing system notice has quarters would be an alteration. been published in the FEDERAL REG- (5) A change in the manner in which ISTER. If a notice for a system of records are organized or in the method records has been canceled or deleted, by which records are retrieved. and it is determined that it should be (6) Combining record systems due to reinstated or reused, a new system no- a reorganization within Department of tice must be published in the FEDERAL the Navy. REGISTER. Advance public notice must (7) Retrieving by Social Security be given before a naval activity may Numbers (SSNs), records that pre- begin to collect information for or use viously were retrieved only by names a new system of records. The following would be an alteration if the present procedures apply: notice failed to indicate retrieval by (1) Describe in the record system no- SSNs. An altered system of records tice the contents of the record system must be published in the FEDERAL REG- and the purposes and routine uses for ISTER. Submission for an alteration which the information will be used and must contain a narrative statement, disclosed. the specific changes altering the sys- (2) The public shall be given 30 days tem, and the system of records notice. to comment on any proposed routine uses before the routine uses are imple- (c) Criteria for amending a systems of mented. records notice. Minor changes to pub- (3) The notice shall contain the date lished system of records notices are the system of records will become ef- considered amendments. All amend- fective. ments should be forwarded to CNO (b) Criteria for an alteration to a system (N09B30) for publication in the FED- of records notice. A system is considered ERAL REGISTER. When submitting an altered when any one of the following amendment to a system of records no- actions occur or is proposed: tice, the naval activity must include a (1) A significant increase or change description of the specific changes pro- in the number or types of individuals posed and the system of records notice. about whom records are maintained. (d) Criteria for deleting a system of For example, a decision to expand a records notice. When a system of records system of records that originally cov- is discontinued, incorporated into an- ered personnel assigned to only one other system, or determined to be no naval activity to cover personnel at longer subject to this subpart and sub- several installations would constitute part G of this part, a deletion notice an altered system. An increase or de- must be published in the FEDERAL REG- crease in the number of individuals ISTER. The deletion notice shall include covered due to normal growth or de- the system identification number, sys- crease is not an alteration. tem name, and the reason for deleting (2) A change that expands the types or categories of information main- it. If a system is deleted through incor- tained. For example, a personnel file poration into or merger with another that has been expanded to include med- system, identify the successor system ical records would be an alteration. in the deletion notice.

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§ 701.108 Collecting information about ity for soliciting the SSNs and whether individuals. it is mandatory for the individuals to (a) Collecting directly from the individ- provide their SSNs. E.O. 9397 requires ual. To the greatest extent practicable, federal agencies to use SSNs as numer- collect information for systems of ical identifiers for individuals in most records directly from the individual to federal records systems, however, it whom the record pertains if the record does not make it mandatory for indi- may be used to make an adverse deter- viduals to provide their SSNs. mination about the individual’s rights, (5) When entering military service or benefits, or privileges under the Fed- civilian employment with the Depart- eral programs. ment of the Navy, individuals must (b) Collecting information about indi- provide their SSNs. This is then the in- viduals from third persons. It might not dividual’s numerical identifier and is always be practical to collect all infor- used to establish personnel, financial, mation about an individual directly medical, and other official records (as from that person, such as verifying in- authorized by E.O. 9397). The individ- formation through other sources for se- uals must be given the notification de- curity or employment suitability described above. Once the individual has terminations; seeking other opinions, provided his or her SSN to establish such as a supervisor’s comments on the records, a notification is not re- past performance or other evaluations; quired when the SSN is requested only obtaining the necessary information for identification or to locate the directly from the individual would be records. exceptionally difficult or would result (6) The Federal Personnel Manual 8 in unreasonable costs or delays; or, the must be consulted when soliciting individual requests or consents to con- SSNs for use in systems of records tacting another person to obtain the maintained by the Office of Personnel information. Management. (c) Soliciting the social security number (7) A Department of the Navy activ- (SSN). (1) It is unlawful for any Fed- ity may request an individual’s SSN eral, State, or local government agency even though it is not required by Fed- to deny an individual a right, benefit, eral statute, or is not for a system of or privilege provided by law because records in existence and operating the individual refuses to provide his or prior to January 1, 1975. However, the her SSN. However, this prohibition separate Privacy Act Statement for does not apply if a Federal law requires the SSN, alone, or a merged Privacy that the SSN be provided, or the SSN is required by a law or regulation Act Statement covering both the SSN adopted before January 1, 1975, to ver- and other items of personal informa- ify the individual’s identity for a sys- tion, must make clear that disclosure tem of records established and in use of the number is voluntary. If the indi- before that date. vidual refuses to disclose his or her (2) Before requesting an individual to SSN, the activity must be prepared to provide the SSN, the individual must identify the individual by alternate be advised whether providing the SSN means. is mandatory or voluntary; by what (d) Contents of Privacy Act State- law or other authority the SSN is so- ment.(1) When an individual is re- licited; and what uses will be made of quested to furnish information about the SSN. himself/herself for a system of records, (3) The preceding advice relates only a Privacy Act Statement must be pro- to the SSN. If other information about vided to the individual, regardless of the individual is solicited for a system the method used to collect the infor- of records, a Privacy Act statement mation (i.e., forms, personal or tele- (PAS) also must be provided to him/ phonic interview, etc). If the informa- her. tion requested will not be included in a (4) The notice published in the FED- ERAL REGISTER for each system of 8 Copies available from the Office of Per- records containing SSNs solicited from sonnel Management, 1900 E Street, Washing- individuals must indicate the author- ton, DC 20415.

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system of records, a Privacy Act State- § 701.109 Access to records. ment is not required. (a) Individual access to records— (1) (2) The Privacy Act Statement shall Right of access. Only individuals who include the following: are subjects of records maintained in (i) The Federal law or E.O. that au- systems of records and by whose per- thorizes collecting the information sonal identifiers the records are re- (i.e., E.O. 9397 authorizes collection of trieved have the right of individual ac- SSNs); cess under this subpart and subpart G (ii) Whether or not it is mandatory of this part, unless they provide writ- for the individual to provide the re- ten authorization for their representa- quested information (It is only manda- tive to act on their behalf. Legal tory when a Federal law or E.O. of the guardians or parents acting on behalf President specifically imposes a re- of a minor child also have the right of quirement to furnish the information individual access under this subpart and provides a penalty for failure to do and subpart G of this part. so. If furnishing information is a condi- (2) Notification of record’s existence. tion for granting a benefit or privilege Each naval activity shall establish pro- voluntarily sought by the individual, it cedures for notifying an individual, in is voluntary for the individual to give response to his or her request, if a sys- the information.); tem of records identified by him/her (iii) The principle purposes for col- contains a record pertaining to the in- lecting the information; dividual. (iv) The routine uses that will be (3) Individual request for access. Indi- made of the information (i.e., to whom viduals shall address requests for ac- and why it will be disclosed outside the cess to records in systems of records to Department of Defense); and the system manager or the office des- (v) The possible effects on the indi- ignated in the Department of the Navy vidual if the requested information is compilation of system notices (periodic not provided. Chief of Naval Operations Notes (OPNAVNOTEs) 5211, ‘‘Current Privacy (3) The Privacy Act Statement must Act Issuances’’). appear on the form used to collect the (4) Verifying identity. (i) An individual information or on a separate form that shall provide reasonable verification of can be retained by the individual col- identity before obtaining access to lecting the information. If the informa- records. tion is collected by means other than a (ii) When requesting records in writ- form completed by the individual, i.e., ing, naval activities may not insist solicited over the telephone, the Pri- that a requester submit a notarized vacy Act Statement should be read to signature. The courts have ruled that the individual and if requested by the an alternative method of verifying individual, a copy sent to him/her. identity must be established for indi- There is no requirement that the individuals who do not have access to no- vidual sign the Privacy Act Statement. tary services. This alternative permits (e) Format for Privacy Act Statement. requesters to provide an unsworn dec- When forms are used to collect infor- laration that states ‘‘I declare under mation about individuals for a system perjury or penalty under the laws of of records, the Privacy Act Statement the United States of American that the shall appear as follows (listed in the foregoing is true and correct.’’ order of preference): (iii) When an individual seeks access (1) Immediately below the title of the in person, identification can be verified form, by documents normally carried by the (2) Elsewhere on the front page of the individual (i.e., identification card, form (clearly indicating it is the Pri- driver’s license, or other license, per- vacy Act Statement), mit or pass normally used for identi- (3) On the back of the form with a no- fication purposes). tation of its location below the title of (iv) When access is requested other the form, or than in writing, identity may be veri- (4) On a separate form which the indi- fied by the individual’s providing mini- vidual may keep. mum identifying data such as full

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name, date and place of birth, or other to the individual pursuant to information necessary to locate the § 701.109(b). record sought. If the information (iii) If requested, explain any record sought is sensitive, additional identify- or portion of a record that is not un- ing data may be required. Telephonic derstood, as well as any changes or de- requests should not be honored. letions. (v) Allow an individual to be accom- (7) Illegible or incomplete records. Do panied by a person of his or her choice not deny an individual access solely be- when viewing the record; however, re- cause the physical condition or format quire the individual to provide written of the record does not make it readily authorization to have the record dis- available (i.e., when the record is in a cussed in front of the other person. deteriorated state or on magnetic (vi) Do not deny access to an individ- tape). Either prepare an extract or re- ual who is the subject of the record copy the document exactly. solely for refusing to divulge his or her SSN, unless it is the only means of re- (8) Access by parents and legal guard- trieving the record or verifying iden- ians. (i) The parent of any minor, or tity. the legal guardian of any individual de- (vii) Do not require the individual to clared by a court of competent juris- explain why he or she is seeking access diction to be incompetent due to phys- to a record under this subpart and sub- ical or mental incapacity or age, may part G of this part. obtain access to the record of the (viii) Only a designated denial au- minor or incompetent individual if the thority may deny access. The denial parent or legal guardian is acting on must be in writing and contain the in- behalf or for the benefit of the minor or formation required by § 701.109(d). incompetent. However, with respect to (5) Blanket requests not honored. Do access by parents and legal guardians not honor requests from individuals for to medical records and medical deter- notification and/or access concerning minations about minors, use the fol- all Department of the Navy systems of lowing procedures: records. In these instances, notify the (A) In the United States, the laws of individual that requests for notifica- the state where the records are located tion and/or access must be directed to might afford special protection to cer- the appropriate system manager for tain medical records (i.e., drug and al- the particular record system being re- cohol abuse treatment, and psychiatric quested, as indicated in the periodic records). The state statutes might Chief of Naval Operations Notes apply even if the records are main- (OPNAVNOTEs) 5211, ‘‘Current Privacy tained by a naval medical facility. Act Issuances’’; and the request must (B) For installations located outside either designate the particular system the U.S., the parent or legal guardian of records to be searched, or provide of a minor shall be denied access if all sufficient information for the system four of the following conditions are manager to identify the appropriate met: system. Also, provide the individual (1) The minor at the time of the with any other information needed for treatment or consultation was 15, 16, or obtaining consideration of his or her 17 years old; request. (6) Granting individual access to (2) The treatment or consultation records. (i) Grant the individual access was within a program authorized by to the original record (or exact copy) law or regulation to provide confiden- without any changes or deletions, tiality to the minor; other than those made in accordance (3) The minor indicated a desire that with § 701.113. the treatment or consultation record (ii) Grant the individual’s request for be handled in confidence and not dis- an exact copy of the record, upon the closed to a parent or guardian; and signed authorization of the individual, (4) The parent or legal guardian does and provide a copy to anyone des- not have the written authorization of ignated by the individual. In either the minor or a valid court order grant- case, the copying fees may be assessed ing access.

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(ii) A minor or incompetent has the amended by the Freedom of Informa- same right of access as any other indi- tion Reform Act of 1986, are processed vidual under this subpart and subpart under Secretary of the Navy Instruc- G of this part. The right of access of tion 5720.42E, ‘‘Department of the Navy the parent or legal guardian is in addi- Freedom of Information Act Program.’’ tion to that of the minor or incom- (ii) Access requests that specifically petent. state or reasonably imply that they are (9) Access to information compiled in made under 5 U.S.C. 552a are processed reasonable anticipation of a civil proceed- under this subpart and subpart G of ing. (i) An individual is not entitled this part. under this subpart and subpart G of (iii) Access requests that cite both 5 this part to access information com- U.S.C. 552a, as amended by the Com- piled in reasonable anticipation of a puter Matching Act of 1988 and 5 U.S.C. civil action or proceeding. 552 (1988) as amended by the Freedom (ii) The term ‘‘civil action or proof Information Reform Act are proc- ceeding’’ includes quasi-judicial and essed under the Act that provides the pre-trial judicial proceedings, as well greater degree of access. Inform the re- as formal litigation. quester which instruction was used in (iii) Section 701.109(9)(i) and (ii) do granting or denying access. not prohibit access to records compiled (iv) Do not penalize the individual or used for purposes other than litiga- access to his or her records otherwise tion, nor prohibit access to systems of releasable under 5 U.S.C. 552a and peri- records solely because they are fre- odic Chief of Naval Operations Notes quently subject to litigation. The in- (OPNAVNOTEs) 5211, ‘‘Current Privacy formation must have been compiled for Act Issuances’’, simply because he or the primary purpose of litigation. she failed to cite the appropriate stat- (10) Personal notes or records not under ute or instruction. the control of the Department of the (12) Time Limits. Acknowledge re- Navy. (i) Certain documents under the quests for access made under Privacy control of a Department of the Navy Act or this subpart and subpart G of employee and used to assist him/her in this part within 10 working days after performing official functions are not receipt, and advise the requester of considered Department of the Navy your decision to grant/deny access records within the meaning of this sub- within 30 working days. part and subpart G of this part. These (b) Reproduction fees. Normally, only documents are not systems of records one copy of any record or document that are subject to this subpart and will be provided. Checks or money or- subpart G of this part, if they are: ders for fees should be made payable to (A) Maintained and discarded solely the Treasurer of the United States and at the discretion of the author; deposited to the miscellaneous receipts (B) Created only for the author’s per- of the treasury account maintained at sonal convenience; the finance office servicing the activ- (C) Not the result of official direction ity. or encouragement, whether oral or written; and (1) Fee schedules shall include only (D) Not shown to other persons for the direct cost of reproduction and any reason or filed in agency files. shall not include costs of: (11) Relationship between the Privacy (i) Time or effort devoted to search- Act and FOIA. In some instances, indi- ing for or reviewing the record by viduals requesting access to records naval personnel; pertaining to themselves may not (ii) Fees not associated with the ac- know which Act to cite as the appro- tual cost of reproduction; priate statutory authority. The follow- (iii) Producing a copy when it must ing guidelines are to ensure that the be provided to the individual without individuals receive the greatest degree cost under another regulation, direc- of access under both Acts: tive, or law; (i) Access requests that specifically (iv) Normal postage; state or reasonably imply that they are (v) Transportation of records or per- made under 5 U.S.C. 552 (1988) as sonnel; or

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(vi) Producing a copy when the indi- cess shall be refused. The refusal is not vidual has requested only to review the considered a denial for reporting pur- record and has not requested a copy to poses under the Privacy Act. keep, and the only means of allowing (d) Notifying the individual. Written review is to make a copy (e.g., the denial of access must be given to the record is stored in a computer and a individual. The denial letter shall in- copy must be printed to provide indi- clude: vidual access, or the naval activity (1) The name, title, and signature of does not wish to surrender temporarily a designated denial authority; the original record for the individual to (2) The date of the denial; review). (3) The specific reason for the denial, (2) Fee schedules. citing the appropriate subsections of 5 (i) Office copy (per page)...... $.10 U.S.C. 552a or this subpart and subpart (ii) Microfiche (per fiche)...... $.25 G of this part authorizing the denial; (3) Fee waivers. Waive fees automati- (4) The individual’s right to appeal cally if the direct cost of reproduction the denial within 60 calendar days of is less than $15, unless the individual is the date the notice is mailed; and seeking an obvious extension or dupli- (5) The title and address of the review cation of a previous request for which authority. he or she was granted a waiver. Deci- sions to waive or reduce fees that ex- § 701.110 Amendment of records. ceed $15 are made on a case-by-case basis. (a) Individual review and amendment. (c) Denying individual access. (1) Deny Encourage individuals to review peri- the record subject access to requested odically, the information maintained record only if it was compiled in rea- about them in systems of records, and sonable anticipation of a civil action or to avail themselves of the amendment proceeding or is in a system of records procedures established by this subpart that has been exempt from the access and subpart G of this part. provisions of § 701.113. (1) Right to amend. An individual may (2) Deny the individual access only to request to amend any record retrieved those portions of the record for which by his or her personal identifier from a the denial will serve a legitimate gov- system of records, unless the system ernment purpose. An individual may be has been exempt from the amendment refused access for failure to comply procedures under this subpart. Amend- with established procedural requirements under this subpart and subpart ments, but must be told the specific G of this part are limited to correcting reason for the refusal and the proper factual matters, not matters of opinion access procedures. (i.e., information contained in evalua- (3) Deny the individual access to his tions of promotion potential or per- or her medical and psychological formance appraisals). When records records if it is determined that access sought to be amended are covered by could have an adverse affect on the another issuance, the administrative mental or physical health of the indi- procedures under that issuance must be vidual. This determination normally exhausted before using the Privacy should be made in consultation with a Act. In other words, the Privacy Act medical practitioner. If it is medically may not be used to avoid the adminis- indicated that access could have an ad- trative procedures required by the issu- verse mental or physical effect on the ance actually covering the records in individual, provide the record to a question. medical practitioner named by the in- (2) In writing. Amendment requests dividual, along with an explanation of shall be in writing, except for routine why access without medical super- administrative changes, such as change vision could be harmful to the individ- of address. ual. In any case, do not require the (3) Content of amendment request. An named medical practitioner to request amendment request must include a de- the record for the individual. If, how- scription of the information to be ever, the individual refuses or fails to amended; the reason for the amend- designate a medical practitioner, ac- ment; the type of amendment action

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sought (i.e., deletion, correction, or ad- notify the individual and make the ap- dition); and copies of available docu- propriate amendment. mentary evidence supporting the re- (2) Notify previous recipients. Notify quest. all previous recipients of the informa- (b) Burden of proof. The individual tion (as reflected in the disclosure ac- must provide adequate support for the counting record) that the amendment request. has been made and provide each a copy (c) Verifying identity. The individual of the amended record. Recipients who may be required to provide identifica- are known to be no longer retaining tion to prevent the inadvertent or in- the record need not be advised of the tentional amendment of another’s amendment. If it is known that other record. Use the verification guidelines naval activities, DoD components, or provided in § 701.109(a)(4). (d) Limits on amending judicial and Federal agencies have been provided quasi-judicial evidence and findings. This the information that now requires subpart and subpart G of this part do amendment, or if the individual re- not permit the alteration of evidence quests that these agencies be notified, presented in the course of judicial or provide the notification of amendment quasi-judicial proceedings. Amend- even if those activities or agencies are ments to such records must be made in not listed on the disclosure accounting accordance with procedures established form. for such proceedings. This subpart and (h) Denying an amendment request in subpart G of this part do not permit a whole or in part. If the amendment re- collateral attack on a judicial or quasi- quest is denied in whole or in part, judicial finding; however, this subpart promptly notify the individual in writ- and subpart G of this part may be used ing. Include in the notification to the to challenge the accuracy of recording individual the following: the finding in a system of records. (1) Those sections of 5 U.S.C. 552a or (e) Standards for amendment request this subpart and subpart G of this part determinations. The record which the in- upon which the denial is based; dividual requests to be amended must (2) His or her right to appeal to the meet the recordkeeping standards es- head of the activity for an independent tablished in § 701.105. The record must review of the initial denial; be accurate, relevant, timely, complete, and necessary. If the record in (3) The procedures for requesting an its present state does not meet each of appeal, including the title and address the criteria, grant the amendment re- of the official to whom the appeal quest to the extent necessary to meet should be sent; and them. (4) Where the individual can receive (f) Time limits. Within 10 working days assistance in filing the appeal. of receiving an amendment request, the (i) Requests for amending OPM records. systems manager shall provide the in- The records in an OPM government- dividual a written acknowledgement of wide system of records are only tempo- the request. If action on the amend- rarily in the custody of naval activi- ment request is completed within the ties. Requests for amendment of these 10 working days and the individual is records must be processed in accord- so informed, no separate acknowledg- ance with OPM Regulations and the ment is necessary. The acknowledg- Federal Personnel Manual. The denial ment must clearly identify the request authority may deny a request, but all and advise the individual when to ex- denials are subject to review by the As- pect notification of the completed ac- sistant Director for Workforce Infor- tion. Only under exceptional cir- mation, Personnel Systems Oversight cumstances should more than 30 work- Group, Office of Personnel Manage- ing days be required to complete the action on an amendment request. ment, 1900 E Street, NW, Washington, (g) Granting an amendment request in DC 20415. whole or in part—(1) Notify the requester. (j) Individual’s statement of disagree- To the extent the amendment request ment. (1) If the review authority refuses is granted, the systems manager shall to amend the record as requested, the

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individual may submit a concise state- when the appeal reaches the office of ment of disagreement listing the rea- the review authority having jurisdic- sons for disagreeing with the refusal to tion over the record. Misdirected ap- amend. peals should be referred expeditiously (2) If possible, incorporate the state- to the proper review authority. ment of disagreement into the record. (c) Review authorities. ASN (M&RA), If that is not possible, annotate the NJAG, and OGC are authorized to adju- record to reflect that the statement dicate appeals made to SECNAV. NJAG was filed and maintain the statement and OGC are further authorized to dele- so that it can be readily obtained when gate this authority to a designated As- the disputed information is used or dis- sistant NJAG and the Principal Deputy closed. General or Deputy General Counsel, re- (3) Furnish copies of the statement of spectively, under such terms and condi- disagreement to all individuals listed tions as they deem appropriate. on the disclosure accounting form (ex- (1) If the record is from a civilian Of- cept those known to be no longer re- ficial Personnel Folder or is contained taining the record), as well as to all on any other OPM forms, send the ap- other known holders of copies of the peal to the Assistant Director for record. Workforce Information, Personnel Sys- (4) Whenever the disputed informa- tems and Oversight Group, Office of tion is disclosed for any purpose, en- Personnel Management, 1900 E Street, sure that the statement of disagree- NW, Washington, DC 20415. Records in ment also is used or disclosed. all systems of records maintained in (k) Department of the Navy statement accordance with the OPM government- of reasons. (1) If the individual files a wide systems notices are only in the statement of disagreement, the naval temporary custody of the Department activity may file a statement of rea- of the Navy. sons containing a concise summary of (2) If the record pertains to the em- the activity’s reasons for denying the ployment of a present or former Navy amendment request. and Marine Corps civilian employee, (2) The statement of reasons shall such as Navy or Marine Corps civilian contain only those reasons given to the personnel records or an employee’s individual by the appellate official and grievance or appeal file, to the General shall not contain any comments on the Counsel, Navy Department, Washing- individual’s statement of disagree- ton, DC 20360–5110. ment. (3) If the record pertains to a present (3) At the discretion of the naval ac- or former military member’s fitness re- tivity, the statement of reasons may be ports or performance evaluations to disclosed to those individuals, activi- the Assistant Secretary of the Navy ties, and agencies that receive the (Manpower and Reserve Affairs), Navy statement of disagreement. Department, Washington, DC 20350– 1000. § 701.111 Privacy Act appeals. (4) All other records dealing with (a) How to file an appeal. The follow- present or former military members to ing guidelines shall be followed by indi- the Judge Advocate General, Navy De- viduals wishing to appeal a denial of partment, 200 Stovall Street, Alexan- notification, access, or amendment of dria, VA 22332–2400. records. (d) Appeal procedures. (1) If the appeal (1) The appeal must be received by is granted, the review authority shall the cognizant review authority (i.e., advise the individual that his or her ASN (M&RA), NJAG, OGC, or OPM) appeal has been granted and provide within 60 calendar days of the date of access to the record being sought. the response. (2) If the appeal is denied totally or (2) The appeal must be in writing and in part, the appellate authority shall requesters should provide a copy of the advise the reason(s) for denying the ap- denial letter and a statement of their peal, citing the appropriate subsections reasons for seeking review. of 5 U.S.C. 552a or this subpart and sub- (b) Time of receipt. The time limits for part G of this part that apply; the date responding to an appeal commence of the appeal determination; the name,

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title, and signature of the appellate au- ity may contact the record subject (if thority; and a statement informing the reasonably available) to verify the ac- requester of his or her right to seek ju- curacy, timeliness, completeness, and dicial relief in the Federal District relevancy of the information. Court. (ii) If validation cannot be obtained (e) Final action, time limits and docu- from the record and the record subject mentation. (1) The written appeal notifi- is not reasonably available, advise the cation granting or denying access is recipient that the information is be- the final naval activity action on the lieved to be valid as of a specific date initial request for access. and reveal any factors bearing on the (2) All appeals shall be processed validity of the information. within 30 working days of receipt, un- (b) Nonconsensual disclosures. 5 U.S.C. less the appellate authority finds that 552a provides 12 instances when a an adequate review cannot be com- record in a system of records may be pleted within that period. If additional disclosed without the written consent time is needed, notify the applicant in of the record subject: writing, explaining the reason for the (1) Disclosures within the Department delay and when the appeal will be com- of Defense. For purposes of disclosing pleted. records, the Department of Defense is (f) Denial of appeal by activity’s failure considered a single agency; hence, a to act. An individual may consider his record may be disclosed to any officer or her appeal denied if the appellate or employee in the Department of De- authority fails to: fense (including private contractor per- (1) Take final action on the appeal sonnel who are engaged to perform within 30 working days of receipt when services needed in connection with the no extension of time notice was given; operation of a system of records for a or DoD component), who have a need for (2) Take final action within the pe- the record in the performance of their riod established by the notice to the duties, provided this use is compatible appellate authority of the need for an with the purpose for which the record extension of time to complete action is maintained. This provision is based on the appeal. on the ‘‘need to know’’ concept. (i) For example, this may include dis- § 701.112 Disclosure of records. closure to personnel managers, review (a) Conditions of disclosure. (1) 5 U.S.C. boards, discipline officers, courts-mar- 552a prohibits an agency from disclos- tial personnel, medical officers, inves- ing any record contained in a system of tigating officers, and representatives of records to any person or agency, except the Judge Advocate General, Auditor when the record subject gives written General, Naval Inspector General, or consent for the disclosure or when one the Naval Investigative Service, who of the 12 conditions listed below in this require the information in order to dis- subsection applies. charge their official duties. Examples (2) Except for disclosures made under of personnel outside the Department of 5 U.S.C. 552 (1988) as amended by the the Navy who may be included are: Freedom of Information Reform Act of Personnel of the Joint Staff, Armed 1986 and Secretary of the Navy Instruc- Forces Entrance and Examining Sta- tion 5720.42E, ‘‘Department of the Navy tions, Defense Investigative Service, or Freedom of Information Act Program,’’ the other military departments, who before disclosing any record from a sys- require the information in order to dis- tem of records to any recipient other charge an official duty. than a Federal agency, make reason- (ii) It may also include the transfer able efforts to ensure the record is ac- of records between naval components curate, relevant, timely, and complete and non-DoD agencies in connection for Department of the Navy purposes. with the Personnel Exchange Program Records discovered to have been im- (PEP) and interagency support agree- properly filed in the system of records ments. Disclosure accountings are not should be removed before disclosure. required for intra-agency disclosure (i) If validation cannot be obtained and disclosures made in connection from the record itself, the naval activ- with interagency support agreements

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or the PEP. Although some disclosures ability of further disclosure which may authorized by this paragraph might result in an unwarranted invasion of also meet the criteria for disclosure privacy; relationship of the requester under other exceptions specified in the to the public interest being served; following paragraphs of this section, newsworthiness of the individual to they should be treated under this para- whom the information pertains (i.e., graph for disclosure accounting pur- high ranking officer, public figure); de- poses. gree of sensitivity of the information (2) Disclosures required by the FOIA. (i) from the standpoint of the individual A record must be disclosed if required or the individual’s family, and its po- by 5 U.S.C. 552 (1988) as amended by the tential for being misused to the harm, Freedom of Information Reform Act of embarrassment, or inconvenience of 1986, which is implemented by Sec- the individual or the individual’s fam- retary of the Navy Instruction 5720.42E, ‘‘Department of the Navy Freedom of ily; the passage of time since the event Information Act Program.’’ which is the topic of the record (i.e., to (ii) 5 U.S.C. 552 (1988) as amended by disclose that an individual has been ar- the Freedom of Information Reform rested and is being held for trial by Act of 1986 and Secretary of the Navy court-martial is normally permitted, Instruction 5720.42E, ‘‘Department of while to disclose an arrest which did the Navy Freedom of Information Act not result in conviction might not be Program’’ require that records be made permitted after the passage of time); available to any person requesting and the degree to which the informa- them in writing, unless the record is tion is already in the public domain or exempt from disclosure under one of is already known by the particular re- the nine FOIA exemptions. Therefore, quester. if a record is not exempt from disclo- (iv) Records or information from insure, it must be provided to the re- vestigatory records, including person- quester. nel security investigatory records, are (iii) Certain records, such as person- exempt from disclosure under the nel, medical, and similar files, are ex- broader standard of ‘‘an unwarranted empt from disclosure under exemption invasion of personal privacy’’ found in (b)(6) of 5 U.S.C. 552 (1988) as amended exemption (b)(7)(C) of 5 U.S.C. 552. This by the Freedom of Information Act Re- broader standard applies only to form Act of 1986. Under that exemp- records or information compiled for tion, disclosure of information pertain- law enforcement purposes. ing to an individual can be denied only when the disclosure would be a clearly (v) A disclosure under 5 U.S.C. 552 unwarranted invasion of personal pri- about military members must be in ac- vacy. The first step is to determine cordance with Secretary of the Navy whether a viable personal privacy in- Instruction 5720.42E, ‘‘Department of terest exists in these records involving the Navy Freedom of Information Act an identifiable living person. The sec- Program’’, but the following informa- ond step is to consider how disclosure tion normally may be disclosed from would benefit the general public in military personnel records (except for light of the content and context of the those personnel assigned to sensitive or information in question. The third step routinely deployable units, or located is to determine whether the identified in a foreign territory), without a clear- public interests qualify for consider- ly unwarranted invasion of personal ation. The fourth step is to balance the privacy: Full name, rank, date of rank, personal privacy interests against the base pay, past duty stations, present qualifying public interest. Numerous duty station and future duty station (if factors must be considered such as: The finalized), unless the stations have nature of the information to be dis- been determined by the Department of closed (i.e., Do individuals normally the Navy to be sensitive, routinely have an expectation of privacy in the deployable, or located in a foreign ter- type of information to be disclosed?); ritory, office or duty telephone num- importance of the public interest ber, source of commission, promotion served by the disclosure and prob-

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sequence number, awards and decora- consent. If the information is to be dis- tions, attendance at professional mili- closed for any other purpose, a signed tary schools, and duty status at any consent permitting the additional dis- given time. closure must be obtained from the indi- (vi) The following information nor- vidual. mally may be disclosed from civilian (B) Before listing home addresses and employee records about CONUS em- telephone numbers in Department of ployees: Full name, present and past the Navy telephone directories, give position titles and occupational series, the individual the opportunity to present and past grades, present and refuse such a listing. If the individual past annual salary rates (including per- requests that the home address or tele- formance awards or bonuses, incentive phone number not be listed in the di- awards, merit pay amount, Meritorious rectory, do not assess any additional and Distinguished Executive Ranks, fee associated with maintaining an un- and allowances and differentials), past listed number for government-owned duty stations, present duty station and telephone services. future duty station (if finalized), in- (C) The sale or rental of lists of cluding room numbers, shop designa- names and addresses is prohibited un- tions, or other identifying information less such action is specifically author- regarding buildings or places of em- ized by Federal law. This does not pro- ployment, unless the duty stations hibit the disclosure of names and ad- have been determined by the Depart- dresses made under Secretary of the ment of the Navy to be sensitive, rou- Navy Instruction 5720.42E, ‘‘Depart- tinely deployable, or located in a for- ment of the Navy Freedom of Informa- eign territory, position descriptions, tion Act Program.’’ identification of job elements, and (D) In response to FOIA requests, in- those performance standards (but not formation concerning special and gen- actual performance appraisals) that eral courts-martial results (e.g., the disclosure of which would not records of trial) are releasable. How- interfere with law enforcement pro- ever, information regarding summary grams or severely inhibit Department courts-martial and non-judicial punish- of the Navy effectiveness. ment are generally not releasable. The (viii) Disclosure of home addresses balancing of interests must be done. It and home telephone numbers normally is possible that in a particular case, in- is considered a clearly unwarranted information regarding non-judicial pun- vasion of personal privacy and is pro- ishment should be disclosed pursuant hibited. However, they may be dis- to a FOIA request (i.e., the facts lead- closed if the individual has consented ing to a nonjudicial punishment are to the disclosure; the disclosure is re- particularly newsworthy or the case in- quired by the FOIA; the disclosure is volves a senior official abusing the required by another law, such as 42 public trust through office-related mis- U.S.C. 653, which provides assistance to conduct, such as embezzlement). An- states in locating parents who have de- nouncement of nonjudicial punishment faulted on child support payments, or dispositions under JAGMAN, sub- the collection of alimony, and to state section 0107, is a proper exercise of and local tax authorities for the pur- command authority and not a release pose of enforcing tax laws. However, of information under FOIA or this sub- care must be taken prior to release to part and subpart G of this part. Excep- ensure that a written record is pre- tions to this policy must be coordi- pared to document the reasons for the nated with CNO (N09B30) or CMC (MI– release determination. 3) prior to responding to requesters, in- (A) When compiling home addresses cluding all requests for this type of in- and telephone numbers, the individual formation from members of Congress. may be offered the option of authoriz- (3) Disclosures for established routine ing disclosure of the information with- uses. (i) Records may be disclosed out- out further consent for specific pur- side the Department of the Navy if the poses, such as locator services. In that disclosure is for an established routine case, the information may be disclosed use. for the stated purpose without further (ii) A routine use shall:

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(A) Be compatible with and related to (5) Disclosures for statistical research or the purpose for which the record was reporting. Records may be disclosed to a created; recipient for statistical research or re- (B) Identify the persons or organiza- porting if: tions to whom the record may be dis- (i) Prior to the disclosure, the recipi- closed; ent has provided adequate written as- (C) Identify specifically the uses for surance that the records shall be used which the information may be em- solely for statistical research or re- ployed by the receiving person or orga- porting; and nization; and (ii) The records are transferred in a (D) Have been published previously in form that does not identify individuals. the FEDERAL REGISTER. (6) Disclosures to the National Archives (iii) A routine use shall be estab- and Records Administration. (i) Records lished for each user of the information may be disclosed to the National Ar- outside the Department of the Navy chives and Records Administration for who needs the information for an offi- evaluation to determine whether the cial purpose. records have sufficient historical or (iv) Routine uses may be established, other value to warrant preservation by discontinued, or amended without the the Federal government. If preserva- consent of the individuals to whom the tion is warranted, the records will be records pertain. However, new and retained by the National Archives and amended routine uses must be pub- Record Administration, which becomes lished in the FEDERAL REGISTER at the official owner of the records. least 30 days before the information (ii) Records may be disclosed to the may be disclosed under their provi- National Archives and Records Admin- sions. istration to carry out records manage- (v) In addition to the routine uses es- ment inspections required by Federal tablished by the Department of the law. Navy for each system of records, com- (iii) Records transferred to a Federal mon ‘‘Blanket Routine Uses,’’ applica- Records Center operated by the Na- ble to all record systems maintained tional Archives and Records Adminis- with the Department of the Navy, have tration for storage are not within this been established. These ‘‘Blanket Rou- category. Those records continue to be tine Uses’’ are published at the begin- maintained and controlled by the ning of the Department of the Navy’s transferring naval activity. The Fed- FEDERAL REGISTER compilation of eral Records Center is considered the record systems notices rather than at agent of Department of the Navy and each system notice and are also re- the disclosure is made under flected in periodic Chief of Naval Oper- § 701.112(b)(1). ations Notes (OPNAVNOTEs) 5211, (7) Disclosures when requested for law ‘‘Current Privacy Act Issuances.’’ Un- enforcement purposes. (i) A record may less a system notice specifically ex- be disclosed to another agency or an cludes a system of records from a instrumentality of any governmental ‘‘Blanket Routine Use,’’ all ‘‘Blanket jurisdiction within or under the con- Routine Uses’’ apply to that system. trol of the U.S. for a civil or criminal (vi) If the recipient has not been law enforcement activity if: identified in the FEDERAL REGISTER or (A) The civil or criminal law enforce- if the recipient, though identified, in- ment activity is authorized by law (fed- tends to employ the information for a eral, state or local); and purpose not published in the FEDERAL (B) The head of the agency (or his or REGISTER, the written consent of the her designee) has made a written re- individual is required before the disclo- quest to the naval activity specifying sure can be made. the particular record or portion desired (4) Disclosures to the Bureau of the and the law enforcement purpose for Census. Records may be disclosed to which it is sought. the Bureau of the Census for purposes (ii) Blanket requests for any and all of planning or carrying out a census, records pertaining to an individual survey, or related activities authorized shall not be honored. The requesting by 13 U.S.C. 8. agency must specify each record or

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portion desired and how each relates to disclosures to individual Members of the authorized law enforcement activ- Congress. ity. (A) When responding to a congres- (iii) If a naval activity discloses a sional inquiry made on behalf of a con- record outside the Department of De- stituent by whose identifier the record fense for law enforcement purposes is retrieved, there is no need to verify without the individual’s consent and that the individual has authorized the without an adequate written request, disclosure to the Member of Congress. the disclosure must be under an estab- (B) The oral or written statement of lished routine use, such as the ‘‘Blan- a Congressional staff member is suffi- ket Routine Use’’ for law enforcement. cient to establish that a request has (iv) Disclosure to foreign law enforce- been received from the individual to ment agencies is not governed by the whom the record pertains. provisions of 5 U.S.C. 552a and this (C) If the constituent inquiry is made paragraph, but may be made only on behalf of an individual other than under established ‘‘Blanket Routine the record subject, provide the Member Uses,’’ routine uses published in the in- of Congress only that information re- dividual record system notice, or to leasable under 5 U.S.C. 552. Advise the other governing authority. Member of Congress that the written (8) Disclosure to protect the health or consent of the record subject is re- safety of an individual. Disclosure may quired before additional information be made under emergency conditions may be disclosed. Do not contact the involving circumstances affecting the record subject to obtain consent for the health and safety of an individual (i.e., disclosure to the Member of Congress when the time required to obtain the unless the Congressional office specifi- consent of the individual to whom the cally requests it be done. records pertain might result in a delay (10) Disclosures to the Comptroller Gen- which could impair the health or safety eral for the General Accounting Office of a person) provided notification of (GAO). Records may be disclosed to the the disclosure is sent to the record sub- Comptroller General of the U.S., or au- ject. Sending the notification to the thorized representative, in the course last known address is sufficient. In in- of the performance of the duties of the stances where information is requested GAO. by telephone, an attempt will be made (11) Disclosures under court orders. (i) to verify the inquirer’s and medical fa- Records may be disclosed under the cility’s identities and the caller’s tele- order of a court of competent jurisdic- phone number. The requested information. tion, if then considered appropriate and (ii) When a record is disclosed under of an emergency nature, may be pro- this provision and the compulsory legal vided by return call. process becomes a matter of public (9) Disclosures to Congress. record, make reasonable efforts to no- (i) A record may be disclosed to ei- tify the individual to whom the record ther House of Congress at the request pertains. Notification sent to the last of either the Senate or House of Rep- known address of the individual is suf- resentatives as a whole. ficient. If the order has not yet become (ii) A record also may be disclosed to a matter of public record, seek to be any committee, subcommittee, or joint advised as to when it will become pub- committee of Congress if the disclosure lic. Neither the identity or the party to pertains to a matter within the legisla- whom the disclosure was made nor the tive or investigative jurisdiction of the purpose of the disclosure shall be made committee, subcommittee, or joint available to the record subject unless committee. the court order has become a matter of (iii) Disclosure may not be made to a public record. Member of Congress requesting in his (iii) The court order must bear the or her individual capacity. However, signature of a federal, state, or local for Members of Congress making in- judge. Orders signed by court clerks or quiries on behalf of individuals who are attorneys are not deemed to be orders subjects of records, a ‘‘Blanket Routine of a court of competent jurisdiction. A Use’’ has been established to permit photocopy of the order, regular on its

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face, will be sufficient evidence of the disclose my home address and tele- court’s exercise of its authority of the phone number to authorized represent- minimal requirements of atives of (name of commercial enter- SECNAVINST 5820.8A 9, ‘‘Release of Of- prise) to be used in connection with my ficial Information for Litigation Pur- commercial dealings with that enter- poses and Testimony by Department of prise. All information furnished will be the Navy Personnel.’’ used in connection with my financial (12) Disclosures to consumer reporting relationship with (name of commercial agencies. Certain information may be enterprise). disclosed to consumer reporting agen- (3) When a consent statement as de- cies (i.e., credit reference companies scribed in the preceding subsection is such as TRW and Equifax, etc.) as de- presented, provide the information to fined by the Federal Claims Collection the commercial enterprise, unless the Act of 1966 (31 U.S.C. 952d). Under the disclosure is prohibited by another reg- provisions of that Act, the following ulation or Federal law. information may be disclosed to a (4) Blanket consent statements that consumer reporting agency: do not identify the Department of De- (i) Name, address, taxpayer identi- fense or Department of the Navy, or fication number (SSN), and other infor- that do not specify exactly the information necessary to establish the iden- mation to be disclosed, may be honored tity of the individual; if it is clear that the individual, in (ii) The amount, status, and history signing the consent statement, was of the claim; and seeking a personal benefit (i.e., loan for (iii) The agency or program under a house or automobile) and was aware which the claim arose. 31 U.S.C. 952d of the type of information necessary to specifically requires that the FEDERAL obtain the benefit sought. REGISTER notice for the system of (5) Do not honor requests from com- records from which the information mercial enterprises for official evalua- will be disclosed indicate that the in- tions of personal characteristics such formation may be disclosed to a as personal financial habits. consumer reporting agency. (d) Disclosure of Health Care Records to (c) Disclosures to commercial enter- the Public. This paragraph applies to prises. Records may be disclosed to disclosure of information to the news commercial enterprises only under the media and the public concerning indi- criteria established by Secretary of the viduals treated or hospitalized in De- Navy Instruction 5720.42E and 42 U.S.C. partment of the Navy medical facilities 653, Parent Locator Service for En- and, when the cost of care is paid by forcement of Child Support. the Department of the Navy, in non- (1) Any information required to be Federal facilities. disclosed by Secretary of the Navy In- (1) Disclosures without the individ- struction 5720.42E and 42 U.S.C. 653, ual’s consent. Normally, the following Parent Locator Service for Enforce- information may be disclosed without ment of Child Support may be dis- the individual’s consent: closed to a requesting commercial en- (i) Information required to be re- terprise. leased by Secretary of the Navy In- (2) Commercial enterprises may struction 5720.42E and OPM Regula- present a consent statement signed by tions and the Federal Personnel Man- the individual indicating specific con- ual, as well as the information listed in ditions for disclosing information from § 701.112(b)(2)(v) for military personnel a record. Statements such as the fol- and in § 701.112(b)(2). lowing, if signed by the individual, are (ii) For civilian employees; and considered sufficient to authorize the (iii) General information concerning disclosure: I hereby authorize the De- medical conditions, i.e., date of admis- partment of the Navy to verify my SSN sion or disposition; present medical as- or other identifying information and to sessment of the individual’s condition if the medical practitioner has volun- 9 Copies available from the Judge Advocate teered the information, i.e., the indi- General, Navy Department, (Code 34), 200 vidual’s condition presently is (stable) Stovall Street, Alexandria, VA 22332–2400. (good) (fair) (serious) (critical), and the

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patient is (conscious) (semi-conscious) records maintained within the Depart- (unconscious). ment of the Navy vary widely, no uni- (2) Disclosures with the individual’s form method for keeping disclosure ac- consent. With the individual’s informed countings is prescribed. The primary consent, any information about the in- criteria are that the selected method dividual may be disclosed. If the indi- be one which will: vidual is a minor or has been declared (1) Enable an individual to ascertain incompetent by a court of competent what persons or agencies have received jurisdiction, the parent of the minor or disclosures pertaining to him/her; appointed legal guardian of the incom- (2) Provide a basis for informing re- petent may give consent on behalf of cipients of subsequent amendments or the individual. statements of dispute concerning the (e) Disclosure of Personal Information record; and on Group/Bulk Orders. Do not use per- (3) Provide a means to prove, if nec- sonal information including complete essary that the activity has complied SSNs, home addresses and phone num- with the requirements of 5 U.S.C. 552a bers, dates of birth, etc., on group/bulk and this subpart and subpart G of this orders. This personal information part. should not be posted on lists that ev- (h) Retention of Disclosure Accounting. eryone listed on the orders sees. Such a Maintain a disclosure accounting of disclosure of personal information vio- the life of the record to which the dis- lates the Privacy Act and this subpart closure pertains, or 5 years after the and subpart G of this part. date of the disclosure, whichever is (f) Disclosure Accounting. Keep an ac- longer. Disclosure accounting records curate record of all disclosures made are normally maintained with the from a record (including those made record, as this will ensure compliance with the consent of the individual) ex- with § 701.112(f). cept those made to DoD personnel for use in performing their official duties; § 701.113 Exemptions. and those made under the FOIA. Dis- (a) Using exemptions. No system of closure accounting is to permit the in- records is automatically exempt from dividual to determine what agencies or all provisions of 5 U.S.C. 552a. A system persons have been provided informa- of records is exempt from only those tion from the record, enable Depart- provisions of 5 U.S.C. 552a that are ment of the Navy activities to advise identified specifically in the exemption prior recipients of the record of any rule for the system. Subpart G of this subsequent amendments or statements part contains the systems designated of dispute concerning the record, and as exempt, the types of exemptions provide an audit trial of Department of claimed, the authority and reasons for the Navy’s compliance with 5 U.S.C. invoking the exemptions and the provi- 552a. sions of 5 U.S.C. 552a from which each (1) Disclosure accountings shall con- system has been exempt. Exemptions tain the date of the disclosure; a de- are discretionary on the part of De- scription of the information disclosed; partment of the Navy and are not effec- the purpose of the disclosure; and the tive until published as a final rule in name and address of the person or the FEDERAL REGISTER. The naval ac- agency to whom the disclosure was tivity maintaining the system of made. records shall make a determination (2) The record subject has the right of that the system is one for which an ex- access to the disclosure accounting exemption may be established and then cept when the disclosure was made at propose an exemption rule for the sys- the request of a civil or criminal law tem. Submit the proposal to CNO enforcement agency under (N09B30) for approval and publication § 701.112(b)(7); or when the system of in the FEDERAL REGISTER. records has been exempted from the re- (b) Types of exemptions. There are two quirement to provide access to the dis- types of exemptions permitted by 5 closure accounting. U.S.C. 552a. (g) Methods of disclosure accounting. (1) General exemptions. Those that au- Since the characteristics of various thorize the exemption of a system of

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records from all but specifically identi- (k)(1) exemption, without establishing an ex- fied provisions of 5 U.S.C. 552a. emption rule. (2) Specific exemptions. Those that (e) Exempt records in nonexempt sys- allow a system of records to be exempt tems. (1) An exemption rule applies to from only a few designated provisions the system of records for which it was of 5 U.S.C. 552a. established. If a record from an exempt (c) Establishing exemptions. (1) 5 U.S.C. system is incorporated intentionally 552a authorizes the Secretary of the into a system that has not been ex- Navy to adopt rules designating eligi- empt, the published notice and rules ble systems of records as exempt from for the nonexempt system will apply to certain requirements. The Secretary of the record and it will not be exempt the Navy has delegated the CNO from any provisions of 5 U.S.C. 552a. (N09B30) to make a determination that (2) A record from one component’s the system is one for which an exemp- (i.e., Department of the Navy) exempt- tion may be established and then pro- ed system that is temporarily in the pose and establish an exemption rule possession of another component (i.e., for the system. No system of records Army) remains subject to the published within Department of the Navy shall system notice and rules of the originat- be considered exempt until the CNO ing component’s (i.e., Department of (N09B30) has approved the exemption the Navy). However, if the non-origi- and an exemption rule has been pub- nating component incorporates the lished as a final rule in the FEDERAL record into its own system of records, REGISTER. A system of records is ex- the published notice and rules for the empt from only those provisions of 5 system into which it is incorporated U.S.C. 552a that are identified specifi- shall apply. If that system of records cally in the Department of the Navy has not been exempted, the record shall exemption rule for the system. not be exempt from any provisions of 5 (2) No exemption may be established U.S.C. 552a. for a system of records until the sys- (3) A record accidentally misfiled tem itself has been established by pub- into a system of records is governed by lishing a notice in the FEDERAL REG- the published notice and rules for the ISTER, at least 30 days prior to the ef- system of records in which it actually fective date, describing the system. should have been filed. This allows interested persons an op- (f) General exemptions—(1) Central In- portunity to comment. An exemption telligence Agency (CIA). The Depart- may not be used to deny an individual ment of the Navy is not authorized to access to information that he or she establish an exemption for records can obtain under Secretary of the Navy maintained by the CIA under sub- Instruction 5720.42E, ‘‘Department of section (j)(1) of 5 U.S.C. 552a. the Navy Freedom of Information Act (2) Law enforcement. (i) The general Program.’’ exemption provided by subsection (j)(2) (d) Exemption for classified material. of 5 U.S.C. 552a may be established to All systems of records maintained by protect criminal law enforcement the Department of the Navy shall be records maintained by Department of exempt under section (k)(1) of 5 U.S.C. the Navy. 552a, to the extent that the systems (ii) To be eligible for the (j)(2) exemp- contains any information properly tion, the system of records must be classified under E.O. 12958 and that is maintained by an element that per- required by that E.O. to be kept secret forms, as one of its principal functions, in the interest of national defense or the enforcement of criminal laws. The foreign policy. This exemption is appli- Naval Investigative Service, Naval In- cable to parts of all systems of records spector General, and military police including those not otherwise specifi- activities qualify for this exemption. cally designated for exemptions herein (iii) Criminal law enforcement in- which contain isolated items of prop- cludes police efforts to detect, prevent, erly classified information. control, or reduce crime, or to appre- Note: Department of the Navy Privacy Act hend criminals, and the activities of systems of records which contain classified prosecution, court, correctional, proba- information automatically qualify for a tion, pardon, or parole authorities.

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(iv) Information that may be pro- the record must meet the correspond- tected under the (j)(2) exemption in- ing criteria. cludes: NOTE: Department of the Navy Privacy Act (A) Information compiled for the pur- systems of records which contain classified pose of identifying criminal offenders information automatically qualify for a and alleged criminal offenders consist- (k)(1) exemption, without an established ex- ing of only identifying data and nota- emption rule. tions of arrests; the nature and disposi- (1) (k)(1) exemption: Information tion of criminal charges; and sentenc- properly classified under Secretary of ing, confinement, release, parole, and the Navy Instruction 5720.42E, ‘‘Depart- probation status; ment of the Navy Freedom of Informa- (B) Information compiled for the pur- tion Act Program’’ and E.O. 12958, in pose of a criminal investigation, in- the interest of national defense or for- cluding reports of informants and in- eign policy. vestigators, and associated with an (2) (k)(2) exemption: Investigatory in- identifiable individual; and formation (other than that information (C) Reports identifiable to an individ- within the scope of § 701.113(f)(2) com- ual, compiled at any stage of the en- piled for law enforcement purposes. If forcement process, from arrest, appre- maintaining the information causes an hension, indictment, or preferral of individual to be ineligible for or denied charges through final release from the any right, benefit, or privilege that he supervision that resulted from the or she would otherwise be eligible for commission of a crime. or entitled to under Federal law, then (v) The (j)(2) exemption does not he or she shall be given access to the apply to: information, except for the informa- (A) Investigative records maintained tion that would identify a confidential by a naval activity having no criminal source (see § 701.113(h), ‘‘confidential law enforcement duties as one of its source’’). The (k)(2) exemption, when principle functions, or established, allows limited protection (B) Investigative records compiled by on investigative records maintained for any element concerning individual’s use in personnel and administrative ac- suitability, eligibility, or qualification tions. for duty, employment, or access to (3) (k)(3) exemption: Records main- classified information, regardless of tained in connection with providing the principle functions of the naval ac- protective services to the President of tivity that compiled them. the United States and other individuals (vi) The (j)(2) exemption established under 18 U.S.C. 3056. for a system of records maintained by (4) (k)(4) exemption: Records required a criminal law enforcement activity by Federal law to be maintained and cannot protect law enforcement used solely as statistical records that records incorporated into a nonexempt are not used to make any determina- system of records or any system of tion about an identifiable individual, records maintained by an activity not except as provided by 13 U.S.C. 8. principally tasked with enforcing (5) (k)(5) exemption: Investigatory criminal laws. All system managers, material compiled solely for the pur- therefore, are cautioned to comply pose of determining suitability, eligi- strictly with Department of the Navy bility, or qualifications for Federal ci- regulations or instructions prohibiting vilian employment, military service, or limiting the incorporation of crimi- Federal contracts, or access to classi- nal law enforcement records into sys- fied information, but only to the ex- tems other than those maintained by tent such material would reveal the criminal law enforcement activities. identity of a confidential source. (See (g) Specific exemptions. Specific ex- § 701.113(h), ‘‘confidential source’’). This emptions permit certain categories of exemption allows protection of con- records to be exempted from specific fidential sources in background inves- provisions of 5 U.S.C. 552a. Subsections tigations, employment inquiries, and (k)(1)-(7) of 5 U.S.C. 552a allow exemp- similar inquiries used in personnel tions for seven categories of records. screening to determine suitability, eli- To be eligible for a specific exemption, gibility, or qualifications.

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(6) (k)(6) exemption: Testing or exam- fact, makes an adverse determination ination material used solely to deter- based on the record; or mine individual qualifications for ap- (4) Failure to comply with Privacy Act. pointment or promotion in the Federal The activity fails to comply with any or military service if the disclosure other provision of 5 U.S.C. 552a or any would compromise the objectivity or rule or regulation promulgated under 5 fairness of the testing or examination U.S.C. 552a and thereby causes the indi- process. vidual to be adversely affected. (7) (k)(7) exemption: Evaluation ma- (c) Criminal penalties. Subsection (i)(1) terial used to determine potential for of 5 U.S.C. 552a authorizes three crimi- promotion in the military services, but nal penalties against individuals for only to the extent that disclosure violations of its provisions. All three would reveal the identity of a confiden- are misdemeanors punishable by fines tial source. (See § 701.113(h), ‘‘confiden- of $5,000. tial source’’.) (1) Wrongful disclosure. Any member (h) Confidential Source. Promises of or employee of Department of the Navy confidentiality are to be given on a who, by virtue of his or her employ- limited basis and only when essential ment or position, has possession of or to obtain the information sought. Es- access to records and willfully makes a tablish appropriate procedures for disclosure knowing that disclosure is granting confidentiality and designate in violation of 5 U.S.C. 552a or this sub- those categories of individuals author- part and subpart G of this part. ized to make such promises. (2) Maintaining unauthorized records. [59 FR 55348, Nov. 7, 1994, as amended at 61 Any member or employee of Depart- FR 2917, Jan. 30, 1996] ment of the Navy who willfully maintains a system of records for which a § 701.114 Enforcement actions. notice has not been published under (a) Administrative remedies. An indi- periodic Chief of Naval Operations vidual who alleges he or she has been Notes (OPNAVNOTEs) 5211, ‘‘Current affected adversely by a naval activity’s Privacy Act Issuances.’’ violation of 5 U.S.C. 552a or this sub- (3) Wrongful requesting or obtaining part and subpart G of this part shall be records. Any person who knowingly and permitted to seek relief from SECNAV willfully requests or obtains informa- through proper administrative chan- tion concerning an individual under nels. false pretenses. (b) Civil court actions. After exhaust- ing all administrative remedies, an in- § 701.115 Computer matching program. dividual may file suit in Federal court (a) General. 5 U.S.C. 552a and this sub- against a naval activity for any of the part and subpart G of this part are ap- following acts: plicable to certain types of computer (1) Denial of an amendment request. matching, i.e., the computer compari- The activity head, or his or her des- son of automated systems of records. ignee wrongfully refuses the individ- There are two specific kinds of match- ual’s request for review of the initial ing programs that are fully governed denial of an amendment or, after re- by 5 U.S.C. 552a and this subpart and view, wrongfully refuses to amend the subpart G of this part: record; (1) Matches using records from Fed- (2) Denial of access. The activity eral personnel or payroll systems of wrongfully refuses to allow the individ- records; ual to review the record or wrongfully (2) Matches involving Federal benefit denies his or her request for a copy of programs to accomplish one or more of the record; the following purposes: (3) Failure to meet recordkeeping stand- (i) To determine eligibility for a Fed- ards. The activity fails to maintain an eral benefit. individual’s record with the accuracy, (ii) To comply with benefit program relevance, timeliness, and complete- requirements. ness necessary to assure fairness in any (iii) To effect recovery of improper determination about the individual’s payments or delinquent debts from cur- rights, benefits, or privileges and, in rent or former beneficiaries.

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(b) The record comparison must be a which contain isolated items of prop- computerized one. Manual comparisons erly classified information. are not covered, involving records from [59 FR 55363, Nov. 7, 1994, as amended at 61 two or more automated systems of FR 2917, Jan. 30, 1996] records (i.e., systems of records maintained by Federal agencies that are § 701.118 Exemptions for specific Navy subject to 5 U.S.C. 552a); or a Depart- record systems. ment of the Navy automated systems (a) System Identifier and Name: N01070– of records and automated records 9, White House Support Program. maintained by a non-Federal agency Exemption: Portions of this system of (i.e., State or local government or records are exempt from the following agent thereof). A covered computer subsections of the Privacy Act: (c)(3), matching program entails not only the (d), (e)(1), (e)(4) (G) through (I), and (f). actual computerized comparison, but Authority: 5 U.S.C. 552a(k) (1), (2), (3), also preparing and executing a written and (5). agreement between the participants, Reasons: Exempted portions of this securing approval of the Defense Data system contain information which has Integrity Board, publishing a matching been properly classified under E.O. notice in the FEDERAL REGISTER before 12958, and which is required to be kept the match begins, ensuring that inves- secret in the interest of national de- tigation and due process are completed, fense or foreign policy. Exempted por- and taking ultimate action, if any. tions of this system may also contain information considered relevant and Subpart G - Privacy Act necessary to make a determination as Exemptions to qualifications, eligibility, or suitability for access to classified informa- AUTHORITY: Pub. L. 93–579, 88 Stat. 1896 (5 tion, and which was obtained by pro- U.S.C. 552a). viding an express or implied promise to SOURCE: 59 FR 55363, Nov. 7, 1994, unless the source that his or her identity otherwise noted. would not be revealed to the subject of the record. Exempted portions of this § 701.116 Purpose. system may also contain information collected and maintained in connection Subparts F and G of this part contain with providing protective services to rules promulgated by the Secretary of the President and other individuals the Navy, pursuant to 5 U.S.C. 552a (j) protected pursuant to 18 U.S.C. 3056. and (k), and subpart F, § 70l.113, to ex- Exempted portions of this system may empt certain systems of Department of also contain investigative records com- the Navy records from specified provi- piled for law enforcement purposes, the sions of 5 U.S.C. 552a. disclosure of which could reveal the identity of sources who provide infor- § 70l.117 Exemption for classified mation under an express or implied records. promise of confidentiality, compromise All systems of records maintained by investigative techniques and proce- the Department of the Navy shall be dures, jeopardize the life or physical exempt from the requirements of the safety of law-enforcement personnel, or access provision of the Privacy Act (5 otherwise interfere with enforcement U.S.C. 552a(d)) under the (k)(1) exemp- proceedings or adjudications. tion, to the extent that the system (b) System Identifier and Name: N01131– contains information properly classi- 1, Officer Selection and Appointment fied under E.O. 12958 and that is re- System. quired by that E.O. to be kept secret in Exemption: Portions of this system of the interest of national defense or for- records are exempt from the following eign policy. This exemption is applica- subsections of the Privacy Act: (c)(3), ble to parts of all systems of records (d), (e)(1), (e)(4)(G) through (I), and (f). including those not otherwise specifi- Authority: 5 U.S.C. 552a(k)(1), (5), (6), cally designated for exemptions herein and (7).

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Reasons: Granting individuals access investigative techniques, sources, and to portions of this system of records methods used by these components and could result in the disclosure of classi- could result in the invasion of the pri- fied material, or the identification of vacy of individuals only incidentally sources who provided information to related to an investigation. The exemp- the government under an express or tion of the individual’s right of access implied promise of confidentiality. Ma- to portions of these records, and the terial will be screened to permit access reasons therefor, necessitate the ex- to unclassified material and to infor- emption of this system of records from mation that does not disclose the iden- the requirement of the other cited pro- tity of a confidential source. visions. (c) System Identifier and Name: N01133– 2, Recruiting Enlisted Selection Sys- (e) System Identifier and Name: N01754– tem. 3, Navy Child Development Services Exemption: Portions of this system of Program. records are exempt from the following Exemption: Portions of this system of subsections of the Privacy Act: (c)(3), records are exempt from the following (d), (e)(1), (e)(4)(G) through (I), and (f). subsections of the Privacy Act: (c)(3) Authority: 5 U.S.C. 552a(k)(1), (5), (6), and (d). and (7). Authority: 5 U.S.C. 552a(k)(2). Reasons: Granting individuals access Reasons: Exemption is needed in to portions of this system of records order to encourage persons having could result in the disclosure of classi- knowledge of abusive or neglectful acts fied material, or the identification of toward children to report such infor- sources who provided information to mation, and to protect such sources the government under an express or implied promise of confidentiality. Ma- from embarrassment or recrimination, terial will be screened to permit access as well as to protect their right to pri- to unclassified material and to infor- vacy. It is essential that the identities mation that does not disclose the iden- of all individuals who furnish informa- tity of a confidential source. tion under an express promise of con- (d) System Identifier and Name: N01640– fidentiality be protected. Additionally, 1, Individual Correctional Records. granting individuals access to informa- Exemption: Portions of this system of tion relating to criminal and civil law records are exempt from the following enforcement, as well as the release of subsections of the Privacy Act: (c)(3), certain disclosure accountings, could (c)(4), (d), (e)(2), (e)(3), (e)(4)(G) through interfere with ongoing investigations (I), (e)(5), (e)(8), (f), and (g). and the orderly administration of jus- Authority: 5 U.S.C. 552a(j)(2). tice, in that it could result in the con- Reason: Granting individuals access cealment, alteration, destruction, or to portions of these records pertaining fabrication of information; could ham- to or consisting of, but not limited to, per the identification of offenders and disciplinary reports, criminal inves- the disposition of charges; and could tigations, and related statements of jeopardize the safety and well being of witnesses, and such other related mat- parents and their children. ter in conjunction with the enforcement of criminal laws, could interfere (f) System Identifier and Name: N03834– with the orderly investigations, with 1, Special Intelligence Personnel Ac- the orderly administration of justice, cess File. and possibly enable suspects to avoid Exemption: Portions of this system of detection or apprehension. Disclosure records are exempt from the following of this information could result in the subsections of the Privacy Act: (c)(3), concealment, destruction, or fabrica- (d), (e)(1), (e)(4) (G) through (I), and (f). tion of evidence, and jeopardize the Authority: 5 U.S.C. 552a(k) (1) and (5). safety and well-being of informants, Reasons: Exempted portions of this witnesses and their families, and law system contain information that has enforcement personnel and their fami- been properly classified under E.O. lies. Disclosure of this information 12356, and that is required to be kept could also reveal and render ineffectual

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secret in the interest of national de- formation that might result in the con- fense or foreign policy. Exempted por- cealment, destruction, or fabrication of tions of this system also contain infor- evidence; possibly jeopardize the safety mation considered relevant and nec- and well-being of informants, witnesses essary to make a determination as to and their families; likely reveal and qualifications, eligibility, or suit- render ineffectual investigatory tech- ability for access to classified informa- niques and methods and sources of in- tion and was obtained by providing an formation; and possibly result in the express or implied assurance to the invasion of the personal privacy of source that his or her identity would third parties. Access could result in the not be revealed to the subject of the release of properly classified informa- record. tion which could compromise the na- (g) System Identifier and Name: N04060– tional defense or disrupt foreign policy. 1, Navy and Marine Corps Exchange Se- Amendment of the records would inter- curity Files. fere with the ongoing investigation and Exemption: Portions of this system of impose an impossible administrative records are exempt from the following burden by requiring investigations to subsections of the Privacy Act: (c)(3), be continually reinvestigated. (d), (e)(4) (G) through (I), and (f). (iii) From subsection (e)(1) because in Authority: 5 U.S.C. 552a(k)(2). the course of the investigation it is not Reasons: Granting individuals access always possible, at least in the early to information collected and main- stages of the inquiry, to determine rel- tained by these activities relating to evance and or necessity as such deter- the enforcement of criminal laws could minations may only occur after the in- interfere with orderly investigations, formation has bee evaluated. Informa- with orderly administration of justice, tion may be obtained concerning the and possibly enable suspects to avoid actual or potential violation of laws or detection or apprehension. Disclosure regulations other than those relating of this information could result in the to the ongoing investigation. Such in- concealment, destruction, or fabrica- formation should be retained as it can tion of evidence, and could also reveal aid in establishing patterns of im- and render ineffectual investigative proper activity and can provide valu- techniques, sources, and methods used able leads in the conduct of other in- by these activities. vestigations. (h) [Reserved] (iv) From subsection (e)(4)(G) and (H) (i) System identifier and name: N05041– because this system of records is ex- 1, Inspector General (IG) Records. empt from individual access pursuant (1) Exemption: Portions of this system to subsection (k)(1) and (k)(2) of the of records may be exempt from the pro- Privacy Act of 1974. visions of 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f). (v) From subsection (e)(4)(I) because (2) Authority: 5 U.S.C. 552a(k)(1) and it is neccessary to protect the con- (k)(2). fidentiality of sources and to protect (3) Reasons: (i) From subsection (c)(3) the privacy and physical safety of wit- because the release of the disclosure nesses. Although the system is exempt accounting would permit individuals to from this requirement, the Department obtain valuable information concern- of the Navy has published a notice in ing the nature of the investigation and broad, generic terms in the belief that would present a serious impediment to this is all that subsection (e)(4)(I) of the orderly conduct of any investiga- the Act requires. tive activities. Such accounting could (j) System Identifier and Name: N05300– result in the release of properly classi- 3, Faculty Professional Files. fied information which would com- Exemption: Portions of this system of promise the national defense or disrupt records are exempt from the following foreign policy. subsections of the Privacy Act: (c)(3), (ii) From subsections (d) and (f) be- (d), (e)(4) (G) and (H), and (f). cause access to the records would in- Authority: 5 U.S.C. 552a(k)(5). form individuals of the existence and Reasons: Exempted portions of this nature of the investigation; provide in- system contain information considered

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relevant and necessary to make a re- (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G) lease determination as to qualifica- through (I), (e)(5), (e)(8), (f), and (g). tions, eligibility, or suitability for Fed- Authority (1): 5 U.S.C. 552a(j)(2). eral employment, and was obtained by Reason (1): Granting individuals ac- providing an express or implied prom- cess to information collected and ise to the source that his or her iden- maintained by this activity relating to tity would not be revealed to the sub- the enforcement of criminal laws could ject of the record. interfere with the orderly investiga- (k) System Identifier and Name: N05354– tions, with the orderly administration 1, Equal Opportunity Information Man- of justice, and possibly enable suspects agement System. to avoid detection or apprehension. Exemption: Portions of this system of Disclosure of this information could re- records are exempt from the following sult in the concealment, destruction, subsections of the Privacy Act: (c)(3), or fabrication of evidence, and jeopard- (d), (e)(4)(G) through (I), and (f). ize the safety and well-being of inform- Authority: 5 U.S.C. 552a(k)(1) and (5). ants, witnesses and their families, and Reasons: Granting access to informa- law enforcement personnel and their tion in this system of records could re- families. Disclosure of this information sult in the disclosure of classified ma- could also reveal and render ineffectual terial, or reveal the identity of a investigative techniques, sources, and source who furnished information to methods used by these components and the Government under an express or could result in the invasion of the pri- implied promise of confidentiality. Ma- vacy of individuals only incidentally terial will be screened to permit access related to an investigation. The exemp- to unclassified material and to infor- tion of the individual’s right of access mation that will not disclose the iden- to portions of these records, and the tity of a confidential source. reasons therefor, necessitate the ex- (l) System Identifier and Name: N05520– emption of this system of records from 1, Personnel Security Eligibility Infor- the requirement of the other cited pro- mation System. visions. Exemption: Portions of this system of Exemption (2): Portions of this system records are exempt from the following of records are exempt from the follow- subsections of the Privacy Act: (c)(3), ing subsections of the Privacy Act: (d), (e)(4)(G) and (I), and (f). (c)(3), (d), (e)(1), (e)(4)(G) through (I), Authority: 5 U.S.C. 552a(k) (1), (2), (5), and (f). and (7). Authority (2): 5 U.S.C. 552a(k) (1), (3), Reasons: Granting individuals access (4), (5) and (6). to information collected and main- Reason (2): The release of disclosure tained in this system of records could accountings would permit the subject interfere with orderly investigations; of an investigation to obtain valuable result in the disclosure of classified information concerning the nature of material; jeopardize the safety of in- that investigation, and the information formants, witnesses, and their families; contained, or the identity of witnesses disclose investigative techniques; and or informants, would therefor present a result in the invasion of privacy of in- serious impediment to law enforce- dividuals only incidentally related to ment. In addition, disclosure of the ac- an investigation. Material will be counting would amount to notice to screened to permit access to unclassi- the individual of the existence of a fied information that will not disclose record. Access to the records contained the identity of sources who provide the in this system would inform the sub- information to the government under ject of the existence of material com- an express or implied promise of con- piled for law enforcement purposes, the fidentiality. premature release of which could pre- (m) System Identifier and Name: vent the successful completion of in- N05520–4, NIS Investigative Files Sys- vestigation, and lead to the improper tem. influencing of witnesses, the destruc- Exemption (1): Portions of this system tion of records, or the fabrication of of records are exempt from the follow- testimony. Exempt portions of this ing subsections of the Privacy Act: system also contain information that

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has been properly classified under E.O. records contain the candid views of the 12958, and that is required to be kept members composing the board. Release secret in the interest of national de- of the records could affect the willing- fense or foreign policy. ness of the members to provide candid Exempt portions of this system also opinions and thus diminish the effec- contain information considered rel- tiveness of a program which is essen- evant and necessary to make a deter- tial to maintaining the high standard mination as to qualifications, eligi- of the Special Agent Corps., i.e., those bility, or suitability for Federal civil- records constituting examination ma- ian employment, military service, Fed- terial used solely to determine individ- eral contracts, or access to classified ual qualifications for appointment in information, and was obtained by pro- the Federal service. viding an express or implied assurance (n) System identifier and name: N05520– to the source that his or her identity 5, Personnel Security Program Man- would not be revealed to the subject of agement Records System. the record. The notice of this system of Exemption: Portions of this system of records published in the FEDERAL REG- records are exempt from the following ISTER sets forth the basic statutory or subsections of 5 U.S.C. 552a: (d)(1–5). related authority for maintenance of Authority: 5 U.S.C. 552a(k)(1) and the system. (k)(5). The categories of sources of records Reasons: Granting individuals access in this system have been published in to information collected and main- the FEDERAL REGISTER in broad generic tained in this system of records could terms. The identity of specific sources, result in the disclosure of classified however, must be withheld in order to material; and jeopardize the safety of protect the confidentiality of the informants, and their families. Fur- source, of criminal and other law en- ther, the integrity of the system must forcement information. This exemption be ensured so that complete and accu- is further necessary to protect the pri- rate records of all adjudications are vacy and physical safety of witnesses maintained. Amendment could cause and informants. alteration of the record of adjudica- This system of records is exempted tion. from procedures for notice to an indi- (o) System Identifier and Name: N05527– vidual as to the existence of records 1, Security Incident System. pertaining to him/her dealing with an Exemption: Portions of this system of actual or potential civil or regulatory records are exempt from the following investigation, because such notice to subsections of the Privacy Act: (c)(3), an individual would be detrimental to (c)(4), (d), (e)(2), and (e)(4)(G) through the successful conduct and/or comple- (I), (e)(5), (e)(8), (f) and (g). tion of an investigation, pending or fu- Authority: 5 U.S.C. 552a(j)(2). ture. Mere notice of the fact of an in- Reasons: Granting individuals access vestigation could inform the subject or to information collected and main- others that their activities are under, tained by this component relating to or may become the subject of, an inves- the enforcement of criminal laws could tigation. This could enable the subjects interfere with orderly administration to avoid detection, to influence wit- of justice, and possibly enable suspects nesses improperly, to destroy records, to avoid detection or apprehension. or to fabricate testimony. Disclosure of this information could re- Exempt portions of this system consult in concealment, destruction, or taining screening board reports. fabrication of evidence, and jeopardize Screening board reports set forth the the safety and well being of inform- results of oral examination of appli- ants, witnesses and their families, and cants for a position as a special agent of law enforcement personnel and their with the Naval Investigation Service families. Disclosure of this information Command. Disclosure of these records could also reveal and render ineffectual would reveal the areas pursued in the investigative techniques, sources, and course of the examination and thus ad- methods used by this component, and versely affect the result of the selec- could result in the invasion of privacy tion process. Equally important, the of individuals only incidentally related

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to an investigation.The exemption of decisional memorandum and other the individual’s right of access to his case-related papers. Administrative or her records, and the reason there- due process could not be achieved by fore, necessitate the exemption of this the ‘‘exparte’’ correction of such mate- system of records from the require- rials. ments of other cited provisions. Subsection (e)(1) because it is not (p) System Identifier and Name: N05527– possible in all instances to determine 4, Naval Security Group Personnel Se- relevancy or necessity of specific infor- curity/Access Files. mation in the early stages of case de- Exemption: Portions of this system of velopment. What appeared relevant and records are exempt from the following necessary when collected, ultimately subsections of the Privacy Act: (c)(3), may be deemed unnecessary upon as- (d), (e)(1), (e)(4)(G) through (I), and sessment in the context of devising (f).Authority: 5 U.S.C. 552a(k)(1) legal strategy. Information collected through (k)(5). during civil litigation investigations Reasons: Exempt portions of this sys- which is not used during subject case is tem contain information that has been often retained to provide leads in other properly classified under E.O. 12958, cases or to establish patterns of activ- and that is required to be kept secret ity. in the interest of national defense or Subsection (f)(2), (3), and (4) because foreign policy. Exempt portions of this this record system is exempt from the system also contain information con- individual access provisions of sub- sidered relevant and necessary to make section (d). a determination as to qualification, (r) System Identifier and Name: N05819– eligibility or suitability for access to 3, Naval Clemency and Parole Board classified special intelligence informa- Files. tion, and that was obtained by provid- Exemption: Portions of this system of ing an express or implied promise to records are exempt from the following the source that his or her identity subsections of the Privacy Act: (c)(4), would not be revealed to the subject of (d), (e)(4)(G), and (f). the record. Authority: 5 U.S.C. 552a(j)(2). (q) System Identifier and Name: N05800– Reasons: Granting individuals access 1, Legal Office Litigation/Correspond- to records maintained by this Board ence Files. could interfere with internal processes Exemption: Portions of this system of by which Board personnel are able to records are exempt from the following formulate decisions and policies with subsections of the Privacy Act: (d), regard to clemency and parole in cases (e)(1), and (f)(2), (3), and (4). involving naval prisoners and other Authority: 5 U.S.C. 552a(k)(1), (k)(2), persons under the jurisdiction of the (k)(5), (k)(6), and (k)(7). Board. Material will be screened to per- Reasons: Subsection (d) because mit access to all material except such granting individuals access to informa- records or documents as reflect items tion relating to the preparation and of opinion, conclusion, or recommenda- conduct of litigation would impair the tion expressed by individual board development and implementation of members or by the board as a whole. legal strategy. Accordingly, such The exemption of the individual’s records are exempt under the attorney- right to access to portions of these client privilege. Disclosure might also records, and the reasons therefore, ne- compromise on-going investigations cessitate the partial exemption of this and reveal confidential informants. Ad- system of records from the require- ditionally, granting access to the ments of the other cited provisions. record subject would seriously impair (s) System Identifier and Name: N06320– the Navy’s ability to negotiate settle- 2, Family Advocacy Program System. ments or pursue other civil remedies. Exemption: Portions of this system of Amendment is inappropriate because records are exempt from the following the litigation files contain official subsections of the Privacy Act: (c)(3) records including transcripts, court or- and (d). ders, investigatory materials, evi- Authority: 5 U.S.C. 552a(k)(2) and dentiary materials such as exhibits, (k)(5).

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Reasons: Exemption is needed in the objectivity or fairness of the test- order to encourage persons having ing or examination process. knowledge of abusive or neglectful acts [59 FR 55363, Nov. 7, 1994, as amended at 61 toward children to report such infor- FR 2917, Jan. 30, 1996; 62 FR 15615, Apr. 2, mation, and to protect such sources 1997] from embarrassment or recrimina- tions, as well as to protect their right § 701.119 Exemptions for Specific Ma- to privacy. It is essential that the iden- rine Corps Record Systems. tities of all individuals who furnish in- (a) System Identifier and Name: formation under an express promise of MMN00018, Base Security Incident Re- confidentiality be protected. Addition- porting System. ally, granting individuals access to in- Exemption: Portions of this system of formation relating to criminal and records are exempt from the following civil law enforcement, as well as the subsections of the Privacy Act: (c)(3), release of certain disclosure account- (c)(4), (d), (e) (2) and (3), (e)(4)(G) ing, could interfere with ongoing inves- through (I), (e)(5), (e)(8), (f), and (g). tigations and the orderly administra- Authority: 5 U.S.C. 552a(j)(2). tion of justice, in that it could result Reasons: Granting individuals access in the concealment, alteration, de- to information collected and main- struction, or fabrication of informa- tained by these activities relating to tion; could hamper the identification the enforcement of criminal laws could of offenders or alleged offenders and interfere with orderly investigations, the disposition of charges; and could with the orderly administration of jus- jeopardize the safety and well being of tice, and might enable suspects to parents and their children. avoid detection or apprehension. Dis- Exempted portions of this system closure of this information could result also contain information considered in the concealment, destruction, or relevant and necessary to make a de- fabrication of evidence, and jeopardize termination as to qualifications, eligi- the safety and well being of inform- bility, or suitability for Federal em- ants, witnesses and their families, and ployment and Federal contracts, and law enforcement personnel and their that was obtained by providing an ex- families. Disclosure of this information press or implied promise to the source could also reveal and render ineffectual that his or her identity would not be investigative techniques, sources, and revealed to the subject of the record. methods used by this component, and (t) System Identifier and Name: N12930– could result in the invasion of the pri- 1, Human Resources Group Personnel vacy of individuals only incidentally Records. related to an investigation. The exemp- Exemption: Portions of this system of tion of the individual’s right of access records are exempt from the following to his or her records, and the reasons subsections of the Privacy Act: (d), therefore, necessitate the exemption of (e)(4)(G) and (H), and (f). this system of records from the re- Authority: 5 U.S.C. 552a(k)(5) and quirements of other cited provisions. (k)(6). (b) System Identifier and Name: Reasons: Exempted portions of this MIN00001, Personnel and Security Eli- system contain information considered gibility and Access Information Sys- relevant and necessary to make a de- tem. termination as to qualifications, eligi- Exemption: Portions of this system of bility, or suitability for Federal em- records are exempt for the following ployment, and was obtained by provid- subsections of the Privacy Act: (c)(3), ing express or implied promise to the (d), (e)(1), (e)(4)(G) through (I), and (f). source that his or her identity would Authority: 5 U.S.C. 552a(k)(2), (k)(3), not be revealed to the subject of the and (k)(5), as applicable. record. Exempted portions of this sys- Reasons: Exempt portions of this system also contain test or examination tem contain information that has been material used solely to determine indi- properly classified under E.O. 12958, vidual qualifications for appointment and that is required to be kept secret or promotion in the Federal service, in the interest of national defense or the disclosure of which would comprise foreign policy.

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Exempt portions of this system also 705.27—705.28 [Reserved] contain information considered rel- 705.29 Navy Art Collection. evant and necessary to make a deter- 705.30 Aerospace Education Workshop. mination as to qualifications, eligi- 705.31 USS Arizona Memorial, Pearl Harbor. 705.32 Aviation events and parachute dem- bility, or suitability for Federal civil- onstrations. ian employment, military service, Fed- 705.33 Participation by Armed Forces bands, eral contracts, or access to classified, choral groups, and troops in the public compartmented, or otherwise sensitive domain. information, and was obtained by pro- 705.34 Other special events. viding an expressed or implied assur- 705.35 Armed Forces participation in events ance to the source that his or her iden- in the public domain. tity would not be revealed to the sub- 705.36 Government transportation of civil- ject of the record. ians for public affairs purposes. 705.37 Public affairs and public service Exempt portions of this system fur- awards. ther contain information that identifies sources whose confidentiality must AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 5031. be protected to ensure that the privacy SOURCE: 41 FR 29101, July 15, 1976, unless and physical safety of these witnesses otherwise noted. and informants are protected. § 705.1 Purpose. [59 FR 55363, Nov. 7, 1994, as amended at 61 FR 2917, Jan. 30, 1996] The regulations and rules in this part prescribe policies and procedures for the Department of the Navy pertaining PART 705—PUBLIC AFFAIRS to public affairs practices. REGULATIONS § 705.2 Chief of Information and the Sec. Office of Information (CHINFO). 705.1 Purpose. 705.2 Chief of Information and the Office of (a) The Chief of Information is the di- Information (CHINFO). rect representative of the Secretary of 705.3 [Reserved] the Navy and of the Chief of Naval Op- 705.4 Communication directly with private erations in all public affairs and inter- organizations and individuals. nal relations matters. As such, the 705.5 Taking of photos on board naval ships, Chief of Information has the authority aircraft and installations by members of to implement public affairs and inter- the general public. 705.6 Releasing public information material nal relations policies and to coordinate to the media. Navy and Marine Corps public affairs 705.7 Radio and television. and internal relations activities of mu- 705.8 Motion pictures. tual interest. 705.9 Availability of motion pictures to ex- (b) The Chief of Information will ternal audiences. keep Navy commands informed of De- 705.10 Still photography. partment of Defense policies and re- 705.11 Supplying photographs and services to other than Navy and Marine Corps. quirements. No command within the 705.12 Print media. Department of the Navy, except Head- 705.13 Commercial advertising. quarters, Marine Corps, will deal di- 705.14 Embarkation of media representa- rectly with the Office of the Assistant tives. Secretary of Defense (Public Affairs) 705.15 Employment of Navy personnel as on public affairs matters unless au- correspondents or staff members of civil- thorized to do so by the Chief of Infor- ian news media. 705.16 Navy produced public information mation. material. (c) The Chief of Information will be 705.17 Participation guidelines. consulted on all Navy public affairs 705.18 Authority and coordination. and internal relations matters and in- 705.19 Financing. formed of all operations and proposed 705.20 Use of Navy material and facilities. plans and policies which have national 705.21 Requests for Navy participation. or international (and in the case of 705.22 Relations with community groups. 705.23 Guest cruises. audio-visual material, regional) public 705.24 Exhibits. affairs aspects. 705.25 Navy Exhibit Center. (d) The Chief of Information heads 705.26 Exhibit availability report. the Navy Office of Information, the

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Navy Internal Relations Activity (vii) Advise the Chief of Information (NIRA), the Office of Information on current trends and significant prob- Branch Offices (NAVINFOs), the Navy lems relating to local media require- Public Affairs Center (NAVPACENs) ments. and the Fleet Home Town News Center (viii) Seek ways to support the long- (FHTNC). In addition, the Chief of In- range goals and immediate priorities of formation has responsibility (on behalf the Navy. of the Secretary of the Navy as Execu- (ix) Provide advice and assistance in tive Agent for the Department of De- the placement of news and feature ma- fense) for the High School News Serv- terials to the field activities of the ice and has operational control of the Navy Recruiting Command. U.S. Navy Band, Washington, DC. (x) Perform such other tasks as may (e) The Navy Office of Information be assigned by the Chief of Informa- Branch Offices (NAVINFOs) are located tion. in Atlanta, Boston, Chicago, Dallas, (2) Additionally, NAVINFO Los Ange- Los Angeles, and New York. As rep- les is the Navy representative for all resentatives of the Secretary of the appropriate liaison with motion pic- Navy, Chief of Naval Operations, and ture and network television offices in Chief of Information, the NAVINFOs the Hollywood area. Naval activities have a primary mission of providing di- will channel all requests for informa- rect liaison with local and regional tion or assistance from these media to mass communications media. NAVINFO Los Angeles, which will co- (1) The function of the NAVINFOs ordinate with CHINFO. are as follows: (3) Additionally, NAVINFO New York (i) Establish and maintain close per- is the Navy representative for all ap- sonal relationships with local tele- propriate liaison with television and vision, radio, film, publishing, and radio networks in the New York area other mass-media organizations includ- and with magazine and book publishers ing minority-group-oriented media. in that area. Requests for assistance (ii) Seek ways through these media originating from these media should be to inform the public about naval per- directed to NAVINFO New York, which sonnel and activities. will coordinate with CHINFO. (iii) Provide assistance to media organizations and respond to their inter- (4) Except as specifically directed by est in Navy programs, stories, and fea- CHINFO, the Branch Offices do not tures. In this regard, maintain infor- have responsibility or authority for mal liaison with various information community relations or internal rela- offices afloat and ashore in order to re- tions. spond to requests from local media rep- (5) Direct liaison between NAVINFOs resentatives, particularly those from and Naval District public affairs of- inland areas, who desire to visit fleet fices, Navy recruiters and other naval units or activities ashore. activities afloat and ashore is encour- (iv) Provide advice on Navy coopera- aged. tion and assistance, as appropriate, to (f) Areas covered by the respective representatives of national industrial offices are: and commercial organizations, includ- (1) NAVINFO Atlanta: Alabama, the ing advertising agencies. District of Columbia, Florida, Georgia, (v) Maintain a library of Navy mo- Kentucky, Maryland, Mississippi, tion picture films for use by local tele- North Carolina, South Carolina, Ten- vision stations, distribute news films nessee, Virginia, and Southern West and audio material, and otherwise per- Virginia. form normal audio-visual functions at (2) NAVINFO Boston: Maine, Massa- the local level. chusetts, New Hampshire, Rhode Is- (vi) Provide personnel and other as- land, and Vermont. sistance as appropriate, to special (3) NAVINFO Chicago: Illinois, Indi- Command Information Bureaus and ana, Iowa, Michigan, Minnesota, Ne- public information staffs of other naval braska, North Dakota, Ohio, South Da- activities as directed by the Chief of kota, Wisconsin, and Northern West Information. Virginia.

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(4) NAVINFO Dallas: Arkansas, Colo- (3) NAVPACENs have no direct re- rado, Kansas, Louisiana, Missouri, New sponsibility or authority for commu- Mexico, Oklahoma, and Texas. nity relations or internal relations and (5) NAVINFO Los Angeles: Arizona, shall defer in these areas to the cog- California, Idaho, Montana, Nevada, nizant Naval District Commandant. Oregon, Utah, Washington, and Wyo- (4) Direct liaison with Fleet Com- ming. manders-in-Chief and NAVINFOs is ap- (6) NAVINFO New York: Connecticut, propriate and authorized. As approved Delaware, New Jersey, New York, and by the Fleet CINCs, direct liaison with Pennsylvania. forces afloat and shore activities under (g) The Navy Public Affairs Centers the Fleet CINCs is appropriate. (NAVPACENs) are located in Norfolk (5) NAVPACENs will carry out their and San Diego. The centers have a pri- mission and functions in such a man- mary mission of producing Navy sto- ner as not to interfere with the public ries for dissemination to the media affairs responsibilities of the District through normal information channels. Commandants. (1) The following tasks are included [44 FR 6389, Feb. 1, 1979] among the functions of the NAVPACENs. § 705.3 [Reserved] (i) Produce written, audio and photographic feature public information ma- § 705.4 Communication directly with terial about fleet and shore personnel, private organizations and individ- units and activities, as coordinated uals. with and approved for policy and con- (a) Questions from the public and re- cept by the respective fleet and shore quests from groups or individuals for commander concerned. pamphlets, photos, biographies, histor- (ii) Serve as public affairs emergency ical matter, etc., must be promptly an- reaction teams/resource personnel re- swered. (32 CFR part 701, subparts A–D sponsive to the requirements of the refers.) CNO and CHINFO, and when feasible (b) Assistance within the command’s and appropriate and as approved by capabilities should (and in some cases, CNO or CHINFO, serve as public affairs must) be given. Where an established emergency reaction teams/resource channel for obtaining the item exists, personnel in support of Fleet Com- such as a publication stocked by the manders. Superintendent of Documents (Govern- (iii) Develop feature material to sup- ment Printing Office), or photos, as ex- port the long range goals and the im- plained in the subparagraph below, the mediate priorities of the Navy. Direct requester may be directed to it. Under liaison is authorized with the Navy Re- some circumstances, a charge may be cruiting Command, Recruiting Areas, made. (Consult part 701 or the com- Recruiting Districts, and other Com- mand’s Freedom of Information au- manders as appropriate to achieve this thority for details.) If a lengthy search, function. beyond the convenient manpower re- (iv) Perform such other tasks as may sources of the command, would be re- be assigned by the Chief of Informa- quired, the requester may be offered tion. the opportunity of examining the ma- (2) NAVPACENs will have no public terial at the command instead of cop- affairs news media responsibilities ies being made. which conflict with the basic public af- (c) If a request is refused, the reason fairs responsibilities of Fleet Com- must be fully and courteously ex- manders-in-Chief. Specifically, plained, as required by part 701 of this NAVPACENs are excluded from re- chapter. sponding to news media queries, releas- (d) Copies of released U.S. Navy ing news information, arranging news photos may be purchased by the gen- media embarkations, or any other day- eral public. to-day news media services concerning (1) Photos made within the last 10 the respective fleets. These responsibil- years may be purchased from the Naval ities remain with the Fleet Com- Photographic Center. Information on mander. the conditions of sale can be obtained

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by writing to the Commanding Officer, Secretary of Defense (Public Affairs). Naval Photographic Center, Naval Sta- The Chief of Information is responsible tion, Washington, DC 20390. for coordinating with him releases of (2) Photos made more than 10 years national and international interest prior to the current date may be pur- (and in the case of audiovisual mate- chased from the National Archives. De- rial of regional interest) and for ar- tails are available from: Audio-Visual ranging for local release of such mate- Branch National Archives and Records rial if considered appropriate by Service, General Services Administra- OASD(PA). Information of the above tion, Washington, DC 20408. types and also information proposed for release at the seat of government, [41 FR 29101, July 15, 1976, as amended at 44 FR 6390, Feb. 1, 1979] with the exception of ‘‘spot news,’’ as described in paragraph (b) of this sec- § 705.5 Taking of photos on board tion, following. naval ships, aircraft and installa- (2) Releases by local commands: tions by members of the general (i) News of purely local interest may public. be released by the command concerned. (a) Visitors will not be allowed to Higher and coordinating authorities take photographic equipment on board (such as the District Commandant) will a naval ship or aircraft or into a naval be informed, when appropriate, that activity or to take photographs within the release has been made. a naval jurisdiction unless specially (ii) News of national or other wide in- authorized by the officer in command terest may be released by a local com- or higher authority. mand under the following cir- (b) Guests of the Navy who wish to cumstances: take photos within naval jurisdictions (A) The Assistant Secretary of De- will be advised of areas where photog- fense (Public Affairs), having approved raphy is permitted. An escort will be a release, directs that it be issued by assigned to assure that security is the command concerned. maintained, unless photography is per- (B) An event of immediate and ur- mitted throughout the ship, aircraft or gent news interest, such as a installation, or the areas in which it is disasterous accident, occurs at the not permitted are appropriately guard- command, and emergency announce- ed or secured. ments must be made as delay in issuing (c) If there is reason to believe that information would be against the best film exposed by a visitor or media pho- interests of the Navy. The officer in tographer contains classified informa- command will make a ‘‘spot news’’ re- tion, the film will be processed under lease of all appropriate information Navy jurisdiction. considered releasable. (1) Classified photos, if any, will be (1) Copies of spot news releases made retained. All unclassified film will be (or a description if the announcement returned to the owner. is made orally) will be forwarded (2) When film exposed by civilian promptly to the Chief of Information. visitors or media representatives in (2) If the situation is considered criti- sensitive areas is beyond the capability cal, the spot news release will be for- of the local command to process, it warded by telephone or message. may be forwarded to the Commanding (b) Means through which information Officer, Naval Photographic Center, for is released to media: processing. Any special processing in- (1) Navy oriented information mate- structions should be sent with the film. rial (written, taped, motion picture, still photo) is regularly released to all § 705.6 Releasing public information media presumed to be interested. material to the media. (2) Similar material is provided in re- (a) Methods of releasing information: sponse to query from a news media rep- (1) Release at the seat of government resentative. The material may be pro- and/or as approved by the Assistant duced by the Navy, or the newsman Secretary of Defense (Public Affairs). may be assisted in researching, film- (i) Overall responsibility for release ing, etc. himself. of information rests with the Assistant (3) Exclusive releases:

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(i) Information concerning naval ac- (iv) Official spokesmen will be pre- tivities may be provided on an exclu- pared to answer questions in a frank sive basis only when a specific request and candid manner. If the answer or inquiry is received from one news would compromise military security, media representative for material not the inquirer should be so advised. If the requested by other media. answer is not known to the spokesman, (ii) In such cases, and assuming that he should say so and add that the mat- the information is properly releasable, ter will be checked and any available the following rules will apply: unclassified information provided (A) If prior to the time information is later. given to the newsman making the (v) Newsmen are not normally asked original inquiry or request substan- to submit their questions in advance. If tially similar inquiries or requests are this is considered advisable, as in cases received from other newsmen, the first where highly technical answers may be inquirer will be so informed, and subse- required, the answers are prepared in quent inquirers will be advised that a advance and given to all attending prior request has been received. None newsmen (not just the questioner) at of the inquirers will be told the iden- the news conference. tity of the individuals or media who (5) Interviews. These are similar to have placed these similar inquiries. news conferences except that they in- (B) If not more than three similar re- volve a single newsman (who has usu- quests are received, the information ally requested the interview) and a sin- will be provided simultaneously to gle Navy spokesman. each inquirer. (i) Required procedures are essen- (C) If more than three requests for tially the same as for news con- substantially the same information ferences. However, a public affairs offi- have been received before any are an- cer should be present only if desired by swered, inquirers will be advised as the person being interviewed. The soon as possible that the information interview may be taped, if the news- cannot be given on an exclusive or lim- man agrees. ited basis, and a general release cover- (ii) Without penalizing initiative dis- ing the subject will be issued to all played by a newsman in asking perti- media. nent questions, care should be exer- (4) News conferences: cised by the naval spokesman not to (i) A news conference is held when a make a major revelation of news mate- command has something specific to an- rial to a single media outlet in the nounce to the press that cannot be han- course of a routine interview. dled in a news release or by phone call. (iii) If major areas of difficulty arise A news conference should not be called in the interview, the Chief of Informa- just to get together with the press. A tion should be notified of them. request from the press is also a reason (6) Background briefings; ‘‘Not for at- for conducting a news conference. Spe- tribution’’; or ‘‘Off the record.’’ cial events, significant operations or (i) Since there is a possibility or risk serious accidents are frequent reasons of a misunderstanding arising in these for calling news conferences. If re- briefings, it is important that all con- quested, spokesmen may be made cerned understand and agree to the available to the press for questions ground rules. without specific subject matter in (ii) In general, information will not mind, but the press should be clearly be made public unless it can be openly informed of the nature of this meeting. attributed to the Navy and dissemi- Technically, this is not considered a nated without reservation. Occasion- news conference. ally, a backgrounder may be helpful. (ii) When a news conference is held, it An example is a briefing of embarked is essential that all interested media be newsmen in advance of an operation, invited to attend. providing information which may not (iii) A record of what is said should be reported until the operation is over. be kept. Ideally, the news conference The purpose is to help the newsmen un- should be tape recorded and a public af- derstand the operation while it is tak- fairs officer should be present. ing place.

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§ 705.7 Radio and television. (iii) Comply with accepted standards of dignity and propriety in the indus- (a) Navy relationships with radio and try. TV representatives are of two types: (1) Dissemination to them of Navy (2) There will be no deviation from produced tapes, photos, films, etc. established safety standards. (This is discussed in more detail in (3) Operational readiness shall not be § 705.17). impaired. (2) Cooperation with them when they (4) Official activities of military per- produce a program on a Navy subject. sonnel assisting the production must This is discussed in the paragraph fol- be within the scope of normal military lowing: activities. Exceptions to this policy (b) Requirement for approval by will be made only in unusual cir- higher authority. cumstances. (1) Commanding officers may: (5) Diversion of ships, equipment, (i) Release audiovisual material personnel and material resources from which is spot news, as defined in normal military locations or military § 705.6(a)(2)(ii) preceding, or is of purely operations will not normally be au- local interest. thorized for filming. Exceptions to (ii) Participate in local community such policy must be authorized by the audiovisual projects of benefit to the Assistant Secretary of Defense (Public Department of Defense or in the na- Affairs), through the Chief of Informa- tional interest. tion. (iii) Approve one-time, one-station (i) The production company con- participation by personnel of their cerned must reimburse the government commands (as individuals) in programs for any extra expense involved. A strict of purely local interest. accounting of the additional expenses (2) All other audiovisual material incurred and charged to the production originated by the Department of the company must be maintained by the Navy or requiring Navy cooperation designated project officer. A copy of must be approved by the Chief of Infor- this accounting will be forwarded to mation, who will effect the necessary the Chief of Information. coordination and/or approval of the As- (6) Naval material and personnel will sistant Secretary of Defense (Public not be employed in such a manner as to Affairs). compete with commercial and private (i) Requests for assistance from non- enterprise. In this regard, any person governmental audiovisual media will or agency requesting their use will fur- be forwarded, with the maximum avail- nish a noncompetitive certification. able details and an evaluation of the (7) Additional details on procedures request, through the chain of command will be found in DOD Instruction to the Chief of Information. 5410.16. (ii) No direct coordination or contact (8) In addition to cooperation re- between local naval commands and the quested by the media, commands will Assistant Secretary of Defense (PA) is be alert to the advantages of providing authorized unless specifically provided Navy programming and/or encouraging for by separate directives or cor- participation by Navy personnel in respondence. local radio and TV programming. Ex- (c) Navy cooperation in productions amples are community forums, local by audiovisual media representatives talent shows, educational and religious (nongovernment). programs, children’s shows, sports pro- (1) The production or project must: grams, etc. (i) Be consistent with the goals and (d) Participation by individual Navy aims of the Department of Defense and/ personnel on radio or TV programs: or be in the national interest. (1) In general, such participation is (ii) Portray military operation, his- encouraged if it is: torical incidents, persons and places, in (i) Dignified and considered in the in- such a manner as to give a true por- terests of the Navy. trayal and interpretation of military (ii) Compatible with operational life. commitments.

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(iii) Not in competition with the reg- (1) Requests will not be made directly ular employment of professional per- to the producer or network concerned, formers. but will be forwarded to the Chief of In- (2) The public affairs officer will formation by the Navy requester. screen requests for such appearances (2) These courtesy prints will be ex- for members of his command to see hibited only under circumstances that the programs are in good taste, which cannot be construed as competi- and that neither the Navy nor its per- tive with commercial ventures. sonnel are exposed to embarrassment for the sake of entertainment. § 705.8 Motion pictures. (3) Approval of participation by Navy (a) The rules and procedures given in individuals: the preceding for TV will also apply to (i) Approval is not required for per- cooperation with commercial motion sonnel attending audience participa- picture producers. tion broadcasts if they are selected at (b) The Navy assists in the produc- random from the audience. tion of commercial, privately financed, (ii) One-time, one-station participa- nontheatrical motion pictures of insti- tion of purely local interest may be ap- tutional or of educational value to the proved by the officer in command con- public. They Navy will not: cerned. (1) Solicit their production. (iii) If participation will be on a net- (2) Provide lists of subjects the Navy work (defined as more than one sta- considers ‘‘desirable.’’ tion, even if local) of if the same per- (3) State that the Navy will use a son or program is requested by two or commercially produced film. more unrelated stations, approval by (4) Imply endorsement of a product. the Chief of Information must be ob- (5) Permit the use of official Navy tained even if the show is of local in- seals. terest only. (c) Navy assistance to motion pic- (e) Use of official footage: tures and all other audio-visual prod- (1) Use of official U.S. Navy stock ucts produced by Navy contractors will film footage on TV broadcasts is not be subject to the same rules and proce- authorized without approval and clear- dures that apply to other non-govern- ance by the Chief of Information and ment producers. Audio-visual products the Department of Defense. produced by Navy contractors, with or (2) Use of Navy public information without Navy assistance, will be sub- motion pictures cleared for TV is au- mitted to the Chief of Information via thorized and encouraged except that the appropriate Navy headquarters ac- such films may be used on subscription tivity for coordination with the Assist- or pay TV only when offered to the ant Secretary of Defense (Public Af- viewers at no cost. fairs) for clearance for public release. (3) Navy films will not be cut or por- They will be accompained by five cop- tions duplicated for TV use in lieu of ies of the script and a statement from stock footage without prior approval the producer that costs were paid from by the Chief of Information. corporate (vice contract) funds. (f) Music clearance. The Navy as- (d) When a commercial film which sumes no responsibility for clearance has been produced with Navy coopera- of music used on Navy recordings, tion is screened in a community, local transcriptions, or films not specially commands can provide Navy exhibits produced or authorized for radio or TV for display in theater lobbies, coordi- broadcast. nate displays of recruiting material, (g) Disclaimers. A disclaimer is not and arrange for personal appearances necessary if a product is advertised on of Department of Defense and Depart- a program in which the Navy partici- ment of the Navy military and civilian pates, but there must be no stated or personnel, provided such cooperation is implied endorsement of it by the Navy approved by the Chief of Information or by naval personnel appearing on the and the Assistant Secretary of Defense program. (Public Affairs). (h) Requests for courtesy prints of [41 FR 29101, July 15, 1976, as amended at 44 commercial television programs: FR 6390, Feb. 1, 1979]

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§ 705.9 Availability of motion pictures use force if media photographers refuse to external audiences. to cooperate, but will instead seek the (a) Public access. Navy and Marine assistance of appropriate civil authori- Corps general motion pictures and mo- ties and/or the photographer’s superior tion picture projects not previously in recovering film or photographs pre- cleared for public exhibition will resumed to be of classified nature. quire clearance by the Chief of Infor- (3) If media photographers are unco- mation or the Marine Corps Director of operative in regard to protection of Information, as appropriate, prior to classified material, an account of the public viewing. Concurrent review of matter will be forwarded to the Chief legal rights and instruments associated of Information. with the production will be carried out (d) Release of photographs: by Patent Counsel, Naval Air Systems (1) Most unclassified photographs of Command (AIR–OOP). Cleared motion interest to the public may be released pictures may also be made available to news media. However, the rights of for free loan as determined by the indi- individuals photographed and special vidual services. In addition, cleared constraints such as those described in motion pictures may be provided for section 0403 of the Public Affairs Regu- rent or sale through the National Audio-Visual Center, National Ar- lations must be taken into consider- chives and Records Service (GSA), ation before a decision is made to re- Washington, DC 20409. lease a photograph. In addition, photos (b) Foreign military training. Motion which might be harmful to recruiting pictures from the Navy inventory may or otherwise not be in the Navy’s best be made available for foreign military interests will not be used unless this training programs on approval by the failure to release them constitutes sup- Chief of Naval Operations. Classified pression of legitimate news. motion pictures selected for such use (2) Photographs of strictly local in- will also require a security review by terest can be made available by the the Chief of Naval Operations. command to local media without being submitted to review by higher author- § 705.10 Still photography. ity. (a) Policy and procedures on taking (3) If a feature type photo released lo- photos by the general public, given in cally is considered of possible interest § 705.5 apply also to media representa- elsewhere, because of its human inter- tives. est or artistic merit, a single print (b) Basic policy and procedures for should be forwarded to the Chief of In- still photos are set forth in the Manual formation, together with a notation of of Naval Photography, OPNAVINST the distribution made. 3150.6D. (4) Photographs of national interest: (c) Authority to forbid photography: (i) ‘‘Spot news’’ photos may be re- (1) On Navy property, the officer in leased by a District Commandant or command may forbid the taking of Fleet or Force Commander. photographs and may confiscate film, (ii) If a photo has been released by a reviewing it if it is suspected that classified material has been photographed. local command to national news In such cases, all unclassified photos media: will be returned promptly to the pho- (A) The original negative or trans- tographer. parency will be forwarded by the fast- (2) Navy personnel have no authority est available means to the Command- to confiscate film off Navy property. If, ing Officer, Naval Photographic Center, as in an accident, classified equipment Naval Station, Washington, DC 20390. is exposed which cannot be removed or Such forwarding will be in accordance covered, Navy representatives will ask with the Manual of Naval Photog- news media photographers not to pho- raphy, par. 0445, subparagraphs 3 and 4. tograph it and will inform them of 18 (B) One print, a copy of the letter of U.S.C. 793(e), 795, 797, which makes it a transmittal, and the distribution list criminal offense to photograph classi- will be forwarded to the Chief of Infor- fied material. Navy personnel will not mation.

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(C) Navy units with a Unified Com- graphic Center, Naval Station, Wash- mand will forward the photos through ington, DC 20390, for action. Procedures Unified Command channels. for the collection or authority for (D) All other commands will forward waiver of fees for service and material the photos to the Chief of Information provided are set forth in Volume III, who will effect coordination with the NAVCOMPT Manual, and part 701, sub- Office of the Assistant Secretary of De- parts A–D. fense (Public Affairs) and, if necessary, (d) Navy aerial photography released arrange for security review. for sale to the public is transferred to (iii) Photography of research activi- the United States Department of the ties is normally considered to be of na- Interior. Inquirers regarding the pur- tional interest. chase of this photography should be di- (iv) Still photographs of national rected to Chief, Map Information Of- news interest may be forwarded, un- fice, Geological Survey, Department of processed, for release by the Chief of the Interior, Washington, DC 20025. Information by any command not sub- (e) Navy training films suitable for ject to the authority of a Unified or sale to the public are transferred to the Specified Commander. Such forwarding National Audio-Visual Center, Na- will be in accordance with paragraph tional Archives and Records Service, 0445, subparagraph 3, of the Manual of General Services Administration, Naval Photography. All available cap- Washington, DC 20408. Inquires regard- tion material will be forwarded with this unprocessed photography. ing the sale of Navy training films should be addressed to the National § 705.11 Supplying photographs and Audio-Visual Center. services to other than Navy and Ma- (f) This policy does not preclude re- rine Corps. leases to contractors and others prop- (a) To avoid competition with civil- erly engaged in the conduct of the ian photographic organizations, naval Navy’s business. However, when serv- aircraft will not be used to take photo- ices are performed for other agencies of graphs for, nor will photographs or mo- the government, and under certain con- saic maps be provided to any individ- ditions, for other military depart- uals, corporations, or agencies other ments, the Navy Comptroller Manual than departments or agencies of the prescribes that such are subject to re- federal government, without specific imbursement. permission from the Chief of Naval Op- (g) All private inquiries from foreign erations. nationals should be returned, advising (b) In the case of natural catas- the addressee to contact his local U.S. trophe, or other circumstances where Information Service officer for the de- prompt action is required, the senior sired materials. officer present may authorize a departure from the preceding paragraph. In § 705.12 Print media. all such cases, a report of the cir- Requests for reprints of items pub- cumstances will be made to the Chief lished in national media will be ad- of Naval Operations. dressed to the Chief of Information. (c) This policy does not preclude re- Commands will be careful not to repro- leases to the media, news companies, duce on their own authority any copy- and others in accordance with estab- righted material without advance per- lished procedures, or the sale of released photographs to private agencies mission from the copyright holder. or individuals under existing Depart- § 705.13 Commercial advertising. ment of Defense regulations and part 701, subparts A–D, Availability to the (a) The Navy encourages cooperation public of Department of the Navy In- with advertisers. However, the layout, formation and Records. Normally, re- artwork and text of the proposed ad- quests by individuals for still photo- vertisement must be submitted to the graphs and motion picture photog- Chief of Information for review and for raphy for private use are forwarded to clearance by other appropriate authori- the Commanding Officer, Naval Photo- ties.

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(b) Requests from commercial enter- (4) Navy civilians and military per- prises (including those with Navy con- sonnel on active duty may not use tracts) for use of Navy personnel, fa- their position titles or ranks in connec- cilities, equipment or supplies for ad- tion with any commercial enterprise or vertising purposes must be referred to endorsement of a commercial product. the Chief of Information. (Retired personnel and Reserves not on (c) Official Navy photos which have active duty may use their military ti- been cleared and are released for open tles in connection with commercial en- publication may be furnished for com- terprises if this does not give rise to mercial advertising, if properly identi- the appearance of sponsorship of the fied and captioned. No photos will be enterprise by the Navy or Department taken exclusively for the use of an ad- or in any way reflect discredit upon vertiser. them.) (d) Navy cooperation in commercial (5) Testimonials from naval person- advertising, publicity and other pro- nel are not banned, but the person giv- motional activities will be based on the ing the testimonial must not be spe- following requirements. cifically identified. (1) It must be in accordance with the (i) The use of name, initials, rank or provisions of 32 CFR part 721. rate of Navy personnel appearing in (2) It must be in good taste and not testimonial advertising is not per- reflect discredit on the Navy or the mitted, but such expressions as, ‘‘says U.S. Government. Statements made a Navy chief,’’ may be used. must be matters of fact, without mis- (ii) Care will be taken to ensure that leading information or other objection- testimonials from Navy personnel are able features. presented in such a way as to make (3) It must not indicate that a prod- clear that the views expressed are uct is used by the Navy to the exclu- those of the individual and not of the sion of similar products offered by Department of the Navy. other manufacturers or appear to endorse or selectively benefit or favor (di- § 705.14 Embarkation of media rep- rectly or indirectly) any private indi- resentatives. vidual, sect, fraternal organization, (a) General. (1) Although this para- commercial venture or political group, graph applies primarily to embar- or be associated with solicitation of kation in ships, provisions which are votes in a political election. It will not applicable to embarkation on aircraft infer Navy responsibility for the accu- or visits to shore installations apply racy of the advertiser’s claims or for also to those situations. his compliance with laws protecting (2) See also § 705.37 on transportation the rights of privacy of military per- of non-Navy civilians. sonnel whose photographs, names or statements appear in the advertise- (b) Invitations to embark. (1) Invita- ment. It will neither indicate that a tions should be extended as far in ad- product has undergone Navy tests nor vance as possible and inclusive infor- disclose data from any Navy tests mation on the following should be pro- which may have been made. vided: (4) It may not promote the use of to- (i) Type, scope and duration of oper- bacco or alcohol. ation or cruise. (e) Use of uniforms and naval insig- (ii) Communications, methods of nias. These may be used provided it is press transmission, and charges, if any. done in a dignified manner. (iii) Transportation arrangements. (f) Use of Naval personnel: (iv) Approximate cost of meals and/or (1) Personnel may receive no com- quarters, and the statement that the pensation. newsman will be expected to pay for (2) Personnel will not be inconven- these and other personal expenses in- ienced or have their training or normal curred. duties interrupted. (2) It should be made clear to the (3) Written consent from the person newsman that there may be limits on concerned must be obtained before a movement from one participating unit photo may be used. to another. If helicopters or highline

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transfers are to be used, their limita- (3) Navy radio or wire transmission tions and hazards should be explained. facilities, where available, may be (3) On operations where security is made available to news media (includ- critical, embarkation of newsmen may ing accredited civilian photographers) be made contingent to their agreement when operational requirements permit, to submit copy for security review. in accordance with instructions set Under such circumstances, the reason forth by the Director of Naval Commu- for the review will be made clear prior nications. This includes making live to embarkation, and every effort will broadcasts or telecasts. (A live net- be made to avoid any interpretation of work broadcast or telecast must, how- such review as ‘‘censorship’’ or inter- ever, be approved by the Chief of Infor- ference with freedom of the press. mation.) (c) Arrangements aboard ship. (1) (4) Messages and instructions from Where appropriate, a briefing should be editors and station managers to em- held at the earliest convenient time barked newsmen will be handled as after embarkation at which newsmen press traffic, as authorized in Naval may meet the commanding officer and Telecommunication Procedures (NTP– other key personnel and guests and at 9). which previously supplied information (5) Stations receiving press circuits is reviewed. will be authorized to receipt for press (2) If feasible, an escort officer will be traffic without asking for time-con- assigned to each newsman (or group of suming ‘‘repeats.’’ newsmen having similar requirements). (6) Under normal circumstances, (3) It should be reported in the ship’s newspaper (and on radio and closed-cir- press copy will be transmitted on a cuit TV, if any) that newsmen will be first-come, first-served basis; however, embarked, giving their names and the newsmen will be informed that the pre- media they represent. rogative of limiting the amount to be (4) If a correspondent is interested in filed during any one period rests with home town material, personnel from the Exercise Commander. his area should be contacted in ad- (7) If it becomes necessary for oper- vance, if possible, to determine if and ational reasons for newsmen to pool when they would be available for inter- copy, such messages shall be filed as views and photos. ‘‘multiple address messages’’ or book (5) Representatives of press associa- messages, as appropriate, or when re- tions and radio and TV networks will quested by the newsmen concerned. be embarked in the Exercise Command- (8) If the locale of the exercise per- er’s flagship or the Exercise Control mits newsfilm and press mail to be ship, when possible. This ship should flown ashore, flights should be sched- also control the ship-to-shore press uled on a high priority basis to connect radio and teletype (RATT). with scheduled commercial air traffic. (6) When more than one representa- Operational aircraft as well as sched- tive from the same medium is em- uled government air flights should be barked, an attempt should be made to considered for delivery of television have them located at separate vantage news film, radio tapes and photography points. to the nearest commercial communica- (d) Communications. (1) Every effort tions facility. will be made to provide suitable com- (e) Voluntary submission of material by munication facilities for newsmen em- a newsman for security review. When a barked (including equipment and per- review is not required but is sought by sonnel, if feasible). the newsman, no attempt will be made (2) All persons embarked with per- to delete or change any material, mission of proper authority and accred- whether or not it appears critical of ited as correspondents are eligible to file press traffic, as authorized by the the Navy or of naval personnel. If any procedures set forth in Naval Tele- classified information is included, the communication Procedures (NTP–9), newsman will be asked to delete it. In ‘‘Commercial Communications.’’ addition, his attention will be drawn to

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any inaccurate or possibly misleading (3) Unofficial photos taken by Navy per- statements. sonnel. (i) The following regulations apply to Navy civilian employees and [41 FR 29101, July 15, 1976, as amended at 44 FR 6390, Feb. 1, 1979] to Navy personnel in transit through a command, as well as to active duty § 705.15 Employment of Navy person- personnel assigned to the command. nel as correspondents or staff mem- (ii) Personal cameras and related bers of civilian news media. equipment are permitted on Navy (a) A member of the naval service on ships, aircraft and stations at the dis- active duty or Navy civilian may act as cretion of the officer in command. correspondent for a news periodical or (iii) An officer in command may service, radio or TV station or net- screen all photos taken by naval per- work, or may work part-time for such sonnel with personal cameras within an organization. The Secretary of the the jurisdiction of the command to pro- Navy will, however, be immediately in- tect classified information or to ac- formed, via the Chief of Information. quire photos for official use, including (1) See section 0307 (par. 5), section public affairs. Photographs taken by 0308 (par. 4), and section 0309 (par. 3) of bystanders at times of accident, com- the Navy Public Affairs Regulations bat, or similar significant events can for regulations referring to personnel be valuable for preparation of official assigned to public affairs staffs receiv- report and public release. They should ing compensation for such work. be collected for screening and review as (2) In time of war, only personnel as- expeditiously as possible. signed to public affairs billets and such (iv) Amateur photographers should other personnel as the Secretary of the also be encouraged to volunteer the use Navy may authorize can act as cor- of interesting or significant photos for respondents for civilian media. public affairs use. (b) Military personnel on active duty (v) Photos made by naval personnel, and Navy civilians may not serve on with either personal cameras and film, the staff of a ‘‘civilian enterprise’’ Navy equipment and film, or any com- newspaper published for personnel of a bination thereof, may be designated Navy installation or activity. ‘‘Official Navy Photo’’ if it is considered in the best interests of the Navy. § 705.16 Navy produced public infor- (A) All precautions will be taken to mation material. protect such film from loss or damage, (a) Still photo—(1) General. (i) The pol- and all unclassified personal photos not icy and procedures given for media pro- designated as ‘‘official’’ will be reduced still photos in § 705.10, apply to turned to the owner immediately after Navy produced photos. review. (ii) The Office of Information does (B) When a photo taken by an indi- not issue, nor have funds available for vidual who is not an official photog- the purchases of, any photographic rapher is selected for public affairs re- equipment or supplies for Navy com- lease: mands. Details on the establishment of (1) The photographer will receive authorized laboratories and acquisition credit for his work in the same manner of equipment and supplies are given in as an official photographer. the Manual of Navy Photography (2) The original negative or trans- (OPNAVINST 3150.6D). parency will be retained and assigned (2) Photographic coverage of command an official file number. It will then be events. (i) If more than two photog- handled like any other official Navy raphers are required to cover a public photograph. event, consideration should be given to (3) At least one duplicate negative or having them wear appropriate civilian transparency of each unclassified per- attire. sonal photo which has been designated (ii) Personnel in uniform who are as ‘‘official’’ will be prepared and deliv- amateur photographers and who are at- ered to the photographer. A black-and- tending the event as spectators will white print may also be prepared for not be discouraged from taking photos. the photographer’s personal use.

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(b) Audiovisual. (1) The Chief of Infor- ment organizations except where oth- mation releases TV featurettes directly erwise stated. to local TV stations and the Office of (b) In accordance with the estab- Information’s Branch Offices (NAV lished responsibilities of local officers INFO’s). After such featurettes have in command, these officers will con- been cleared for public release by the tinue to determine whether facilities, Assistant Secretary of Defense (Public equipment and personnel within their Affairs). cognizance may be provided for such (2) The Assistant Secretary of De- programs (except in the Washington, fense (PA) must approve, prior to com- DC area where the Assistant Secretary mitment of funds, the initiation of of Defense (Public Affairs) is the au- Navy audiovisual productions intended thorizing authority). for public release. (c) Officers in command will ensure (3) Motion picture film. that participation is appropriate in (i) Film of major news value will be scope and type, and is limited to those forwarded immediately, unprocessed, occasions which are: In keeping with to the Commanding Officer, U.S. Naval the dignity of the Department of the Photographic Center. The package Navy, in good taste and in conformance should be labeled as follows: with the provisions of part 721 of this chapter. The national, regional, state NEWS FILM—DO NOT DELAY or local significance of the event and Commanding Officer, U.S. Naval Photo- the agency sponsoring the event will be graphic Center (ATTN: CHINFO Liaison), used as guides in determining the scope Washington, DC 20374. and type of Navy participation to be NEWS FILM—DO NOT DELAY authorized. (d) Participation in community rela- The Commanding Officer of the Naval tions programs is authorized and en- Photographic Center will be advised couraged to accomplish the aims and (with an information copy to the Chief purposes as set forth in § 705.18 (follow- of Information) of its forwarding, the ing). Where mutually beneficial to the subject, type and amount of footage, Department of Defense and the public, method of delivery, and estimated time support authorized and provided is al- of arrival in Washington. ways subject to operational consider- (ii) The original negative of motion ations, availability of requested sup- picture photography of feature value port and the policy guidance provided (photography which will not lose its herein. timeliness over a reasonable length of (e) Military personnel, facilities, and time) will be forwarded to the Naval materiel may be used to support non- Photographic Center, and a copy of the government public affairs programs forwarding letter will be sent to the when: Chief of Information. (1) The use of such facilities, equip- (c) Fleet Home Town News Center ment and personnel will not interfere (FHTNC). (1) All public affairs officers with the military mission or the train- will assure that appropirate news and ing or operational commmitments of photo releases on personnel of their the command. commands are regularly sent to the Fleet Home Town News Center. (2) Such programs are sponsored by responsible organizations. (2) Procedures, requirements and formats are contained in CHIN–FOINST (3) Such programs are known to be 5724.1. nonpartisan in character, and there is no reason to believe that the views to [41 FR 29101, July 15, 1976, as amended at 44 be expressed by the participants will be FR 6390, Feb. 1, 1979] contrary to established national policy. § 705.17 Participation guidelines. (f) The sponsoring organizations or (a) The provisions of this section groups will be clearly identified in all refer to participation by naval person- cases where naval personnel partici- nel and use of Navy facilities and mate- pate as speakers, or military support is rial in events sponsored by nongovern- furnished.

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(g) Public affairs programs sponsored ferred to the Chief of Information for by civilian organizations will not be consideration. cosponsored by a naval command un- (3) Support to nationally recognized less expressly authorized by the Chief veterans’ organizations is authorized of Information. when the participation is in support of (h) Participation will not normally positive programs which are not in be authorized in public events when the themselves discriminatory. presence of military participants de- (4) Navy support to nonpublic school prives civilians of employment. Offi- activities is authorized when the par- cers in command will screen all re- ticipation is clearly in support of edu- quests for use of material and person- cational programs or Navy recruiting. nel in Navy-sponsored social functions (5) Commands should ensure minor- held off military installations. ity participation in all community re- (i) Navy participation and coopera- lations activities and events, as appro- tion must not directly or indirectly en- priate. This includes but is not limited dorse, or selectively benefit, or appear to the following: to endorse, benefit or favor, any pri- (i) Ensure that the minority commu- vate individual, group, corporation nity is aware of the procedure for ob- (whether for profit or nonprofit), sect, taining Navy support for community quasi-religious or ideological move- events and that they are appraised of ment, fraternal, or political organiza- the use of Navy demonstration teams, tion, or commercial venture, or be as- units, and speakers. sociated with the solicitation of votes (ii) Encourage Navy involvement in, in a political election. and attention to, local minority com- (1) Providing use of government fa- munity events. cilities, such as transportation, hous- (iii) Continue to cultivate a rapport ing, or messing, at government expense with key members of all minority com- to private groups is normally inter- munities. preted as a selective benefit or favor (k) Participation is not authorized if and is not authorized as part of a com- there is fund raising of any type con- munity relations program. Therefore, nected with the event, except as pro- such provisions are normally not au- vided for in § 705.34. thorized as part of a community rela- (l) No admission charge may be lev- tions program, even though certain ied on the public solely to see an uses of facilities may be authorized Armed Forces demonstration, unit, or under directives on domestic action or exhibit. other programs. (1) When admission is charged, the (2) The above does not bar private Armed Forces activity must not be the groups from providing entertainment sole or primary attraction. on base. However, the appearance must (2) A general admission charge need be for entertainment and not for fund- not be considered prohibitory to Navy raising, or any political or promotional participation, but no specific or addi- purpose. tional charge may be made because of (j) Community relations programs Navy participation. must always be conducted in a manner (3) Participation shall be incidental free from any discrimination because to the event except for programs of a of race, creed, color, national origin, or patriotic nature, celebration of na- sex. tional holidays, or events which are (1) Navy participation in a public open to the general public at no charge event is not authorized if admission, for admission. seating and other accommodations and (4) The provisions of this paragraph facilities are restricted in a discrimina- do not apply to the Navy’s Blue Angel tory manner. Flight Demonstration Team or to the (2) Exceptions for participation may Navy Band and other special bands en- be made under certain circumstances gaged in authorized concert tours con- for an ethnic or ideological group when ducted at no additional cost to the gov- they do not entertain any purpose of ernment. discriminating against any other (m) Some participation in or support group. Any such exceptions must be re- of commercially sponsored programs

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on audio or visual media is allowable. long as their participation is not used See §§ 705.7 and 705.8. to stimulate sales or increase the flow (n) Some participation which sup- of business traffic or to give that ap- ports commercial advertising, public- pearance. Requests for exceptions will ity and promotional activities or be considered on a case-by-case basis events is allowable. See section 0405, by the Chief of Information. par. 3 of the Navy Public Affairs Regu- (v) Questions as to appropriateness of lations. Navy participation, or as to existing (o) Navy speakers may be provided Navy and OASD (PA) policy, may be for certain events at which other forms referred to the Chief of Information. of Navy participation may not be ap- (w) Procedures for requesting partici- propriate. See section 0604, par. 8 of the pation are addressed in § 705.21. Navy Public Affairs Regulations. [41 FR 29101, July 15, 1976, as amended at 44 (p) When participation is in the mu- FR 6390, Feb. 1, 1979] tual interest of the Navy and the sponsor of the event, participation will be § 705.18 Authority and coordination. authorized at no additional cost to the (a) Each naval command will coordi- government. Additional costs to the nate its community relations program government (travel and transportation with the senior authority having re- of military personnel, meals and quar- sponsibility for community relations in ters, or standard per diem allowances, its area (District Commandant, Unified etc.) will be borne by the sponsor. Commander, or other). (q) Department of Defense policy pro- (b) Within policy limitations out- hibits payment by the Armed Forces lined in this section, the command re- for rental of exhibit space, utilities, or ceiving a request for Navy participa- janitorial costs. Other exceptions may tion, and processing the required re- be given under unusual circumstances. sources, has the authority to process (r) Navy participation in professional the request and provide the support re- sports events and post-season bowl quested. games will frequently be authorized at (c) Requests for support exceeding no additional cost to the government, local capability, or requiring approval will emphasize Joint Service activity from higher authority, or requiring an when possible, and must support re- exception to policy will be referred as cruiting programs. Chief of Informa- directed in § 705.21 for determination. tion approval is required. (d) The Assistant Secretary of De- (s) Navy participation in public fense (Public Affairs) has the overall events shall be authorized only when it responsibility for the Department of can be reasonably expected to bring Defense community relations program. credit to the individuals involved and Civilian sponsors should be advised to to the Armed Forces and their recruit- address requests for approval of the fol- ing objectives. Naval personnel will not lowing types of programs directly to be used in such capacities as ushers, the Director of Community Relations, guards, parking lot attendants, runner Office of the Assistant Secretary of De- or messengers, baggage handlers or for fense (Public Affairs), Pentagon, Wash- crowd control, or in any installations. ington, DC 20301: (t) Maximum advantage of recruiting (1) National and international events, potential will be taken at appropriate including conventions, except those events for which Navy participation taking place in overseas areas which has been authorized. are primarily of internal concern to (u) Navy support will not normally Unified Commanders. be authorized for commercially-ori- (2) Events outside the United States ented events such as shopping center which have an interest and impact ex- promotions, Christmas parades, and tending beyond the Unified Command other such events clearly sponsored by, areas, or which require assistance from or conducted for the benefit of com- outside the command area. mercial interests. However, this policy (3) Public events in the Washington, does not preclude participation of Navy DC area. recruiting personnel and their organic (4) Aerial, parachute, or simulated equipment, materials and exhibits so tactical demonstrations held in the

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public domain, except those held in erwise reserved or assigned to the Sec- areas assigned to overseas Unified retary of Defense. This authority may Commands. be delegated. (5) Aerial reviews on military installations within the United States if the § 705.19 Financing. review involves more than one Service. (a) The financial requirements for (6) Programmed national sports, pro- community relations purposes will be fessional athletic events, formal inter- kept to the minimum necessary to ac- national competitions, and contests be- complish Department of Defense objec- tween a Navy and professional team in tives. the public domain. See section 0605, (b) Costs of participation will nor- par. 18 of the Navy Public Affairs Regu- mally be at government expense for the lations. following types of events and programs (7) Performing Navy units appearing when they are in the primary interest on regional or national television. of the Department of Defense: (8) Overall planning for Armed Forces (1) Public observances of national Day (not including local activities). holidays. (9) Granting exceptions to policy. (2) Official ceremonies and functions. (e) Overseas, Unified Commanders (3) Speaking engagements. are designated to act for and on behalf of the Secretary of Defense in imple- (4) Programmed, scheduled tours by menting community relations pro- Navy information activity support grams within their command areas and units (e.g., an exhibit from the Navy in granting any exceptions to policy or Exhibit Center) when this method of regulations. This authority may be del- reaching special audiences is consid- egated. ered by the Secretary of the Navy to be (1) Policy, direction and guidance for the most effective and economical way Unified Command community relations of accomplishing a priority public af- programs are provided to Navy compo- fairs program. nents of these commands by the Uni- (5) Tours by units (e.g., the Navy fied Commander concerned. Band) for which appropriated funds (2) Authority of the Commander-in- have been specifically provided. Chief, Pacific extends to planning and (6) Support of recruiting. execution of community relations pro- (7) Events considered to be in the na- grams in Alaska and Hawaii. Participa- tional interest, or in the professional, tion in events held in Alaska and Ha- scientific, or technical interests of the waii will be governed by the same prin- Navy or Department of Defense, when ciples as policies applicable to other approved by the Secretary of Defense states. or the overseas Unified Commander, as (3) Community relations programs appropriate. and events taking place within the (c) Navy participation in all other United States which have an effect on public events will normally be at no a Unified or Specified Command as a additional costs to the government. whole, or are otherwise of significant (1) Continuing type costs to the gov- concern to the Unified Command, re- ernment which would have existed had quire complete coordination through the Navy not participated in the event appropriate channels between the Uni- will not be reimbursed by the sponsor. fied Command and naval activities con- (2) Transportation costs may be ex- cerned. cluded from the costs to be borne by (4) Unified Commanders overseas re- the sponsor when the transportation quiring Navy support for a community can be accomplished by government reltaions program or participation in a aircraft on a normal training flight or public event should coordinate their re- opportune airlift. quirements with the appropriate Navy component command. § 705.20 Use of Navy material and fa- (f) The Secretary of the Navy will cilities. plan and execute Navy community re- (a) The loan of equipment and per- lations programs and approve Navy mission to use facilities will be depend- participation in public events not oth- ent on the following:

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(1) The program support must be and flexible approach should be em- within the command’s public affairs re- ployed. sponsibility. (b) Requests by civilian organizations (2) The loan of the equipment must for Navy participation in programs or not interfere with the military mission events they sponsor should be ad- of the command. dressed to the nearest naval installa- (3) Equipment must be available tion and should be evaluated and au- within the command or obtainable thorized at that level if possible. Re- from another Navy command in the quest exceeding local resoures, or re- local area. quiring authorization from higher au- (4) The event must be of the type for thority, should be forwarded through which participation is considered ap- appropriate channels. propriate. (c) Requests for Armed Forces par- (5) It must not be in any direct or im- ticipation in public events are to be plied competition with a commercial submitted on official request forms source. (§§ 705.33, 705.34 and 705.36) by the spon- (6) There must be no potential danger sors of events occurring outside a com- to persons or private property that mand’s area of direct knowledge and could result in a claim against the gov- local capability, or involving a type or ernment. Safety requirements will be level of participation unavailable lo- observed. cally, or requiring approval of higher (b) Use of open mess facilities will be authority. permitted only under one of the follow- (d) Fact sheets expounding upon nor- ing conditions: mally requested assets are enclosed in (1) Incident to the holding of a pro- §§ 705.33, 705.34 and 705.36 and may be fessional or technical seminar at the reproduced and distributed locally. command. (e) The official request form is to be (2) Incident to an official visit to the used on all requests referred to the command by a civic group. Chief of Information and to the Office (3) Navy League Council luncheon or of Assistant Secretary of Defense (Pub- dinner meetings (not to exceed one per lic Affairs). quarter per group). § 705.22 Relations with community (4) Incident to group visits by the groups. Boy Scouts of America, Boys Clubs of America, the Navy League Sea Cadets (a) Naval commands will cooperate (by virtue of their federal charters), with and assist community groups Girl Scouts and the Navy League Ship- within their capabilities, to the event mates, and a few representative adult authorized by current instructions, and leaders. will participate in their activitis to the extent feasible. (c) Use of the official Navy flag will (b) Navy commands will encourage be in accordance with SECNAVINST membership of personnel in commu- 10520.2C and of official emblem in ac- nity organizations. cordance with OPNAVINST 5030.11B. (c) Officers in command will withhold (d) Requests not meeting the criteria approval of requests from community cited here, but which are considered by groups, organizations or individuals the officer in command to have merit, whose purposes are unclear, pending may be referred to the Chief of Infor- advice from the Chief of Information. mation. (d) Commands may make facilities, [41 FR 29101, July 15, 1976, as amended at 44 less housing and messing, available to FR 6391, Feb. 1, 1979] community groups, at no expense to the government, when it is in the best § 705.21 Requests for Navy participa- interest of the Navy to do so. Mess fa- tion. cilities may not be used for meetings of (a) Decisions will be made on a case- civic groups or other asociations unless by-case basis. Events which are inap- all the members of the group concerned propriate for one type of participation are authorized participants of the mess may be entirely appropriate for an- as prescribed in NAVPERS 15951, ex- other type of participation. A positive cept as provided below:

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(1) Requests to make open mess fa- to the desirability and feasibility of cilities available to professional or undertaking the desired distribution. technical seminars or civic groups (v) Visits to contractor facilities are meeting in connection with an official governed by the provisions of DOD visit to the activity may be submitted Manual 5520.22–M (Industrial Security to the officer in charge of the mess, or Manual for Safeguarding Classified In- other appropriate authority. Such re- formation). If nationally known press quests may be approved when it is representatives will be involved, prior shown that the inspection of the activ- approval must be obtained both from ity or the holding of a professional the contractor (via the Chief of Infor- seminar is of principal importance and mation) and from the Assistant Sec- the use of mess facilities is incidental retary of Defense (Public Affairs). thereto. (3) Commands will maintain the (2) Because of the exceptional nature same relationship with labor unions as of the Navy League, as recognized by with other community groups and will the Secretary of the Navy, open mess not take action in connection with facilities may be used for luncheon or labor disputes. Personnel inadvertently dinner meetings of Navy League Coun- or incidentally involved in labor dis- cils, but not more often than once per putes will consult officers in command quarter per group. for guidance. (e) Relations with Industry and (f) Emergency Assistance to the Com- Labor in the Community (refer to munity: SECNAVINST 5370.2F and DOD Direc- (1) Navy commands will offer and tive 5500.7): provide assistance to adjacent commu- (1) Relations with Navy contractors nities in the event of disaster or other and with industry and business in gen- emergency. eral are the responsibility of the officer (2) The Chief of Information will be in command, with the assistance of his advised immediately of action when public affairs officer. taken, and copies of subsequent reports (2) Navy commands will cooperate to the Chief of Naval Operations will be with industry and its representatives forwarded to the Chief of Information. in planning and executing community (3) Navy commands will participate relations projects of mutual interest. in planning by local Civil Defense offi- (i) Visits to commands will be sched- cials. uled for industrial and employee [41 FR 29101, July 15, 1976, as amended at 44 groups under the same conditions as FR 6391, Feb. 1, 1979] for other civilian groups. (ii) A contractor may be identified in § 705.23 Guest cruises. a news release, exhibit, or the like (a) General policy. (1) The embar- whenever the major responsibility for kation of civilian guests in Navy ships the product can be clearly and fairly is appropriate in the furtherance of credited to him. In such cases, both the continuing public awareness of the manufacturer’s name for the product Navy and its mission. and the Navy designation of it will be (i) Examples of embarkations for used. public affairs purposes are (but not (iii) Commands will not solicit, nor limited to): Individuals, community authorize others to solicit, contractors service clubs, civic groups, the Navy to provide advertising, contributions, League, and trade and professional as- donations, subscriptions, etc. Where sociations. there is a legitimate need for indus- (ii) Embarkation of media represent- trial promotion items, such as scale atives on assignment is discussed in models, the command will contact the § 705.14. Chief of Information for advice as to (iii) Other categories may be estab- the procedure for requesting procure- lished by the Secretary of the Navy, ment. subject to the approval of the Sec- (iv) Similarly, if Defense contractors retary of Defense. wish to distribute information mate- (2) It has also been demonstrated rial through official Navy channels, the that the occasional embarkation on Office of Information will be queried as cruises of families and personal guests

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of naval personnel has contributed ma- of a Unified Command will be submit- terially to the morale of the family cir- ted via the operational chain of com- cle and has instilled in each individual mand, to the appropriate commander a sense of pride in his ship. For further of the Unified Command, unless dele- information see OPNAVINST 5720.2G. gated. (3) Embarkations should be con- (ii) Requests for public affairs embar- ducted within the framework of regu- kations originating from any Navy larly scheduled operations; underway source other than the Chairman of the periods solely to accommodate guests Joint Chiefs of Staff, or the Unified and are not authorized. Specified Commanders or their subor- (4) Commander-in-Chief, Pacific dinate commands, will be submitted to Fleet, Commander-in-Chief, Atlantic the Chief of Information, who will ef- Fleet, Commander-in-Chief, U.S. Naval fect coordination with the Chief of Forces Europe, Commander Military Naval Operations and/or the Assistant Sealift Command (and their subordi- Secretary of Defense (Public Affairs) as nate commands if so designated), Chief appropriate. of Naval Education and Training, and (iii) When guests debark in a foreign District Commandants may authorize port which is in the geographic area of the embarkation of female civilians for a Unified Command other than that in daylight cruises. Embarkation of civil- which the cruise originated, the Chief ians for overnight cruises must be au- of Information will coordinate travel thorized by the Chief of Naval Oper- by obtaining concurrence of all appro- ations via the Chief of Information. priate commanders and the approval of (5) All guest visits are normally au- the Chief of Naval Operations, and the thorized on an unclassified basis. Assistant secretary of Defense (Public (6) In all instances, due precautions Affairs) as appropriate. must be taken for the safety of the (2) Officers in command to whom au- guests. (See section 0403, pars. 6(b) and, thority to embark guests for public af- 6(e), of the Navy Public Affairs Regula- fairs purposes is delegated will make tions, for procedures to be followed in maximum use of this authority. the case of death of, or injury to, civil- (c) Secretary of the Navy Guest Cruise ians embarked on naval ships.) and Guest of the Navy Cruise Programs. (7) For further information on policy, (1) The objective of these two programs procedures, and eligibility criteria, see is: To expose top-level and middle-level OPNAVINST 5720.2G. opinion leaders in the fields of busi- (b) Authority. (1) Authority to estab- ness, industry, science, education, and lish procedures for the conduct of the labor to the operation of the U.S. embarkation of guests for public af- Navy, in order that they may gain a fairs purposes (including the Secretary better understanding of its capabilities of the Navy Guest Cruise and Guest of and problems, the complicated nature the Navy Cruise programs, which are of modern sea-based equipment, and discussed in § 705.24) is vested in the the high levels of responsibility and Secretary of the Navy. This authority training required of Navy men and is limited only insofar as the Chairman women. of the Joint Chiefs of Staff and the (2) In addition to policy contained in commanders of the Unified and Speci- paragraph (c)(1) of this section, the fol- fied Commands (and their component lowing policy guidelines apply to the commanders, if so designated) have the conduct of the Secretary of the Navy authority to use Navy ships to embark Guest Cruise and the Guest of the Navy individuals other than news media rep- Cruise Programs. resentatives for public affairs purposes. (i) Secretary of the Navy Guest Cruise (i) Public affairs embarkations origi- Program. (A) Only aircraft carriers and nating within the geographical limits cruisers will be used. of the Unified Command will be ap- (B) Cruises will be conducted once proved by and coordinated with the each quarter on each coast, contingent commanders of such commands. This upon the availability of appropriate authority may be delegated. Requests ships. for such embarkations originating with (C) The optimum number of guests is the subordinate fleet or force command 15.

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(D) Guests will be drawn from top- sult in the invitation having to be level executives and leaders who have withdrawn. not had previous exposure to the Navy. (E) The following necessary informa- ‘‘Previous exposure’’ is defined as action may be included separately with a tive or reserve service in the U.S. Navy letter of invitation: Recommended or U.S. Marine Corps within the last 10 wardrobe, passport and immunization years; membership in the Navy League requirements, availability of emer- or any other Navy-oriented organiza- gency medical and dental facilities, tion; or participation in a cruise on a ship’s store and laundry facilities, U.S. Navy ship in the last 10 years. statement that guest’s use of a camera (E) Whenever feasible, Secretary of will be authorized subject to certain re- the Navy Guests will be greeted by strictions, and a listing of those re- CINCLANTFLT or CINCPACFLT, or in strictions. In addition, the following their absence by the SOPA. Com- statement will be included with each prehensive unclassified briefings will invitation, or form part of the attached be given dealing with the Navy’s mis- information sheets: sion, fleet operations, and current The Department of the Navy has no spe- problems. cific authority to use its funds to defray or (F) Cruises will vary in length from 3 reimburse any personal expenses of a navy to 7 days, when appropriate, to con- guest. As a result, the Department of the form with the operating schedule of the Navy cannot provide you with transpor- ship. tation to the port of embarkation or from (ii) Guests of the Navy Cruise Program. the port of debarkation back to your home. (A) All types of ships will be used. This Your expenses for meals will be quite nominal while you are on board a naval ship or fa- will include carriers when available, cility. You should make provision for any ex- after selection of a cruise for the Sec- traordinary expense which may arise. For retary of the Navy Guest Cruise Pro- example, if a personal or other emergency gram. arises which necessitates your returning (B) Guest of the Navy Cruise guests home during the cruise, you should be pre- will be drawn from middle-level execu- pared to take commercial transportation at tives and leaders who have not had pre- your own expense from the most distant point on the cruise itinerary. vious exposure to the Navy. Guests Navy ships and aircraft, by their very na- should include persons who have direct ture, present certain hazards not normally impact on recruiting, such as second- encountered on shore. These hazards require ary school principals, guidance coun- persons on board to exercise a high degree of selors, coaches and teachers. care for their own safety. (C) Cruises of relatively short dura- Acceptance of this invitation will be con- tion (3 to 5 days) are preferred, al- sidered your understanding of the above ar- though cruises up to 7 days are author- rangements and limitations. ized. Protracted cruises will not be ap- (iii) Applicable to both programs. (A) proved except for special cir- Guests will provide their own transpor- cumstances. tation from home to the ship and re- (D) Invitations will be extended by turn, and must reimburse the Navy for the District of Commandants. Invita- living and incidental expenses while tions will include: embarked so that the program may be (1) Statement of the purpose of the conducted at no additional expense to Guest of the Navy Cruise Program. the government. (2) Authorization for embarkation (B) Because the number of billets and, if applicable, for COD flights, with available to accommodate all of the po- instructions for reporting on board. tential guests is limited, the guest’s (3) Name and rank of the command- opportunity to communicate his expe- ing officer and, if applicable, name and rience to his associates must be consid- rank of embarked flag officer. ered. For this reason, one of the cri- (4) A caution that guests should not teria for selection of guests will be accept the invitation unless they are in their level of activity in civic, profes- good health. sional, and social organizations. In (5) Statement to the effect that the nominating and selecting guests, effort tempo of operations might cause will be made to ensure that minority changes in scheduling which could re- citizens are included as appropriate.

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(C) Atlantic cruises will be made on ports adjacent to recognized points of ships operating between East Coast interest. ports, or between CONUS and the U.S. (I) As a souvenir of the cruise, it is Caribbean ports of San Juan, PR, or suggested that guests be provided with Charlotte Amalie (St. Thomas), Virgin a photograph of the ship, perhaps suit- Islands. Pacific cruises will be made on ably inscribed by the commanding offi- ships operating between West Coast cer prior to debarkation. ports: Between CONUS and ports in Ha- (J) Any publicity will be limited to waii, Alaska, Mexico or Canada; or be- that initiated by the participants. tween ports within Hawaii or Alaska. Navy-sponsored publicity will be avoid- (D) Guests will be informed of secu- ed unless sought by the participants. rity restrictions. Unclassified photog- At the same time, media inquiries or raphy should be permitted on board, as inquiries from the general public will pictures renew guests’ feelings of iden- be answered fully, the purposes of the tification with a ship. Guests will be cruise program outlined and the fact advised of areas, however, where pho- stressed that no cost to the govern- tography is prohibited, and security ment is incurred. regulations will be courteously but [41 FR 29101, July 15, 1976, as amended at 44 firmly enforced. FR 6391, Feb. 1, 1979] (E) Guests will be billeted in officers quarters and normally subsisted in the § 705.24 Exhibits. wardroom. It is not necessary that (a) Navy exhibits are representations guests be assigned individual rooms. or collections of naval equipment, Billeting with ship’s officers promotes models, devices and information and mutual understanding, and guests feel orientation material placed on public more closely identified with the ship’s display for information purposes before company. They will be invited to dine audiences at conventions, conferences, at least once in each mess on board, if seminars, demonstrations, exhibits, the length of the cruise permits. fairs, or similar events. Also included Guests will be encouraged to speak are general purpose displays in public freely and mingle with the crew. buildings or public locations. Museums (F) Guests will be accorded privileges also occasionally request a Navy ex- of the cigar mess commissioned offi- hibit on a permanent or temporary cers mess (open) ashore—with the ex- loan basis. ception of package store privileges— (1) Exhibits may be displayed in any and the use of ship’s or Navy Exchange appropriate location or event (includ- laundry and tailor shops. Other Navy ing commercially owned spaces such as Exchange privileges will be limited to shopping centers, malls, etc.) provided purchase of items for immediate per- it is clearly established that such areas sonal use. are places the general public frequents (G) Only emergency medical and den- and that the exhibit is not for the pur- tal care will be provided and then only pose of drawing the public to that loca- where civilian care is not conveniently tion, and that it is determined that available. participation is in the best interests of (1) In the event of injury to civilians the Department of Defense and the De- embarked in Navy ships and aircraft or partment of the Navy. visiting naval activities, commanding (b) Exhibits will be used for the fol- officers will notify the Chief of infor- lowing purposes only: mation, the appropriate Commandant, (1) To inform the public of the Navy’s and operational commanders, by mes- mission and operations. sage, of the injury and action taken. (2) To disseminate technical and sci- (2) In the event of an emergency not entific information. covered by Navy Regulations, the facts (3) To assist recruiting of personnel and circumstances will be reported im- for Navy military service and for civil- mediately to the Secretary of the ian employment in the Department of Navy. the Navy. (H) Guests may be allotted time for (c) Exhibit requests and procedures: side trips at their own expense when an (1) Requests for Navy exhibits, other itinerary includes naval activities or than local exhibits may be forwarded

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to the Navy Recruiting Exhibit Center (i) Project officers are normally com- via the local Navy recruiter with an in- missioned officers, equivalent civilian formation copy to the Chief of Infor- personnel, local recruiters or reserv- mation. The primary mission of the ists, who have been assigned the re- Navy Recruiting Exhibit Center is to sponsibility of coordinating Service support local Navy recruiters. Requests participation in a special event. for exhibits for community relations (ii) The project officer should estab- events will be considered favorably lish immediate liaison with the spon- only when not in conflict with recruit- sor. ing requirements. (iii) The project officer should assist (i) Requests for exhibits must be sub- in determining the actual location of mitted well in advance of their proposed dates of use. the exhibit, make arrangements for as- (ii) Requests for mobile exhibits re- sembling and disassembling the exhibit quiring tractor-trailer transportation material, and supervise these oper- should be forwarded prior to November ations. 15th previous to the year desired. A (iv) The project officer will ensure tour itinerary of mobile exhibits will Navy and Department of Defense poli- then be established for the following cies are followed, and will coordinate year. local news releases concerning Navy (iii) The period of time for which an participation. exhibit is authorized will be deter- [41 FR 29101, July 15, 1976, as amended at 44 mined by the nature of the event and FR 6391, Feb. 1, 1979] the type of exhibit (e.g., equipment from local resources used for a local § 705.25 Navy Exhibit Center. celebration would normally not be exhibited for more than three days; but, (a) The center is a field activity of a formal exhibit at an exposition might the Chief of Information and is located remain for the duration of the event). in the Washington Navy Yard. Its pri- (2) The office of the Assistant Sec- mary mission is to produce, transport retary of Defense (Public Affairs) is the and display U.S. Navy exhibits approving authority for Navy exhibits throughout the United States. It also in events of international or national facilitates assignments of Navy combat scope, or those requiring major coordi- artists and, additionally, produces ex- nation among the Armed Forces, or hibits for its own tours and for short- with other agencies of the Federal Gov- term loans to naval commands. ernment. (i) All Navy activities will forward [41 FR 29101, July 15, 1976, as amended at 44 such requests to the Chief of Informa- FR 6391, Feb. 1, 1979] tion for coordination with the OASD § 705.26 Exhibit availability report. (PA). (ii) Subordinate commands of a Uni- (a) A center index of exhibits which fied Command will forward exhibit re- are available at the local level in each quests of the above types to the Unified Naval District is maintained by the ex- Commander concerned, via the chain of hibit center. To achieve maximum ef- command. fectiveness for an overall integrated (3) The official OASD(PA) Request program, an up-to-date registry of all Form for Armed Forces Participation exhibits is required. will be used. See Armed Forces Request (b) A current inventory of exhibits Form, § 705.36. headquartered in Washington, DC, and (4) Requests for exceptions to policy managed by the Navy Recruiting Ex- for exhibit displays should be for- hibit Center for scheduling purposes warded to the Officer in Charge, Navy may be obtained by writing to: Officer- Recruiting Exhibit Center. in-Charge, Navy Recruiting Exhibit (5) Policy guidance on costs is de- Center, Washington Navy Yard, Wash- fined in § 705.19. ington, DC 20374. (6) Occasionally, a project officer will be assigned to coordinate use of the ex- [41 FR 29101, July 15, 1976, as amended at 44 hibit with the sponsor. FR 6391, Feb. 1, 1979]

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§§ 705.27—705.28 [Reserved] the permanent property of the Depart- ment of the Navy. § 705.29 Navy Art Collection. (iv) Requests for reproduction of (a) The U.S. Navy has continued to combat art for use in advertising or record its military actions, explo- publication will be directed to the rations, launchings, etc., in fine art Chief of Information. form since before World War II. The (b) Responsibilities: present Navy Combat Art Collection (1) The Chief of Information exercises contains over 4,000 paintings and supervision and control of the Navy sketches. A significant number of new Art Program and issues SECNAV invi- works is being added each year. The tational travel orders and letters of in- combat artists of World War II have vitation to artists selected for assign- been replaced by civilian artists who ment. witness today’s Navy in action, record (2) When directed by the Chief of In- their impressions, and donate their formation or other appropriate Navy works of art to the Department of the authority, a NACAL project officer will Navy. perform the following functions: (1) The voluntary services of most of (i) Act as a local liaison officer for the artists are arranged through the the NACAL Program. Navy Art Cooperation and Liaison (ii) Assist NACAL artists on assign- Committee (NACAL) which operates in ments within his area. close cooperation with the Salmagundi (3) The Curator Navy Combat Art Club of New York City and the Munici- Center, in coordination with the Chief pal Art Department of the City of Los of Information, will: Angeles. (2) The Chief of Information has es- (i) Plan trips for the NACAL Pro- tablished liaison with the Salmagundi gram. Club in order to maintain a continuing (ii) Approve requests for art displays. historical record of the Navy. Orga- (iii) Provide logistic support for the nized in 1871, the Salmagundi Club is maintenance, storage, shipment and the oldest club of professional artists display of the Navy Combat Art Pro- in the United States. The Club ap- gram. pointed a Navy Art Cooperation and (c) Requests for art displays should Liaison (NACAL) Committee to advise be forwarded to the Director, Commu- the Navy on art matters and to nomi- nity Relations Division, Office of Infor- nate artists for assignment to paint mation, Navy Department, Washing- Navy activities through the world. The ton, DC 20350. Chief of Information reviews the nomi- (d) Exhibition of Navy Art: nations, and issues SECNAV invita- (1) Operation Palette I’’ is a carefully tional travel orders to each artist ap- selected group of 75 to 100 combat art proved. paintings depicting Navy and Marine (3) The following policy pertains: Corps activities during World War II. (i) All finished art portraying the The schedule of ‘‘Operation Palette I’’ Navy and produced by Navy artists on is promulgated by the Officer-inactive duty for that purpose and by Charge, Navy Recruiting Exhibit Cen- guest artists working under invita- ter and supervised by the Chief of In- tional travel orders becomes the prop- formation, with the concurrence of Dis- erty of the Department of the Navy. trict Commandants. Schedules are ar- (ii) Civilian artists selected to paint ranged so that the exhibition travels Navy life through cooperation of a pri- within a particular Naval District for vate sponsor and the Chief of Informa- several months at a time. District tion may be authorized by the Chief of Commandants designate project offi- Information or the Office of the Sec- cers for each city where ‘‘Operation retary of Defense to retain their works. Palette I’’ is exhibited. The project of- (iii) Paintings, sketches, drawings ficer makes all arrangements, includ- and other forms of artwork will not be ing suitable location, publicity and accepted by the Department of the personnel to assist the chief petty offi- Navy unless all reproduction rights are cer who travels with the collection. surrendered and unless they become Promotional kits are provided by the

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Officer-in-Charge, Navy Recruiting Ex- ing a comprehensive background in the hibit Center. Requests for exhibitions field of aviation. The teachers in turn are not desired, since the collection al- integrate this knowledge into their ways travels on a prearranged tour. education programs. (2) ‘‘Operation Palette II’’ consists of (b) Appropriate commands are en- 75 to 100 paintings representative of the couraged to provide assistance to edu- worldwide operations of the contem- cational institutions sponsoring the porary Navy and Marine Corps * * * workshop program: Provided, That such the Navy today * * *, and travels on support does not interfere with the prearranged tours similar to ‘‘Oper- command’s primary mission and that ation Palette I.’’ (3) Other exhibitions of original such cooperation involves no addi- paintings from the Combat Art Collec- tional expense to the government. tion may be scheduled on request by ei- (c) The Chief of Naval Operations has ther Navy commands or civilian art cognizance of all assistance provided groups. Requests should be directed to by the Navy to all Aerospace Edu- the Director, Community Relations Di- cation Workshop program. A summary vision, Office of Information, Navy De- report of local command participation partment, Washington, DC 20350 and in Aerospace projects will be submitted contain the following: to the Chief of Naval Operations via (i) The occasion. the appropriate chain of command. In- (ii) Inclusive dates. (Not less than 10 formation copies of such reports will be days or more than 90 days sub-cus- sent to Commander, Navy Recruiting tody.) Command and the Chief of Informa- (iii) Expected attendance and type of tion. For further information see publicity planned. OPNAVINST 5726.1C. (iv) Amount of space allotted. (v) If Navy-sponsored show, certifi- § 705.31 USS Arizona Memorial, Pearl cation that 24-hour security will be Harbor. provided for the paintings while in custody. (a) Limited space and the desirability (vi) If civilian-sponsored show, state- of keeping the Memorial simple and ment that transportation and insur- dignified require the following prac- ance requirements will be met. (Phys- tices to be observed: ical security must be available for ex- (1) Rendering of formal ceremonies hibit, with an attendant on duty during on the USS Arizona Memorial will be open hours and locked building or confined to Memorial Day. other means of protecting exhibit when (2) Observances on December 7, or closed to the public.) any other date, at the request of indi- (e) Navy Combat Art Lithograph Pro- viduals or organizations, will consist of gram: simple wreath-laying, or other appro- (1) This program makes available full priate expressions conducted with dig- color, high quality lithographs which nity. are faithful reproductions of the origi- (3) Plaques intended for display on nal artwork on quality paper of se- the Memorial may be presented by lected works of art from the Navy Art headquarters of national organizations Collection. only. Plaques from regional, state or (2) Additional information and order- local organizations cannot be accepted. ing details are contained in CHINFO NOTICE 5605, which is issued periodi- Only one plaque will be accepted from cally. any organization. The overall size of the plaques, including mounting, must [41 FR 29101, July 15, 1976, as amended at 44 be no larger than 12 inches square. FR 6391, Feb. 1, 1979] (b) The Commandant, Fourteenth § 705.30 Aerospace Education Work- Naval District, is designated to coordi- shop. nate all formal or informal observances (a) This program is devised by the involving the Memorial. Navy to give students at colleges and universities conducting teacher train-

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§ 705.32 Aviation events and parachute tary aid societies. Armed Forces sup- demonstrations. port to fund-raising events for a single (a) Armed Forces aircraft and para- cause, even though the charity is a chutists may be authorized to partici- member of a federated or joint cam- pate in appropriate in public events paign or donates in part to one or sev- which meet basic Department of De- eral of the campaigns, is inconsistent fense criteria. This participation may with the basic position of Department be one of the officially designated mili- of Defense. The name of the nearest tary flight or parachute demonstration Combined Federal Campaign coordina- teams, flyover by aircraft, a general tor will be supplied to the sponsor, or if demonstration of capabilities by air- he chooses, he might elect to work craft, or the static display of aircraft. with the local United Givers Fund (b) Events which are appropriate for (Community Chest). As a minimum, aviation participation include: Dedica- the sponsor must agree to provide at tion of airports; aviation shows; air- least half of the profit above costs to craft exposition; air fairs; recruiting the Combined Federal or United Givers programs; civic events which contrib- Campaigns to receive Armed Forces ute to the public knowledge of naval support. aviation equipment and capabilities (e) Request form. This form is used to and to the advancement of general request military flight and parachute aviation; public observances of certain demonstration team participation in national holidays (Armed Forces Day, public events. The information is re- Veterans Day, Memorial Day and Inde- quired to evaluate the event for appro- pendence Day); national conventions of priateness and compliance with De- major veterans organizations; memo- partment of Defense policies and for rial services for deceased, nationally coordination with the units involved. recognized dignitaries; and receptions for foreign dignitaries. GENERAL (c) Support of Armed Forces recruit- 1. Title of Event —————————————— ing is the primary purpose of military Town or City: ——————— State: ————— flight and parachute demonstration Date: ———————— Time—From: ————— teams. Armed Forces recruiting teams To: ———— Place: (Airport, etc.) —————— are available to assist sponsors in co- 2. Sponsor: ———————————————— 3. The sponsor (is) (is not) a civic organiza- ordinating advance publicity and infor- tion and the event (does) (does not) have the mation coverage to insure maximum official backing of the mayor. exposure for the demonstration team 4. The sponsoring organization (does) (does and the event. This assistence is at no not) exclude any person from its membership additional expense to the sponsor; how- or practice any form of discrimination in its ever, the sponsor is required to give functins, based on race, creed, color or na- full support to the recruiting effort and tional origin. to cooperate fully with local service of- 5. Sponsor’s representative authorized to complete arrangements for Armed Forces ficials. Such support could include (but participation and responsible for reimburs- is not limited to) the provision of ing Department of Defense for accrued ex- prime space for recruiters at the event penses when required: site and the provision of courtesy Name: ——————————————————— passes in controlled quantities to re- Address: —————————————————— cruiters for the purpose of bringing re- City, State: ————————— Zip: ———— cruit prospects and recruiting advisors Telephone: (Office) ———— (AC) ————— to view the show. ———————————————————————— (d) DOD support of air show fund (home) —————————— (AC) raising efforts in the form of provision ———————————————————————— of military flight and parachute dem- 6. Purpose of this event (explain fully): —— onstration teams is limited to charities ———————————————————————— recognized by the Federal Services 7. Expected attendance: ————————— Fund-Raising Program. These include 8. Is this event being used to promote funds for any purpose? —————————————— such agencies as the United Givers 9. Admission charge: ——————————— Fund, Community Chests, National ‘‘Charge for seating: ————————— —— Health Agencies (as a group), Inter- 10. Disposition of profits which may ac- national Service Agencies and the mili- crue: —————————————————————

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11. Will admission, seating and all other by sponsor to accomplish this at least sixty accommodations and facilities connected days prior to the event? ——————————— with the event be available to all persons 4. Flight and Parachute Team demonstra- without regard to race, creed, color or nations must adhere to FAA regulations which tional origin? ———————————————— specify that spectators not be permitted 12. Will the standard Military Services al- within 1500 feet of an area over which the lowance for quarters and meals be provided flight demonstration takes place, or 250 feet by the sponsor for Armed Forces partici- of the jump area over which parachutists are pants? ———————————————————— performing. What type of crowd control is 13. Will transportation at sponsor’s ex- planned? ——————————————————— pense be proviced for Armed Forces partici- ———————————————————————— pants between the site of this event and 5. Flight and Parachute Team demonstra- hotel? ———————————————————— tions require that an ambulance and a doctor 14. Will telephone facilities, at sponsor’s be on the site during the demonstration. Will expense, be made available for necessary of- this requirement be met? —————————— ficial communications regarding the event? 6. Flight and Parachute Team demonstra- ———————————————————————— tions require that the sponsor provide a recent aerial photograph, taken vertically 15. It may be necessary for representatives from an altitude of 5,000 feet or higher, to of the requested unit to visit the site prior to the team(s) giving the demonstration. Will the event. Will transportation, meals and this requirement be met? —————————— hotel accommodations be provided by the 7. Flight Team demonstrations and Static sponsor? ——————————————————— Aircraft displays require that the sponsor ———————————————————————— provide suitable aircraft fuel (JP jet fuel or 16. Please describe the space which will be aviation gas, as appropriate) and pay the provided to recruiters: ——————————— cost of transporting and handling this fuel, if ———————————————————————— it is not available at the staging airport ———————————————————————— under military contract prices. Will this re- ———————————————————————— quirement be met? ————————————— 8. Flight Team demonstrations and Static 17. Designate charity beneficiary(s): ——— Aircraft displays require mobile firefighting, ———————————————————————— crash and ground-to-air communications equipment at the demonstration site. Will FLIGHT TEAM, PARACHUTE TEAM, FLYOVERS, this requirement be met? —————————— STATICS 9. Flight Teams and Static Aircraft dis- 1. This request is for (check appropriate plays require that the sponsor provide line): guards for the aircraft that land and are parked at the site during their entire stay. Flight Team Demonstration ...... U.S. Navy Blue Angels ...... Will this requirement be met? ——————— U.S. Air Force Thunderbirds. (Cost for either 10. Parachute Team demonstrations may team is $1500.00 for each day team sched- require that the sponsor arrange aircraft uled at your event.) ...... transportation from the team’s home base to Aircraft Flyover: (No cost to sponsor.) ...... the location of the event, for use as a jump Static Aircraft: (Cost is $25.00 per day per crew- platform and return to the home base. Will member.) ...... this requirement be met, if necessary? ——— U.S. Army Silver Eagles: (Cost for this team is ———————————————————————— $750.00 for each day team scheduled at your event.) ...... 11. Name and address of any Armed Forces Parachute Team Demonstration U.S. Army representative or government official with Golden Knights: (Cost is $25.00 per day per whom you have discussed possible participa- man for each day required to support your tion: ————————————————————— event. Team consists of 10±14 personnel.) ...... ———————————————————————— (Other) ...... CERTIFICATION 2. Flight and/or Parachute Team demonstrations are restricted to appropriate I certify that the information provided events at airports, over open bodies of water, above is complete and correct to the best of or over suitable open areas of land. Please my knowledge and belief. I understand that give the specific location of your event ——— representatives of the Military Services will ———————————————————————— contact me to discuss arrangements and If an airport, name of airdrome facility and costs involved prior to final commitments. longest usable landing runway. Airport: —— Signature: —————————————————— ———————————————————————— (Sponsor’s Representative) Runway data:——————————————feet. Date of Request: —————————————— 3. Flyovers, Flight and Parachute Team Return this form to: ——————————— demonstrations require that sponsors secure FAA clearance or waiver. Will steps be taken (f) Definitions. A flight team demonstration is an exhibition of precision

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aerial maneuvers flown by the official recruiting aspects of the all-volunteer Department of Defense military flight force concept. The approval of any such demonstration teams, the U.S. Air military demonstration will only be Force Thunderbirds, the U.S. Navy authorized if a maximum recruiting Blue Angels and the U.S. Army Silver benefit exists at each location. Eagles. An aircraft demonstration is a (h) Costs. (1) The cost for either the flight demonstration by aircraft other United States Air Force Thunderbirds than those of the teams listed above or the United States Navy Blue Angels and designed to portray tactical capa- will be $1500 for each day a demonstra- bilities of aircraft by a single aircraft tion is scheduled. If the United States (i.e., the U.S. Marine Corps ‘‘Harrier’’) Army Golden Knights precision para- or group of aircraft, including air-to- chute team is scheduled for your event, air refueling, helicopter hover and the cost will be $25 per man per day for pick-up or rappelling capabilities, Low each day required to support your Altitude Parachute Extraction System, event, to include the days of travel if maximum performance take-off, etc. A required. Under normal conditions, this parachute demonstration is an exhi- group is comprised of fourteen mem- bition of free-fall and precision landing bers: Nine jumpers, three aircraft crew- techniques by the official DOD para- men, one ground controller, and a nar- chute team, the U.S. Army Golden rator. The sponsor will be advised by Knights. Other parachute demonstra- the Golden Knights in advance of the tions can be performed by the U.S. costs related to his event for which the Navy Parachute Team, or another un- government must be reimbursed. The official team or sports parachute club United States Army Silver Eagles heli- representing the Department of De- copter team, composed of seven heli- fense. A flyover is a flight of not more copters, performs precision formation than four aircraft over a fixed point at manuevers and solo helicopter aero- a specific time and does not involve batics to demonstrate the capabilities precision maneuvers or demonstra- of modern helicopters and the skill of tions. Flyovers are authorized for cer- Army aviators. The Silver Eagles pertain events when the presence of formance lasts about 30 minutes and is Armed Forces aircraft overhead would conducted entirely in full view of spec- contribute to the effectiveness of the tators on the crowd line. The cost for event based on a direct correlation be- the team is $750 for each day a dem- tween the event and the aircraft. Fly- onstration is scheduled. The sponsor overs can also be authorized for occa- should make a check payable to the sions primarily designed to encourage Treasurer of the United States for the the advancement of aviation and which required amount and present it to the are of more than local interest. Fly- appropriate demonstration team com- overs by any of the official DOD flight mander in advance of the scheduled teams are not authorized. Parades are event. not considered an appropriate event for (2) Costs associated with static air- authorizing flyover support. The static craft are normally $25 per day for each display of aircraft is the ground display crew member plus possible fuel require- of any military aircraft and its related ments discussed below. Charges for any equipment, not involving flight, taxi- other military parachuting demonstra- ing or starting of engines. tion (i.e., U.S. Navy Parachute Team, (g) Events which are appropriate for local Armed Forces sport parachute Armed Forces aviation participation in clubs, etc.) will depend on the number the public domain include such activi- of personnel and transportation in- ties as dedication of airports and facili- volved. Checks payable to the Treas- ties, aviation shows, expositions, and urer of the United States should be fairs; and other civic events which con- made available to the appropriate air- tribute to the public knowledge of the craft commander for static displays or U.S. Military Services aviation equip- parachute team commander upon ar- ment and capabilities. The number one rival at the event. priority for utilization of military air- (i) As noted in the Department of De- craft and parachutists in such events fense request form, the sponsor is re- in the public domain is to support the quired to pay per diem costs for team

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and static display crew members ex- sor may wish to consider rain insur- cept for flyovers or aircraft demonstra- ance to protect his investment. Pre- tions not involving landing. vious sponsors have advised us that (3) These costs are binding after a such insurance is available from most team or crew personnel have arrived at commercial companies. the show site, even though weather (i) Other information. (1) Flight and/or conditions or other unforeseen cir- parachute team demonstrations are re- cumstances force the event to be can- stricted to appropriate events at air- celled. These funds provided by the ports, over open bodies of water, or sponsor will be utilized by team mem- over suitable open areas of land. For bers or crew personnel for paying hous- the U.S. Air Force Thunderbirds or ing and subsistence costs. The actual U.S. Navy Blue Angels to operate from breakdown of the per diem involved is an airport show site, the following $13.20 for housing, $9.30 for subsistence, operational requirements must be met: and $2.50 for incidental expenses. In (i) Minimum useable runway length those locations where housing and sub- for the Thunderbirds is 5000 feet by 150 sistence cannot be procured for these feet in width. amounts, it will be the responsibility (ii) Minimum useable runway length of the sponsor to absorb the additional for the Blue Angels is 6000 feet by 150 cost. As stated, these costs will cover feet in width. participation but does not include cer- (iii) Minimum single landing gear tain ground support requirements (i.e., load bearing capacity for Thunderbirds ground transportation, telephone, etc.) to be furnished by a sponsor as out- is 45,000 pounds; for Blue Angels, 21,000 lined in a team support packet. pounds. Tandem landing gear load (4) Other costs that could be incurred bearing capacity is 155,000 pounds for by the sponsor are in the area of the Blue Angels and Thunderbirds. sponsor’s agreement to provide suit- (2) A staged performance may not be able aircraft fuel (defined as JP jet fuel given if the location planned for the or aviation gas and lubricants) at U.S. show site does not meet these mini- Government contract prices. Where mums. The maximum distance for a fuel is available from local military staged performance’’ under normal stocks—usually military installa- conditions is 50 nautical miles. It tions—or when fuel is available from should be noted that staged perform- commercial into-plane contract loca- ances are seldom authorized since the tions, the U.S. Government will pay all recruiting potential is reduced at such fuel costs. If military contract fuel is events. not available at the show site, the (3) The type and number of static sponsor will be required to pay all and/or flyover aircraft which may be costs above the contract price and that assigned is entirely dependent upon the price charged by the local supplier. Military Services’ capability to provide However, the sponsor may choose to such resources at the time of your transport military contract fuel from a event. This capability is affected by military base or a commercial airport operational commitments and sponsors having a U.S. Government into-plane are advised that confirmation of static/ contract. In this case, his cost would be flyover aircraft cannot be made by the only the transporting and handling of appropriate Service more than 15–30 this fuel to the show site. days before your event. (5) The Department of Defense no (4) The U.S. Army Silver Eagles are longer requires the sponsor to provide normally restricted to performances at the Department with a public liability airports. Other open land areas may be and property damage insurance policy. operationally suitable but require the This should in no way deter the spon- prior approval of the team commander sor from obtaining such liability and in each case. property damage insurance he feels is (5) Only one flight demonstration necessary for his own protection. Due team and a parachute demonstration to the costs that could accrue to the team may be authorized for any one sponsor in case of cancellations be- event. Military aircraft demonstra- cause of inclement weather, the spon- tions may not be authorized for events

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on the days a flight team is participat- (9) Flight team, parachute and air- ing. A flyover is not authorized when a craft demonstrations also require that flight team is participating unless it the sponsor provide: (i) Recent aerial can be provided by a locally-based Na- photograph of the site; (ii) an ambu- tional Guard or Reserve component. lance and doctor at the site; and (iii) (6) Participation by the U.S. Navy Guards for the Armed Forces aircraft Blue Angels and the U.S. Air Force during their entire stay. The aerial Thunderbirds is normally limited to photograph should be recent, taken two consecutive years in any one vertically from at least 5,000 feet. event. This usually involves one ap- (10) Maximum advantage of Armed pearance by each of the two flight Forces recruiting will be taken at ap- teams. This provision may be waived propriate events in the public domain when other appropriate requests have where demonstrations by military air- not been received, when the team is craft and parachutists have been au- performing in the same geographical thorized. area and has open dates or when the (11) Exception to the policies con- event is national or international in tained herein will only be considered nature and participation would be in by OASD(PA) on events of national or the best interests of Department of De- international significance. fense. Participation in an event is nor- (12) Department of Defense hosts a mally limited to two days unless a scheduling conference in mid-December third day can be included without pre- each year to prepare U.S. Air Force empting other requests. Thunderbirds, U.S. Navy Blue Angels, (7) Sponsors are required to obtain a U.S. Army Golden Knights and U.S. Federal Aviation Agency (FAA) waiver Army Silver Eagles participation for any demonstration by military air- schedules for the ensuing year. All re- craft and/or parachutists in the public quests for such demonstrations from domain. The final authorization for sponsors should reach OASD(PA) prior such Armed Forces participation to the middle of November each year to hinges upon the sponsor securing this be considered at this conference. In waiver far enough in advance to permit order to accommodate many requests adequate planning (normally not later Department of Defense receives for than 60 days prior to the event). Fur- other parachuting demonstrations, air- ther guidance on the details of obtain- craft demonstrations, static aircraft ing this waiver will be contained in the displays, and flyovers, each request team support packet or FAA. FAA reg- must be received by OASD(PA) a mini- ulations require that spectators be con- mum of 30 days in advance of the event fined 1500 feet from a flight or aircraft and preferably 60 days in advance. demonstration and 250 feet from a (13) If there are any points that a parachute demonstration. member of the public might wish to (i) In some cases, parachute dem- have clarified, contact Chief, Aerial onstrations require that the sponsor Events Branch, OASD(PA), Room arrange for appropriate transportation 1E790, The Pentagon, Washington, DC for the team and equipment from its 20301. Telephone: AC (202) 695–6795 or home station to the event and return. 695–9900. (ii) Mass parachute jumps, drops of equipment, assault aircraft demonstra- § 705.33 Participation by Armed tions, or tactical helicopter troop land- Forces bands, choral groups, and ings under simulated tactical condi- troops in the public domain. tions, will be limited to military in- (a) Military musical participation in stallations. These activities, except public events which otherwise meet the those scheduled as part of regular criteria outlined herein will be limited training programs, are not authorized to patriotic programs as opposed to for public events in the civil domain. pure entertainment and will not dupli- (8) When civilian air racing is in- cate a performance within the capabil- volved in an event where Armed Forces ity of a civilian group. For example, participation has also been scheduled, music to accompany the presentation prize monies must come from sources of the national colors, or a perform- other than admission charges. ance of military or patriotic music by

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a military band, drum and bugle corps (2) Armed Forces musical units may or choral group may be authorized; also be authorized to provide patriotic background, dinner, dance or other so- and military programs at national con- cial music is considered ‘‘entertain- ventions and meetings of nationally- ment.’’ recognized civic, patriotic and veterans (b) Requests received for military organizations. musical participation in appropriate (d) Bands, drill teams and other units events in the civilian domain must in- can normally participate at no cost to clude an indication from the sponsor the sponsor if the event is within the that there is no conflict with the local installation’s immediate community civilian musicians concerning the ap- relations area (approximately 100-mile pearance of Navy musicians. A state- radius). ment to this effect from the cognizant (1) Normally, not more than one band local musicians’ union must be ob- or other musical unit will be author- tained by the sponsor and attached to ized for a parade in the civilian do- his request. main. This guidance intended to assure (c) Armed Forces musical units may widest possible participation in public be authorized to provide certain speci- events of local interest (particularly on fied musical programs in the public do- national holidays) does not apply to main. The performance must not place national convention of veterans’ military musicians in competition groups or other events having national significance. with professional civilian musicians. (2) All Armed Forces participation in Background, dinner, dance or other so- international and national events, and cial music cannot be authorized. The in the Washington, DC area, must be specified programs which may be au- authorized by the Assistant Secretary thorized usually include a short open- of Defense (Public Affairs). ing or closing patriotic presentation. (3) Requests for Armed Forces musi- Musical selections normally consist of cal or troop units when no military in- a medley of military or patriotic songs, stallation is accessible, or for the honors to the President or Vice Presi- Washington, DC-based ceremonial dent (if he is there), or music to accom- bands or troop units (when the event is pany the presentation of colors by a outside the Washington, DC area), Color Detail. should be addressed to the parent Serv- (1) Armed Forces musical units may ice of the unit: be authorized to participate in official government, military and civic func- (I) U.S. ARMY tions. Chief of Public Information, Department of (i) Official government functions in- the Army, Washington, DC 20310. clude those in which senior officials of (II) U.S. NAVY the Federal government are involved in the performance of their official duties. Chief of Information, Code OI–321, Depart- ment of the Navy, Washington, DC 20350. (ii) Official military functions include social activities held on military (III) U.S. AIR FORCE installations (or off when the Military Director of Information, Secretary of the Air Service certifies that suitable facilities Force, Community Relations Division, are not available on post) which are Washington, DC 20330. sponsored by the Military Services, have as their principal purpose the pro- (IV) U.S. MARINE CORPS motion of esprit de corps, and are con- Commandant of the Marine Corps, Code AG, ducted primarily for active duty per- Headquarters, U.S. Marine Corps, Washing- sonnel and their guests. ton, DC 20380. (iii) Official civic functions include (4) Armed Forces units may not be such State, county or municipal events authorized to participate when: as inaugurals, dedication of public (i) The event directly or indirectly buildings and projects, the convening endorses or selectively benefits or fa- of legislative bodies, and ceremonies vors (or appears to do so) any private for officially invited government visi- individual, commercial venture, sect, tors. fraternal organization, political group,

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or if it is associated with solicitation Legislative Affairs. Based on the im- of votes in a political election. portance of the event (nationally, re- (ii) Admission, seating and other ac- gionally, or locally) location, and pro- commodations or facilities are respective audience, recommendations stricted in any manner with regard to are consolidated and forwarded to the race, creed, color or national origin. fleet commanders prior to their quar- (iii) The sponsoring organization or terly scheduling conferences. group excludes any person from its (b) Visits to Naval activities—(1) Types membership or practices any form of of visits. (i) General visits or Open discrimination in its functions, based House are occasions when a ship or sta- on race, creed, color or national origin. tion acts as host to the general public. (iv) An admission charge is levied on These visits will be conducted in ac- the public primarily to see participa- cordance with instructions issued by tion by an Armed Forces unit. Fleet and Force Commanders, District (v) There is fund-raising of any type connected with the event, unless all Commandants, or other cognizant au- profits are to be donated to a charity thority. which is one of the consolidated pro- (ii) Casual visits are visits to ships or grams recognized by the Federal Serv- stations by individuals or specific ices Fund-Raising Program. These are groups, as differentiated from the gen- the United Givers Fund Community eral public. Details and procedures con- Chest, National Health Agencies (as a cerning these visits are a matter of group), the International Service Agen- command discretion. cies, and the American Red Cross (iii) Tours are occasions when a ship (when not included in a consolidated or station is host to a specific group on campaign). The Military Services’ Wel- a scheduled date. Some of the larger fare Societies (Army Emergency Re- shore commands also regularly sched- lief, Navy Relief and Air Force Aid So- ule one or more sightseeing type tours ciety) are also included. daily during seasons when many vaca- (5) Sponsors of an event must agree tioners ask to visit the command. to reimburse the Military Services con- (2) General rules. Prior approval for cerned for transportation and per diem general visiting or Open House at any when participation is authorized at no time other than civic-sponsored public additional cost to the government. observances and official ceremonies for (6) Participation by Armed Forces Armed Forces Day, memorial Day, musical units in other areas is within Independence Day, and Veterans Day, the authority of local military com- and for observances in overseas areas manders, and requests for participation of similar significant holidays, will be should be made directly to those local requested as follows: Fleet units visit- military installations. All requests ing U.S. ports, from Senior Officer should be submitted no earlier than 60 days and preferably no later than 45 present Afloat; fleet units visiting for- days prior to the event. eign ports, from commander ordering the visit; shore stations and district § 705.34 Other special events. vessels in the United States, from Dis- (a) Ship visits. Requests for visits gen- trict Commandants; and overseas shore erally originate with civic groups de- stations, from the naval area com- siring Navy participation in local mander. events. Often, members of Congress en- (c) Official functions. (1) Navy units dorse these requests, advising the Navy may be authorized by local command- of their interest in a particular event. ing officers to participate in official Because of the marked increase in re- government military and civic func- quests for ship visits, and in order to tions, except in the Washington DC give equal consideration to all re- area where OASD(PA) retains author- quests, the Chief of Information has ar- ity. ranged for quarterly meetings of rep- (2) Official government functions in- resentatives from CHINFO, Com- clude those in which senior officials of mander, Navy Recruiting Command, the federal government are involved in Chief of Naval Operations and Chief of the performance of their official duties.

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(3) Official military functions include § 705.35 Armed Forces participation in social activities held on military in- events in the public domain. stallations (or off, when it is certified (a) Requests for bands, troops, units, that suitable facilities are not avail- teams, exhibits and other Armed able on base), which are sponsored by Forces participation should be ad- the Navy, have as their principal pur- dressed to the nearest military instal- pose the promotion of esprit de corps, and are conducted primarily for active lation. Local commanders have re- duty personnel and their guests. sources which they can commit to ap- (4) Official civic functions include propriate events if mission require- such state, county or municipal events ments permit. If no military installa- as inaugurals, dedications of public tion is accessible, or if resources re- buildings and projects, and convening quested are not available locally or re- of legislative bodies and ceremonies for quire approval by higher authorities, a officially invited government visitors. standard Department of Defense Re- (5) Overseas, similar functions at- quest Form should be completed. This tended by comparable host-country of- form is used to evaluate the request, ficials in their official capacities might determine appropriateness of the event also be considered appropriate for Navy and compliance with Department of participation. Defense policies, and eliminate re- (d) A parade which is sponsored by peated correspondence. The request the community as a whole (rather than form should be returned to the office or by a single commercial venture) and military command from which it was held on a Sunday or holiday or at a received unless another address is indi- time when shops are closed for business cated. may be a public event for which par- (b) Basic criteria governing Armed ticipation could properly be author- Forces participation in public events ized; representation by individual com- have been developed by the Depart- mercial ventures in such parades need ment of Defense to ensure compliance not be a bar to Navy participation as with public law, to assure equitable long as the emphasis is planned and distribution of resources to as many placed on the civic rather than com- appropriate events as possible, and to mercial aspects. Such participation avoid excessive disruption of primary will be at no additional cost to the gov- training and operational missions of ernment. the Military Services. the following (e) Fund-raising events. (1) Navy sup- general rules and information are in- port of fund-raising events must be cluded as an aid to you in understand- limited to recognized, joint or other ing Department of Defense policies and authorized campaigns. Navy support of in planning programs of mutual benefit fund-raising events or projects for a to the Armed Forces and your commu- single cause, even though the cause is nity. a member of one of the federated, joint (1) When evaluating requests for or authorized campaigns, or donates in Armed Forces participation in public part to one of several of the recognized events, the interests of the Department campaigns, is not authorized by De- of Defense and the public at large, partment of Defense. operational requirements of the Mili- (2) Navy support for a single-cause tary services, and availability of re- fund-raising event may be authorized if sources are prime considerations. Com- the event is: mitment of resources to specific events (i) In support of Navy recruiting ob- must be balanced with the above fac- jectives; tors and with requests for similar par- (ii) Supported by a letter indicating ticipation received from other sources. the local United Way representative (2) Department of Defense participa- has no objection; and tion and cooperation must not directly (iii) Approved by the local Navy or indirectly: Commander as a single-cause charity (i) Endorse or selectively benefit or which has broad local benefit. favor or appear to endorse or selec- [41 FR 29101, July 15, 1976, as amended at 44 tively benefit or favor any private indi- FR 6391, Feb. 1, 1979] vidual, group, corporation (whether for

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profit or nonprofit), sect, quasi-reli- ance, etc.—will be borne by the spon- gious or ideological movement, frater- sor. nal organization, political organiza- (6) Department of Defense policy pro- tion, or commercial venture. hibits payment by the Armed Forces (ii) Be associated with the solicita- for rental of exhibit space, connection tion of votes in a political election. of electricity, or utility or janitorial Sites such as commercial theaters or costs. department stores, churches or frater- (7) The duration of participation by nal halls; and events such as military units in any one event is lim- testimonials to private individuals or ited in the interests of proper utiliza- sectarian religious services, are gen- tion and equitable distribution of erally inappropriate for Armed Forces Armed Forces manpower and resources. participation. While an exhibit might be scheduled (3) Participation by the Armed for the duration of an event, a unit Forces in any event or activity may be such as a military band is limited to authorized only if admission, seating three days. and all other accommodations and fa- (8) Armed Forces participation in cilities are available to all without re- professional sports events and post-sea- gard to race, creed, color or national son bowl games will normally be au- origin, and only if the sponsoring orga- thorized at no additional cost to the nization does not exclude any form of government, will emphasize joint Serv- discrimination based on race, creed, ice activity and must support recruit- color or national origin. This does not ing programs. Participation in beauty bar participation in events sponsored contests, fashion shows, pageants, by nationally-recognized veteran’s or- Christmas parades, and motion picture ganizations when the program is ori- premieres is not authorized since mili- ented toward the veterans’ interests, tary support would violate policy and appropriateness. nor does it bar participation in nonpublic school events when the program § 705.36 Government transportation of is directed toward education or recruit- civilians for public affairs purposes. ing. (a) General policy. (1) Regulations on (i) No admission charge may be lev- transportation of civilians vary accord- ied on the public solely to see an ing to whether: Armed Forces demonstration, unit or (i) The civilians are news media rep- exhibit. When admission is charged, resentatives or not. the Armed Forces activity must not be (ii) The travel is local or nonlocal the sole or primary attraction. (see paragraph (b) of this section). (4) Armed Forces participation is au- (iii) The purpose of the travel is to thorized in a fund-raising event only get to a desired destination or is to ob- when the sponsor certifies that all net serve the Navy at first hand. profits in excess of actual operating (2) Authority for embarkation of in- costs will be donated to one of the con- dividuals in naval vessels and military solidated programs recognized by the aircraft is vested in the Chief of Naval Federal Services Fund-Raising pro- Operations by § 700.710 of this chapter. gram. These include such agencies as Nothing in this part shall be construed the United Givers Fund, Community as limiting his authority in this re- Chests, National Health Agencies (as a gard. group), International Service Agencies (3) The following policy has been es- and the military aid societies. tablished by DOD for providing all (5) When Armed Forces participation types of Navy transportation to non- in an event is in the mutual interest of Navy civilians. the Department of Defense and the (i) Military transport facilities shall sponsor of the event, participation will not be placed in a position of competi- be authorized at no additional cost to tion with U.S. commercial carriers. the government. Additional costs to (A) When embarkation of a newsman the government—travel and transpor- is necessary for him to obtain news tation of military personnel, meals and material about a ship, aircraft, cargo quarters or standard per diem allow- or embarked personnel, or when he is

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invited to report on a matter of special (i) Correspondents when members of interest to the Navy, it is not consid- groups embarked as regular cruise ered that the transportation furnished guests of the Navy. him is in competition with commercial (ii) Casual trips by correspondents to transport. ships in port or to shore stations in (B) An exception is also made for CONUS. Such visits may be authorized short trips between an airport (or other by officers in command or higher au- transportation center) and the com- thority in accordance with instructions mand. Cars and buses within the re- promulgated by the Chief of Naval Op- sources of the command may be used erations. Written orders are not re- for meeting guests or taking them to quired. make their travel connections. (2) Local travel. Commanding officers (ii) When authorization is requested at all levels are authorized (under De- for travel which is of interest to or will fense Department policy) to approve affect more than one command or local travel for public affairs purposes Service, the approving authority will within the scope of the mission and re- coordinate the request with all other sponsibilities of their command, if: interested commands, Services and (i) Public interest in the public af- Agencies. fairs purpose involved is confined pri- (iii) Travel in connection with any marily to the vicinity of that com- public affairs program arranged by the mand. Navy jointly with another Federal De- (ii) The travel is being provided for partment or Agency or a foreign gov- the benefit of local media and meets a ernment will be authorized only by the naval public affairs objective. Assistant Secretary of Defense (Public (iii) Scheduled commercial air trans- Affairs, or those to whom he has dele- portation is not readily available. gated this authority. Navy commands (iv) The aircraft to be used is a heli- desiring authorization of such travel copter, or multiengine dual piloted air- will forward the request to the Chief of craft, and is within the resources of the Information. host command on a not-to-interfere basis. This provision does not apply to (iv) If a request for travel for orientation flights. nonlocal public affairs purposes is disapproved, sufficient reasons should be (3) Nonlocal travel. (i) Requests for nonlocal travel will be submitted to provided so that the action is clearly the Chief of Information, who will for- understood by the individual or group ward them with his recommendations concerned. to the Chief of Naval Operations and/or (b) Definition of local v. nonlocal trav- the Assistant Secretary of Defense el. (1) Local travel is travel within the (Public Affairs), as appropriate. immediate vicinity of the command (ii) When the proposed travel is for concerned in connection with a public news coverage of a major emergency affairs program of local interest only. nature and the coverage will be im- (For air travel within the continental paired or delayed, to the serious det- U.S., about 150 miles or less is gen- riment of the interests of the Depart- erally considered local.) ment of Defense, if military transpor- (2) Nonlocal travel is that conducted tation is not provided, requests for in connection with a public affairs pro- such travel will be submitted to the gram affecting more than one Service, Chief of Information, who will forward geographic area or major command, the request—if approved—to the Assist- usually of primary concern to higher ant Secretary of Defense (Public Af- authority. fairs). The most expeditious means (in- (c) Transportation of news media rep- cluding telephone) will be used by com- resentatives. (1) This section applies to mands requesting such emergency media representatives who are em- travel. Justification will include both barked for the purpose of news gather- the public affairs purpose and the ne- ing or of traveling to an area in order cessity for military carriers. to cover a news event. It does not apply (4) Travel between the U.S. and over- to: seas area.

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(i) The Chief of Naval Operations be carried in ships of the Military Sea- may authorize military transportation lift Command on either a space-re- for correspondents in unusual cir- quired or space-available basis when cumstances, upon recommendations of travel is in the best interests of the the Chief of Information and the De- Navy or the Department of Defense. fense Department. (i) Space-available travel will be used (ii) Requests for government trans- when practicable. A nominal charge is portation to cover specific assignments made by the Military Sealift Command overseas should be made at least three and must be borne by the correspond- weeks prior to the date required and ents. should be addressed to the Assistant (ii) Space-required travel may be au- Secretary of Defense (Public Affairs) thorized when sufficiently in the inter- via the Chief of Information or Unified est of the Navy, and the charge may be Commander, as appropriate. The re- borne by the Navy. quests should include: (iii) In either case, determination of (A) A statement that the correspond- Navy interests will be made by the ent is a full-time employee, or has a Chief of Information, guided by the specific assignment, and that the trip transportation policy of the Chief of is for the purpose of news gathering. Naval Operations, whose approval of (B) Appropriate date of entry into such embarkation is required. area, port of entry, method of travel, (iv) Requests for such travel will be proposed duration of visit and travel submitted to the Chief of Information, termination date. who will coordinate with the Chief of (C) Assurance that the correspondent Naval Operations and/or the Assistant will observe currency control regula- Secretary of Defense (Public Affairs), tions, and sponsoring agency will guar- as appropriate. antee financial obligations incurred. (8) Point to point transportation (5) Embarkation of male correspond- within the continental United States ents between ports within CONUS. in naval aircraft other than those oper- (i) Male correspondents may be em- ated by the Military Airlift Command. barked in naval ships for passage be- (i) SECNAVINST 4630.2A contains tween ports within the area of a single guidance for travel in military aircraft Fleet command for the purpose of news other than those operated by the Mili- gathering at the discretion of the Sea tary Airlift Command. Frontier Commander, Commandants of the Naval Districts, the Chief of naval (ii) Naval activities desiring to ar- Air Training, Fleet, Force and Type range such transportation will address commanders and flag officers afloat requests via the chain of command to who have been delegated authority to the operational command of the lowest arrange directly with appropriate echelon which has been delegated au- Fleet, Force and Type commanders for thority to approve such requests. embarkation of civilians on a local (iii) Upon approval of such a request, cruise basis. the naval activity sponsoring the cor- (ii) Invitational travel orders may be respondent shall: issued. (A) Prepare travel orders. (6) Embarkation of female cor- (B) Ensure that any waiver forms, as respondents in naval vessels. may be required by governing direc- (i) Privileges equal to those given tives, are executed. male correspondents will be accorded (9) Embarkation of news media rep- female correspondents whenever prac- resentatives of foreign citizenship: ticable. (i) Requests from foreign news media (ii) Female correspondents may not representatives to cruise with units of be embarked overnight in a naval ship the U.S. Navy are usually made to the without prior approval of the appro- nearest U.S. military installation priate Fleet Commander-in-Chief. This known to the correspondent, and are authority may be delegated to the often not made in the proper chain of numbered Fleet Commanders. command to the Fleet Commander un- (7) Travel in ships of the Military less authorized to effect arrangements Sealift Command. Correspondents may for an underway cruise.

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(A) if the request is received by a will be made to the Chief of Naval Op- command which is not a subordinate of erations. the Fleet Commander concerned, it (3) Carrier-on-board-delivery (COD) will be forwarded to the U.S. Naval At- flights and helicopters flights to ships tache assigned to the foreign news- are considered local transportation. man’s country. The Attache will then (4) When units or areas of a Unified forward the request to the appropriate Command are involved in the public af- Fleet Commander, with his rec- fairs program in connection with which ommendations and the result of a brief travel authorization is requested by a background check on the newsman and Navy command which is not a compo- his employer. nent of the Unified Command con- (B) If the request is received by a cerned, coordination will be effected by subordinate of the appropriate Fleet the host command, through command Commander, it may be forwarded di- channels, via the Chief of Information, rectly to the latter, but the U.S. Naval to the Assistant Secretary of Defense Attache in the newsman’s country will (Public Affairs), who—as appropriate— be given the opportunity to comment will consult with the Unified Com- on the proposed embarkation. mander concerned. (ii) Naval commands should not in- (e) Special programs. (1) Cruises are troduce an embarked third-party (i.e., discussed in Chapter 6, section 0604, a foreign media representative) into a para. 1 of the Navy Public Affairs Reg- foreign country other than his own ulations. without first obtaining appropriate (2) Embarkation of news media rep- clearance from the country to be vis- resentatives, especially on operations ited. Approval for entry should be for- and exercises, is discussed in Chapter 4, warded via appropriate command chan- section 0405, paragraph 4 of the Navy nels to the cognizant U.S. Naval Atta- Public Affairs Regulations. che. (3) Other programs subject to special (10) Security considerations. requirements or which have had excep- (i) No media representative known to tions authorized for them include: be affiliated with a group advocating (i) Naval Air Training Command Ci- the overthrow of the U.S. government vilian Orientation Cruise Program, will be permitted aboard naval ships or conducted by the Chief of Naval Air stations. Training. (ii) If security review is directed, the (ii) Joint Civilian Orientation Con- reason will be made clear to the cor- ference, conducted by the Assistant respondent prior to embarkation. News Secretary of Defense (Public Affairs). media people refusing to agree to ob- (iii) Orientation flights in govern- serve security regulations may have ment aircraft, conducted in accordance their privileges suspended. Failure to with OPNAVINST 37107H. observe security regulations will be re- (iv) Space-available air transpor- ported to CHINFO and interested com- tation may be provided Navy League mands. members if they are invited to accom- (d) Transportation of other civilians. (1) pany a flag officer attending a Navy Although groups normally provide League convention or regional meeting their own transportation to Navy com- and if the trip is economically justifi- mands, Navy transportation may be able, based on military travel consider- authorized when: ations and not community relations or (i) Commercial transport is not avail- public affairs reasons. Approval in each able. instance will be obtained in advance (ii) A professional group visit has from the Chief of Naval Operations. been solicited by the Navy, such as par- (v) Air transportation for the Naval ticipants in the Naval Academy Infor- Sea Cadet Corps of the Navy League. mation Program (‘‘Blue and Gold’’) or (A) Flights must be in Navy multien- educators invited to an Aerospace Edu- gine, transport type craft. cation Workshop. (B) Point-to-point flights on a space- (2) Requests for nonlocal transpor- required basis are governed by an an- tation under the above circumstances nual quota set by the Chief of Naval

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Operations. Space-available transpor- (3) Nominations for awards to mili- tation is authorized and will not be tary personnel are considered by the charged against this quota if it will not Board of Decorations and Medals, in result in delays of takeoffs or a change accordance with SECNAVINST in the itinerary planned for the pri- 1650.24A. mary mission. (4) Nominations for honorary awards (C) Flights must not interfere with to Department of the Navy civilian em- operational commitments or training ployees are considered by the Distin- or results in additional expense to the guished Civilian Service Awards Panel. government. (See Civilian Manpower Management (D) This transportation is not avail- Instruction 451.) able to other youth programs, includ- (d) Chief of Information awards—(1) ing others sponsored by the Navy Certificate of Public Relations Achieve- League. ment. (i) This certificate is signed by (f) Other instructions on transportation the Chief of Information. It honors in- of non-Navy civilians. Details on policy, dividuals who are not Navy employees, procedures, and the transportation of corporations, or associations. certain categories of people will be (ii) It was established to fill the need found in OPNAVINST 5720.2G and DOD for a civilian award for public relations Directive 4515.13. achievements which, while not meeting [41 FR 29101, July 15, 1976, as amended at 44 the criteria for public service awards FR 6391, Feb. 1, 1979] presented by the Secretary of the Navy, are of such Navy-wide signifi- § 705.37 Public affairs and public serv- cance as to merit recognition at the ice awards. Department level. Examples of these (a) General. (1) A number of public achievements might be a particularly service awards are presented by the De- well done feature article about the partment of Defense and the Navy to Navy in a nationally read newspaper or business and civic leaders, scientists an outstanding contribution to a lo- and other nongovernment civilians. cally sponsored event, which ulti- Other awards—military and civilian— mately gave national or regional rec- are presented to members of the naval ognition to the Navy. establishment. (iii) The achievement for which the (2) These awards are of public affairs certificate is given shall meet the fol- interest in the locale where they are lowing criteria: presented and also in the home towns (A) Contribute to accomplishment of of those who receive them. the public information objectives of (b) Department of Defense awards. (1) the Navy. The Department of Defense Medal for (B) Be the result of a single outstand- Distinguished Public Service is pre- ing project or program. sented to individuals. The Department (C) Have been accomplished within of Defense Meritorious Award honors one year of the date of the official let- organizations. ter of nomination. (2) Details, including nominating pro- (iv) Nominations will be submitted cedures, are given in SECNAVINST through appropriate administrative 5061.12. channels to the Chief of Information, (c) Secretary of the Navy awards. (1) and will include a description of the The following awards are presented by service rendered, a statement of its rel- the Secretary of the Navy: The Navy evance to the accomplishment of the Distinguished Public Service Award public affairs objectives of the Navy and Navy Meritorious Public Service and a draft of the recommended cita- Citation to individuals; the Navy Cer- tion. To avoid possible embarrassment, tificate of Commendation to members nominations shall be marked ‘‘For Offi- of special committees and groups; and cial Use Only’’ and safeguarded until the Navy Certificate of Merit to orga- final action has been taken. nizations and associations. (2) CHINFO Merit Awards. (i) These (2) Details are given in SECNAVINST awards, or certificates, are presented 5061.12. quarterly to Navy publications and

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broadcasts considered to be outstanding to Office of Information, Depart- ing or to have shown improvement in ment of the Navy, Washington, DC meeting professional standards of jour- 20350. nalism. (iv) Navy League Awards. Several an- (ii) Publications and broadcasts eligi- nual awards are presented to naval per- ble are those which inform the reader sonnel and civilians who have made a concerning aspects of service life or re- notable contribution to the importance lated matters which contribute to the of seapower. The awards are for inspi- well-being of naval personnel, their de- rational leadership, scientific and tech- pendents, and civilian employees of the nical progess, operational competence, Navy. Civilian enterprise periodicals literary achievement, etc. Nominations are included if produced for the exclu- should be forwarded directly to Board sive use of a naval installation. of Awards, Navy League of the United (iii) Nominations are made in two States, 818 18th St., NW., Washington, ways: DC 20006. (A) Selection during regular review (v) Nonofficial awards to outstanding periodicals and broadast air-checks re- Navy students or training units. ceived by the Internal Relations Activ- (A) Various civilian organizations ity. and private individuals have estab- (B) Nominations from the field. Such lished awards to be presented to out- nominations are informal and may be standing training units or naval stu- made by the officer-in-charge, publica- dents. tions editor, broadcast station man- (B) Requests to establish an award ager, or public affairs officer to the for students in the Naval Air Training chief of Information, Navy Depart- program should be forwarded to the ment, Washington, DC 20350 (ATTN: Chief of Naval Air Training. OP–0071). (C) Requests to establish an award (3) Other awards pertaining to public which will involve more than one affairs/internal relations. (i) Silver Anvil school (other than the Naval Air Train- award is given by the Public Relations ing Program) will be forwarded to the Society of America for outstanding Chief of Naval Personnel. public relations programs carried out (D) All other cases may be decided by during the preceding year. Entry the Navy authority at the school con- blanks and details may be obtained by cerned. writing directly to Public Relations (E) Directives in the 5061, 1650 and Society of America, 845 Third Ave., 3590 series issued by pertinent authori- New York, NY 10022. All Navy entries ties may provide further guidance in will be forwarded via the Chief of Infor- individual cases. mation. (vi) Awards established by a com- (ii) Freedom Foundation Awards of mand to honor non-Navy civilians. cash and medals are annually given to service personnel for letters on patri- (A) Examples of such awards are otic themes. Details are carried in ship ‘‘Good Neighbor’’ or ‘‘Honorary Crew and station publications, or may be ob- Member’’ certificates. tained by writing to Freedom Founda- (B) Established to honor persons who tions, Valley Forge, PA 19481. have been helpful to the command, (iii) Thomas Jefferson Awards are the they are a valuable community rela- prizes in an annual interservice com- tions program. They should not be petition sponsored by civilian media awarded to persons or organizations through the Department of Defense’s with which the command is associated Office of Information for the Armed in a commercial or governmental busi- Forces. The contest is open to all ness capacity. Armed Forces media—broadcast and [41 FR 29101, July 15, 1976, as amended at 44 print. Details can be obtained by writ- FR 6391, Feb. 1, 1979]

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PART 706—CERTIFICATIONS AND shown in combination with the naviga- EXEMPTIONS UNDER THE INTER- tional lights. NATIONAL REGULATIONS FOR (c) During peacetime naval maneu- PREVENTING COLLISIONS AT SEA, vers, naval ships, alone or in company, may also dispense with showing any 1972 lights, though efforts will be made to display lights on the approach of ship- Sec. ping. 706.1 Purpose of regulations. 706.2 Certifications of the Secretary of the (d) Executive Order 11964 of January Navy under Executive Order 11964 and 33 19, 1977, and 33 U.S.C. 1605 provide that U.S.C. 1605. the requirements of the International 706.3 Exemptions by the Secretary of the Regulations for Preventing Collisions Navy under Executive Order 11964. at Sea, 1972, as to the number, position, AUTHORITY: 33 U.S.C. 1605. range, or arc of visibility of lights or shapes, as well as to the disposition § 706.1 Purpose of regulations. and characteristics of sound-signalling (a) All ships are warned that, when appliances, shall not apply to a vessel U.S. naval vessels are met in inter- of the Navy where the Secretary of the national waters, certain navigational Navy shall find and certify that, by lights and sound-signalling appliances reason of special construction or pur- of some naval vessels may vary from pose, it is not possible for such vessel the requirements of the International to comply fully with the provisions Regulations for Preventing Collisions without interfering with the special at Sea, 1972 (33 U.S.C. foll. section 1602 function of the vessel. (1982)), as to number, position, range, (e) Executive Order 11964 also pro- or arc of visibility of lights, as well as vides that the Secretary of the Navy is to the disposition and characteristics authorized to exempt, in accordance of sound-signalling appliances. Those with Rule 38 of the International Regu- differences are necessitated by reason lations for preventing Collisions at of the special construction or purpose Sea, 1972, any vessel, or class of vessels, of the naval ships. An example is the the keel of which is laid, or which is at aircraft carrier where the two mast- a corresponding stage of construction, head lights are considerably displaced before July 15, 1977, from full compli- from the center or keel line of the ves- ance with the International Regula- sel when viewed from ahead. Certain tions, provided that such vessel, or other naval vessels cannot comply with class of vessels, complies with the re- the horizontal separation requirements quirements of the International Regu- for masthead lights, and the two mast- lations for Preventing Collisions at head lights on even large naval vessels Sea, 1960. will thus appear to be crowded together (f) This part consolidates and codifies when viewed from a distance. Naval certifications and exemptions granted vessels may also have unorthodox navi- by the Secretary of the Navy under Ex- gational light arrangements or characteristics when seen either underway or ecutive Order 11964 and 33 U.S.C. 1605. at anchor. It has been determined that, because of their special construction or purpose, (b) Naval vessels may also be expected to display certain other lights. the vessels and classes of vessels listed These lights include, but are not lim- in this part cannot comply fully with ited to, different colored rotating bea- all of the requirements of the Inter- cons, different colored fixed and rotary national Regulations for Preventing wing aircraft landing signal lights, red Collisions at Sea, 1972. aircraft warning lights, and red or blue [42 FR 36434, July 14, 1977, as amended at 42 contour approach lights on replenish- FR 48876, Sept. 26, 1977; 45 FR 43165, June 26, ment-type ships. These lights may be 1980; 52 FR 4770, Feb. 17, 1987]

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§ 706.2 Certifications of the Secretary Table OneÐContinued of the Navy under Executive Order Distance in 11964 and 33 U.S.C. 1605. meters of The Secretary of the Navy hereby forward masthead finds and certifies that each vessel list- Vessel Number light below ed in this section is a naval vessel of minimum required special construction or purpose, and height. that, with respect to the position of § 2(a)(i) Annex I the navigational lights listed in this section, it is not possible to comply USS THACH ...... FFG 43 1.6 fully with the requirements of the pro- USS DEWERT ...... FFG 45 1.6 USS RENTZ ...... FFG 46 1.6 visions enumerated in the Inter- USS NICHOLAS ...... FFG 47 1.6 national Regulations for Preventing USS VANDEGRIFT ...... FFG 48 1.6 Collisions at Sea, 1972, without inter- USS ROBERT G. BRADLEY ...... FFG 49 1.6 USS TAYLOR ...... FFG 50 1.6 fering with the special function of the USS GARY ...... FFG 51 1.6 vessel. The Secretary of the Navy fur- USS CARR ...... FFG 52 1.6 ther finds and certifies that the naviga- USS HAWES ...... FFG 53 1.6 USS FORD ...... FFG 54 1.6 tional lights in this section are in the USS ELROD ...... FFG 55 1.6 closest possible compliance with the USS SIMPSON ...... FFG 56 1.6 applicable provisions of the Inter- USS REUBEN JAMES ...... FFG 57 1.6 national Regulations for Preventing USS SAMUEL B. ROBERTS ...... FFG 58 1.6 USS KAUFFMAN ...... FFG 59 1.6 Collisions at Sea, 1972. USS RODNEY M. DAVIS ...... FFG 60 1.6 USS INGRAHAM ...... FFG 61 1.37 Table One USS DUBUQUE ...... LPD 8 4.2 USS GUADALCANAL ...... LPH 7 3.0 Distance in USS GUAM ...... LPH 9 3.3 meters of USS TRIPOLI ...... LPH 10 3.3 forward USS NEW ORLEANS ...... LPH 11 3.3 masthead light below USS INCHON ...... LPH 12 3.0 Vessel Number minimum LCAC (class) ...... LCAC 1 1 6.51 required through height. LCAC 100 § 2(a)(i) LCAC (class) ...... LCAC 1 2 7.94 Annex I through LCAC 100 AALC JEFF(B) ...... ACV 7.21 USS IMPLICIT ...... MSO 455 3.7 USS DOLPHIN ...... AGSS 555 0.8 USS CONQUEST ...... MSO 488 3.4 USS OLIVER HAZARD PERRY .... FFG 7 1.6 USS GALLANT ...... MSO 489 3.2 USS MC INERNY ...... FFG 8 1.6 USS PLEDGE ...... MSO 492 3.4 USS WADSWORTH ...... FFG 9 1.6 USS DUNCAN ...... FFG 10 1.6 NR±1 ...... NR 1 2.7 USS CLARK ...... FFG 11 1.6 USS TACOMA ...... PG 92 2.3 USS GEORGE PHILIP ...... FFG 12 1.6 USS WELCH ...... PG 93 2.3 USS SAMUEL ELIOT MORISON .. FFG 13 1.6 USS SEAWOLF ...... SSN 21 4.62 USS SIDES ...... FFG 14 1.6 USS GATO ...... SSN 615 4.20 USS ESTOCIN ...... FFG 15 1.6 USS WHALE ...... SSN 638 2.44 USS CLIFTON SPRAGUE ...... FFG 16 1.6 USS TAUTOG ...... SSN 639 2.44 USS JOHN A. MOORE ...... FFG 19 1.6 USS GRAYLING ...... SSN 646 2.44 USS ANTRIM ...... FFG 20 1.6 USS POGY ...... SSN 647 2.40 USS FLATLEY ...... FFG 21 1.6 USS ASPRO ...... SSN 648 2.40 USS FAHRION ...... FFG 22 1.6 USS SUNFISH ...... SSN 649 2.40 USS LEWIS B. PULLER ...... FFG 23 1.6 USS PARGO ...... SSN 650 2.40 USS JACK WILLIAMS ...... FFG 24 1.6 USS PUFFER ...... SSN 652 2.40 USS COPELAND ...... FFG 25 1.6 USS SANDLANCE ...... SSN 660 2.40 USS GALLERY ...... FFG 26 1.6 USS GURNARD ...... SSN 662 1.52 USS MAHLON S. TISDALE ...... FFG 27 1.6 USS HAMMERHEAD ...... SSN 663 2.40 USS BOONE ...... FFG 28 1.6 USS HAWKBILL ...... SSN 666 1.52 USS STEPHEN W. GROVES ...... FFG 29 1.6 USS BERGALL ...... SSN 667 2.40 USS REID ...... FFG 30 1.6 USS SPADEFISH ...... SSN 668 2.40 USS STARK ...... FFG 31 1.6 USS SEAHORSE ...... SSN 669 2.40 USS JOHN L. HALL ...... FFG 32 1.6 USS FINBACK ...... SSN 670 2.40 USS JARRETT ...... FFG 33 1.6 USS NARWHAL ...... SSN 671 2.74 USS AUBREY FITCH ...... FFG 34 1.6 USS PINTADO ...... SSN 672 1.52 USS UNDERWOOD ...... FFG 36 1.6 USS FLYING FISH ...... SSN 673 2.40 USS CROMMELIN ...... FFG 37 1.6 USS TREPANG ...... SSN 674 2.40 USS CURTS ...... FFG 38 1.6 USS BLUEFISH ...... SSN 675 2.40 USS DOYLE ...... FFG 39 1.6 USS BILLFISH ...... SSN 676 2.40 USS HALYBURTON ...... FFG 40 1.6 USS DRUM ...... SSN 677 1.52 USS MCCLUSKY ...... FFG 41 1.6 USS ARCHERFISH ...... SSN 678 2.40 USS KLAKRING ...... FFG 42 1.6 USS WILLIAM H BATES ...... SSN 680 2.40

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Table OneÐContinued Table OneÐContinued

Distance in Distance in meters of meters of forward forward masthead masthead Vessel Number light below light below minimum Vessel Number minimum required required height. height. § 2(a)(i) § 2(a)(i) Annex I Annex I

USS BATFISH ...... SSN 681 2.40 USS MIAMI ...... SSN 755 3.5 USS TUNNY ...... SSN 682 2.40 USS SCRANTON ...... SSN 756 3.5 USS PARCHE ...... SSN 683 3.58 USS ALEXANDRIA ...... SSN 757 3.5 USS CAVALLA ...... SSN 684 2.40 USS ASHEVILLE ...... SSN 758 3.5 USS MENDEL RIVERS ...... SSN 686 2.40 USS JEFFERSON CITY ...... SSN 759 3.4 USS RICHARD B RUSSELL ...... SSN 687 2.40 USS ANNAPOLIS ...... SSN 760 3.5 USS LOS ANGELES ...... SSN 688 6.10 USS SPRINGFIELD ...... SSN 761 3.5 USS PHILADELPHIA ...... SSN 690 6.10 USS COLUMBUS ...... SSN 762 3.5 USS MEMPHIS ...... SSN 691 6.10 USS SANTA FE ...... SSN 763 3.5 USS OMAHA ...... SSN 692 6.10 USS BOISE ...... SSN 764 3.5 USS CINCINNATI ...... SSN 693 3.49 USS MONTPELIER ...... SSN 765 3.5 USS GROTON ...... SSN 694 3.45 USS CHARLOTTE ...... SSN 766 3.5 USS BIRMINGHAM ...... SSN 695 3.49 USS HAMPTON ...... SSN 767 3.5 USS NEW YORK CITY ...... SSN 696 3.49 USS HARTFORD ...... SSN 768 3.5 USS INDIANAPOLIS ...... SSN 697 3.49 USS TOLEDO ...... SSN 769 3.5 USS BREMERTON ...... SSN 698 3.49 USS TUCSON ...... SSN 770 3.5 USS JACKSONVILLE ...... SSN 699 3.35 USS COLUMBIA ...... SSN 771 3.5 USS DALLAS ...... SSN 700 3.5 USS GREENEVILLE ...... SSN 772 3.5 USS LA JOLLA ...... SSN 701 3.5 USS CHEYENNE ...... SSN 773 3.5 USS PHOENIX ...... SSN 702 3.5 USS DANIEL WEBSTER ...... SSBN 626 3.58 USS BOSTON ...... SSN 703 3.5 USS STONEWALL JACKSON ...... SSBN 634 3.58 USS BALTIMORE ...... SSN 704 3.5 USS SIMON BOLIVAR ...... SSBN 641 3.60 USS CITY OF CORPUS CHRISTI SSN 705 3.5 USS KAMEHAMEHA ...... SSBN 642 3.58 USS ALBUQUERQUE ...... SSN 706 3.5 USS JAMES K. POLK ...... SSBN 645 3.60 USS PORTSMOUTH ...... SSN 707 3.5 USS MARIANO G VALLEJO ...... SSBN 658 3.60 USS MINNEAPOLIS-ST. PAUL ..... SSN 708 3.5 USS OHIO ...... SSBN 726 3.70 USS HYMAN G. RICKOVER ...... SSN 709 3.5 USS MICHIGAN ...... SSBN 727 3.70 USS AUGUSTA ...... SSN 710 3.5 USS FLORIDA ...... SSBN 728 3.70 USS SAN FRANCISCO ...... SSN 711 3.5 USS GEORGIA ...... SSBN 729 3.70 USS ATLANTA ...... SSN 712 3.5 USS HOUSTON ...... SSN 713 3.5 USS HENRY M. JACKSON ...... SSBN 730 3.70 USS NORFOLK ...... SSN 714 3.5 USS ALABAMA ...... SSBN 731 3.70 USS BUFFALO ...... SSN 715 3.5 USS ALASKA ...... SSBN 732 3.70 USS SALT LAKE CITY ...... SSN 716 3.5 USS NEVADA ...... SSBN 733 3.70 USS OLYMPIA ...... SSN 717 3.5 USS TENNESSEE ...... SSBN 734 3.70 USS HONOLULU ...... SSN 718 3.5 USS PENNSYLVANIA ...... SSBN 735 3.70 USS PROVIDENCE ...... SSN 719 3.5 USS WEST VIRGINIA ...... SSBN 736 3.70 USS PITTSBURGH ...... SSN 720 3.5 USS KENTUCKY ...... SSBN 737 3.70 USS CHICAGO ...... SSN 721 3.5 USS MARYLAND ...... SSBN 738 3.70 USS KEY WEST ...... SSN 722 3.5 USS NEBRASKA ...... SSBN 739 3.70 USS OKLAHOMA CITY ...... SSN 723 3.5 USS RHODE ISLAND ...... SSBN 740 3.70 USS LOUISVILLE ...... SSN 724 3.5 USS MAINE ...... SSBN 741 3.70 USS HELENA ...... SSN 725 3.5 USS WYOMING ...... SSBN 742 3.70 USS NEWPORT NEWS ...... SSN 750 3.5 USS LOUISIANA ...... SSBN 743 3.70 USS SAN JUAN ...... SSN 751 3.5 1 The permanent masthead light is 5.26 meters athwartship USS PASADENA ...... SSN 752 3.5 to port of centerline, 5.49 meters above the main deck. USS ALBANY ...... SSN 753 3.5 2 The temporary masthead light is 3.98 meters athwartship USS TOPEKA ...... SSN 754 3.5 to starboard of centerline, 4.06 meters above the main deck.

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VerDate 22-AUG-97 07:31 Sep 14, 1997 Jkt 174118 PO 00000 Frm 00161 Fmt 8010 Sfmt 8010 E:\CFR\174118.020 174118 § 706.2 32 CFR Ch. VI (7-1-97 Edition) 1.5 1.5 3 3 3.93 3.93 ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ 5 3(b), Annex I Side lights, ters; § distance in- sides in me- board of ship's 91 61.0 47.5 50.0 89.0 91.1 90.9 71.0 72.4 72.4 72.4 98.6 72.1 48.8 47.5 3(b), Annex I Side lights, ward mast- ward of for- head light in distance for- meters; § ...... 0.6 2.8 3.1 3.0 3.0 0.6 0.6 2.4 2.7 2.7 2.6 2.9 0.4 0.7 0.7 0.6 2.8 0.4 0.5 0.2 1.5 0.5 0.2 0.1 0.4 0.2 0.2 0.4 0.5 0.4 2(g), Annex I Side lights, ters; § flight dk in me- distance below 2 2 2 1 2 2 2 1 2 2 2 2 2 2 2 2 ÐÐ ÐÐ ÐÐ ÐÐ 30(a)(ii) of; Rule AFT anchor light, number 6.6 9.2 9.3 9.0 9.0 9.4 2.5 0.7 7.4 7.0 2.0 2.2 2.2 2.2 ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ in meters; Rule 21(e), AFT anchor Rule 30(a)(ii) light, distance below flight dk 1 1 2 1 2 2 1 1 1 1 ÐÐ ÐÐ ÐÐ ÐÐ chor light, number of; Forward an- Rule 30(a)(i) Table Two 4 0.3 1.0 0.5 ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ ÐÐ 2(K), Annex I ters; § tance below Forward anchor light, dis- flight dk in me- ...... 1 1 1 1 ...... 1 ...... 1 ...... 1 ...... 1 ...... 1 1 1 ...... 1 ...... 2 4 8.9 9.0 30.0 26.5 1.62 30.0 10.0 30.0 10.1 28.0 29.9 30.0 10.0 10.0 10.0 10.6 1.62 28.2 27.5 4.01 26.5 26.5 27.8 28.7 10.6 10.6 10.6 10.6 30.00 31.00 Masthead in meters; Rule 21(a) 5.26 (Perm.) 3.98 (Temp.) to stbd of keel ...... lights, distance 182 100 100 ACV LHA 5 LPH 7 CV 66 LPH 9 LHA 1 LHA 2 LHA 3 LHA 4 CV 60 CV 64 CV 67 CV 59 CV 62 CV 63 LHD 2 LHD 3 LHD 4 LHD 5 LHD 1 LPH 10 LPH 11 LPH 12 CVN 73 CVN 68 CVN 72 CVN 65 CVN 71 CVN 74 CVN 69 CVN 70 LCAC 1 LCAC 1 SLWT 1 CSP±101 Number through CSP± through LCAC through LCAC ...... 1 ...... Vessel ...... USS JOHN C. STENNIS USS GEORGE WASHINGTON USS TARAWA USS ESSEX USS KEARSARGE USS BOXER USS BATAAN USS NIMITZ USS DWIGHT D. EISENHOWER USS CARL VINSON USS ABRAHAM LINCOLN USS SAIPAN USS NASSAU USS PELELIU USS WASP USS GUADALCANAL CSP (class) USS ENTERPRISE USS THEODORE ROOSEVELT USS BELLEAU WOOD SLWT (class) USS FORRESTAL USS SARATOGA USS INDEPENDENCE USS CONSTELLATION USS JOHN F. KENNEDY AALC JEFF(B) USS AMERICA LCAC (class) USS GUAM USS KITTY HAWK USS TRIPOLI USS NEW ORLEANS USS INCHON LCAC (class)

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VerDate 22-AUG-97 07:31 Sep 14, 1997 Jkt 174118 PO 00000 Frm 00162 Fmt 8010 Sfmt 8010 E:\CFR\174118.020 174118 Department of the Navy, DoD § 706.2 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 3.93 3.93 3.93 3.93 3.93 3.93 5 5 1.4 below 1.1 below 1.8 below 1.4 below 1.4 below 1.5 below 1.4 below 1.1 below 1.1 below 1.1 below 1.1 below 1.4 below 1.4 below 0.5 above annex 1 meters 2(K) ward light in Anchor lights aft light to for- relationship of 3.4 3.0 2.8 3.4 3.4 3.1 3.4 3.0 3.0 3.0 3.0 3.0 3.0 3.0 3.0 3.0 3.0 3.0 1.8 3.0 2.1 3.4 3.4 1 height chor light, in meters; above hull 2(K) annex Forward an- 5.2 5.2 5.2 5.2 4.1 5.2 5.2 10.7 37.8 10.8 25.5 25.5 25.5 25.5 25.5 25.5 25.5 25.5 25.5 25.5 25.5 25.5 25.5 1 1 1 1 1 1 1 1 1 1 1 1 1 21(c) ward of ters; rule Stern light, stern in me- distance for- 3.8 5.1 3.8 3.8 3.8 4.1 2.1 1.5 3.8 3.8 1 board of in meters Side lights 3(b) annex distance in- ship's sides ° ° ° ° ° ° ° ° ° 2 ¤ 1 252 205 252 252 252 252 252 252 191 136.5 21(c) bility; rule Stern light arc of visi- ° ° ° ° ° ° ° ° ° 2 ¤ 1 113 114 114 114 113 113 114 113 119 111.5 21(b) bility; rule arc of visi- Side lights ° ° ° ° ° ° ° ° 2 2 ¤ ¤ 1 1 226 225 228 228 232 226 226 226 227.5 238.5 visibility; rule 21(a) Masthead Table Three lights arc of ...... No...... PC 1 PC 5 PC 11 PC 13 SSN 647 SSN 649 PC 2 PC 3 PC 4 PC 7 PC 8 PC 10 PC 12 AGSS 555 NR 1 SSN 21 SSN 638 SSN 639 SSN 646 SSN 648 PC 6 PC 9 SSN 615 1.62 1.62 1.62 1.62 1.62 1.62 through through through SLWT 2 SLWT 3 SLWT±6 SLWT±8 SLWT±26 SLWT±65 SLWT±22 SLWT±24 SLWT±19 Vessel ...... On AALC JEFF(B) the masthead light is located 4.01 meters athwartship to port of centerline, at frame five, 4.79 above main deck. The permanent masthead light is 5.26 meters athwartship to port of centerline, at frame 3, 5.49 above the main deck. The sidelights are on top of the port and starboard deckhouses 3.28 meters above hull. The temporary masthead light is 3.98 meters athwartship to starboard of centerline 4.06 above the main deck. Port sidelight only. 1 2 3 4 5 SLWT (class) USS CYCLONE USS TEMPEST USS HURRICANE USS MONSOON USS TYPHOON USS SIROCCO USS SQUALL USS ZEPHYR USS CHINOOK USS FIREBOLT USS WHIRLWIND USS THUNDERBOLT USS SHAMAL USS DOLPHIN NR±1 USS SEAWOLF USS GATO USS WHALE USS TAUTOG USS GRAYLING USS POGY USS ASPRO USS SUNFISH SLWT (class) SLWT (class) SLWT (class) SLWT (class) SLWT (class)

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VerDate 22-AUG-97 07:31 Sep 14, 1997 Jkt 174118 PO 00000 Frm 00163 Fmt 8010 Sfmt 8010 E:\CFR\174118.020 174118 § 706.2 32 CFR Ch. VI (7-1-97 Edition) 1.4 below 1.4 below 1.4 below 1.4 below 1.6 below 1.7 below 1.7 below 1.7 below 1.7 below 1.4 below 1.4 below 1.4 below 1.4 below 1.4 below 1.4 below 1.4 below 1.4 below 1.6 below 1.7 below 1.4 below 1.4 below 1.4 below 1.4 below 1.3 below 1.7 below 1.7 below 1.4 below 1.4 below 1.4 below 1.4 below 1.4 below 0.2 below 1.6 below 1.7 below 1.7 below 1.7 below 1.7 below 1.4 below 1.4 below 1.6 below 1.6 below annex 1 meters 2(K) ward light in Anchor lights aft light to for- relationship of 3.4 3.4 3.4 3.4 2.0 3.4 3.4 3.5 3.5 3.4 3.4 3.4 3.4 3.4 3.4 3.4 3.4 3.4 3.5 3.4 3.4 3.4 3.4 3.4 3.4 3.5 3.4 3.4 2.0 3.4 3.4 2.2 2.0 3.4 3.5 3.5 3.8 3.4 3.4 2.0 2.0 1 height chor light, in meters; above hull 2(K) annex Forward an- 5.2 5.2 5.2 5.2 6.1 6.1 6.1 6.1 6.6 5.2 5.2 5.2 5.2 5.2 5.2 5.2 5.2 6.1 6.1 5.2 5.2 5.2 5.2 5.2 6.5 6.1 5.2 5.2 5.2 5.2 5.2 6.8 6.1 6.1 6.1 6.1 6.2 5.2 5.2 6.1 6.1 21(c) ward of ters; rule Stern light, stern in me- distance for- 3.8 3.8 3.8 3.8 4.2 4.3 4.3 4.2 4.3 3.8 3.8 3.8 3.8 3.8 3.8 3.8 3.8 4.3 4.2 3.8 3.8 3.8 3.8 3.8 4.1 4.2 3.8 3.8 3.8 3.8 3.8 4.1 4.2 4.3 4.2 4.2 4.2 3.8 3.8 4.2 4.3 1 board of in meters Side lights 3(b) annex distance in- ship's sides ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° 252 252 252 209 209 209 252 252 252 252 252 252 252 252 209 209 252 252 252 252 252 252 219 252 252 252 252 252 252 252 252 209 252 209 211 252 252 21(c) bility; rule Stern light arc of visi- ′ ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° 37 ° 113 114 113 114 113 114 114 113 113 113 113 113 115 114 115 115 115 116 113 115 114 113 114 113 120 114 114 113 112.5 118 21(b) bility; rule arc of visi- Side lights ′ ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° 55 ° 232 228 234 234 238 228 226 228 234 234 232 234 234 234 228 232 236 236 232 228 228 234 232 232 236 232 234 236 236 226 visibility; rule 21(a) Masthead lights arc of ...... Table ThreeÐContinued No. SSN 652 SSN 662 SSN 667 SSN 674 SSN 677 SSN 682 SSN 686 SSN 687 SSN 690 SSN 694 SSN 696 SSN 697 SSN 704 SSN 650 SSN 660 SSN 663 SSN 666 SSN 668 SSN 669 SSN 671 SSN 672 SSN 673 SSN 675 SSN 676 SSN 678 SSN 683 SSN 684 SSN 692 SSN 693 SSN 695 SSN 698 SSN 700 SSN 702 SSN 670 SSN 680 SSN 681 SSN 698 SSN 691 SSN 699 SSN 701 SSN 703 ...... Vessel ...... USS PARGO USS PUFFER USS SANDLANCE USS GURNARD USS HAMMERHEAD USS HAWKBILL USS BERGALL USS SPADEFISH USS SEAHORSE USS FINBACK USS NARWHAL USS PINTADO USS FLYING FISH USS TREPANG USS BLUEFISH USS BILLFISH USS DRUM USS ARCHERFISH USS WILLIAM H. BATES USS BATFISH USS TUNNY USS PARCHE USS CAVALLA USS L. MENDEL RIVERS USS RICHARD B. RUSSELL USS LOS ANGELES USS PHILADELPHIA USS MEMPHIS USS OMAHA USS CINCINNATI USS GROTON USS BIRMINGHAM USS NEW YORK CITY USS INDIANAPOLIS USS BREMERTON USS JACKSONVILLE USS DALLAS USS LA JOLLA USS PHOENIX USS BOSTON USS BALTIMORE

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VerDate 22-AUG-97 07:31 Sep 14, 1997 Jkt 174118 PO 00000 Frm 00164 Fmt 8010 Sfmt 8010 E:\CFR\174118.020 174118 Department of the Navy, DoD § 706.2 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 0.8 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 0.9 below 1.7 below 1.7 below 1.7 below 1.7 below 1.6 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.7 below 1.0 above 1.4 above same height 3.5 3.4 3.4 3.4 3.4 3.5 3.4 3.5 3.4 3.4 2.0 2.1 3.5 3.5 3.5 3.4 3.4 3.4 3.5 3.4 3.5 3.5 3.4 3.5 2.1 3.4 2.1 3.5 3.4 3.5 3.5 3.4 3.5 3.4 3.4 3.4 3.4 3.4 3.5 3.4 3.5 3.4 3.5 3.5 3.4 3.4 3.5 3.4 3.4 2.0 6.1 6.1 6.1 6.1 6.1 6.1 6.1 6.2 6.1 6.1 7.3 7.6 6.1 6.1 6.1 6.1 6.1 6.1 6.2 6.1 6.2 6.2 6.1 6.2 7.6 6.1 7.6 6.2 6.1 6.1 6.2 6.1 6.1 6.1 6.5 6.1 6.1 6.1 6.1 6.1 6.2 6.1 6.2 6.2 6.1 6.1 6.2 6.1 6.1 7.3 4.2 4.2 4.3 4.2 4.2 4.2 4.3 4.2 4.4 4.4 3.8 3.8 4.2 4.2 4.2 4.2 4.3 4.3 4.2 4.3 4.2 4.2 4.3 4.2 3.8 4.3 3.8 4.2 4.2 4.2 4.2 4.3 4.2 4.2 4.1 4.3 4.2 4.3 4.2 4.3 4.2 4.3 4.2 4.2 4.3 4.3 4.2 4.4 4.4 3.8 2 2 2 2 ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ¤ ¤ ¤ ¤ 1 1 1 1 209 209 209 209 209 208 209 205 209 209 252 252 209 209 209 209 209 209 206 209 205 205 209 205 252 252 209 252 209 209 209 209 206 209 206 209 205 205 209 209 205 209 209 209 209 207 209 ...... 2 ° ° ° ° ° ° ° ° ° ¤ 1 114 114 114 113 114 115 117 113 112.5 112.5 ° ° ° ° ° ° ° ° 229 236 234 236 230 255 225 236 ...... SSN 705 SSN 708 SSN 710 SSN 714 SSN 717 SSN 719 SSN 720 SSN 725 SSN 751 SSN 756 SSN 757 SSN 764 SSN 769 SSN 770 SSBN 626 SSBN 641 SSBN 645 SSN 706 SSN 707 SSN 712 SSN 713 SSN 716 SSN 718 SSN 722 SSN 750 SSN 752 SSN 753 SSN 754 SSN 755 SSN 758 SSN 759 SSN 760 SSN 762 SSN 763 SSN 765 SSN 766 SSN 767 SSN 768 SSN 771 SSN 772 SSN 773 SSBN 634 SSBN 642 SSN 709 SSN 711 SSN 715 SSN 721 SSN 723 SSN 724 SSN 761 ...... USS CITY OF CORPUS CHRISTI USS ALBUQUERQUE USS PORTSMOUTH USS MINNEAPOLIS-ST. PAUL USS HYMAN G. RICKOVER USS AUGUSTA USS SAN FRANCISCO USS ATLANTA USS HOUSTON USS NORFOLK USS BUFFALO USS SALT LAKE CITY USS OLYMPIA USS HONOLULU USS PROVIDENCE USS PITTSBURGH USS CHICAGO USS KEY WEST USS OKLAHOMA CITY USS LOUISVILLE USS HELENA USS NEWPORT NEWS USS SAN JUAN USS PASADENA USS ALBANY USS TOPEKA USS MIAMI USS SCRANTON USS ALEXANDRIA USS ASHEVILLE USS JEFFERSON CITY USS ANNAPOLIS USS SPRINGFIELD USS COLUMBUS USS SANTA FE USS BOISE USS MONTPELIER USS CHARLOTTE USS HAMPTON USS HARTFORD USS TOLEDO USS TUCSON USS COLUMBIA USS GREENEVILLE USS CHEYENNE USS DANIEL WEBSTER USS STONEWALL JACKSON USS SIMON BOLIVAR USS KAMEHAMEHA USS JAMES K. POLK

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VerDate 22-AUG-97 07:31 Sep 14, 1997 Jkt 174118 PO 00000 Frm 00165 Fmt 8010 Sfmt 8010 E:\CFR\174118.020 174118 § 706.2 32 CFR Ch. VI (7-1-97 Edition) 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 1.1 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below 4.0 below annex 1 meters 2(K) ward light in Anchor lights aft light to for- relationship of 3.8 3.8 3.8 3.8 3.8 3.8 3.8 3.8 3.8 3.8 2.1 3.8 3.8 3.8 3.8 3.8 3.8 3.8 3.8 1 height chor light, in meters; above hull 2(K) annex Forward an- ...... 9.0 9.0 9.0 9.0 9.0 9.0 9.0 9.0 9.0 9.0 7.6 9.0 9.0 9.0 9.0 9.0 9.0 9.0 9.0 19.2 14.02 13.78 12.88 14.99 13.34 15.97 13.41 14.02 10.97 14.02 14.20 14.32 14.02 13.71 13.30 14.05 14.05 13.00 13.00 21(c) ward of ters; rule Stern light, stern in me- distance for- 5.3 5.3 5.3 5.3 5.3 5.3 5.3 5.3 5.3 5.3 3.8 5.3 5.3 5.3 5.3 5.3 5.3 5.3 5.3 2.69 3.00 2.66 2.56 2.94 2.79 3.03 2.63 3.08 2.82 3.00 2.70 2.77 2.79 3.10 2.50 3.20 3.11 2.80 2.77 1 board of in meters Side lights 3(b) annex distance in- ship's sides ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° 209 209 209 209 209 209 209 209 209 209 252 209 209 209 209 209 209 211.5 211.5 21(c) bility; rule Stern light arc of visi- ° ° ° ° 116 112.5 112.5 112.5 21(b) bility; rule arc of visi- Side lights ° ° ° ° 225 234 225 225 visibility; rule 21(a) Masthead lights arc of ...... Table ThreeÐContinued No. SSBN 658 SSBN 731 SSBN 733 SSBN 734 SSBN 735 SSBN 741 YTB 758 YTB 781 YTB 785 YTB 806 YTB 812 YTB 813 YTB 820 YTB 826 YTB 835 SSBN 726 SSBN 727 SSBN 732 SSBN 736 SSBN 737 SSBN 738 SSBN 739 SSBN 740 SSBN 742 SSBN 743 YTB 752 YTB 757 YTB 769 YTB 780 YTB 788 YTB 789 YTB 799 YTB 811 SSBN 728 SSBN 729 SSBN 730 YTB 771 YTB 801 YTB 833 ...... Vessel ...... Only when towing. 1 USS MARIANO G. VALLEJO USS OHIO USS MICHIGAN USS FLORIDA USS GEORGIA USS HENRY M. JACKSON USS ALABAMA USS ALASKA USS NEVADA USS TENNESSEE USS PENNSYLVANIA USS WEST VIRGINIA USS KENTUCKY USS MARYLAND USS NEBRASKA USS RHODE ISLAND USS MAINE USS WYOMING USS LOUISIANA YTB±752 OSHKOSH YTB 758 YTB (class) KEOKUK SAUGUS YTB 781 YTB 785 WAPATO YTB (class) NATCHITOCHES PALATKA YTB 806 HOUMA YTB 812 YTB 813 YTB 820 YTB 826 SHABONEE YTB 835

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Table Four

1. Ships other than aircraft carrier types of two lights, one light port and one light (CV, CVN, LHA, LHD, and LPH) may not si- starboard on the mast or superstructure at multaneously exhibit the masthead lights re- each location in the vertical array. quired by Rule 27(b)(iii) and the lights re- 3. The second masthead light required by quired by Rule 27(b)(i) for vessels restricted Rule 23(a)(ii) and the lights and shapes re- in their ability to maneuver when such si- quired by Rules 24, 27, and 30(d)(i) are not multaneous exhibition will present a hazard displayed by submarines. to their own safe operations. In those in- 4. On mine warfare type ships the mast- stances, the lights required by Rule 27(b)(i) head lights will not always be above and will be exhibited. Ships conducting flight operations also may not exhibit the stern light clear of the minesweeping lights, as is re- required by Rule 27(b)(iii). quired by Annex I, Section 2(f). The positions 2. To provide all-round visibility, the lights of the masthead lights with relation to the required by Rules 27 (a) and (b) will consist minesweeping lights are as follows:

Relationship of after Relationship of forward Relationship of after masthead light to Vessel MSO No. masthead light to all masthead light to lower upper minesweeping minesweeping lights minesweeping lights lights

USS IMPLICIT ...... 455 below ...... lower than ...... below USS CONQUEST ...... 488 below ...... lower than ...... below USS GALLANT ...... 489 below ...... lower than ...... below USS PLEDGE ...... 492 below ...... lower than ...... below MSB ...... 15 below ...... ÐÐ ...... ÐÐ MSB ...... 16 do ...... ÐÐ ...... ÐÐ MSB ...... 25 do ...... ÐÐ ...... ÐÐ MSB ...... 28 do ...... ÐÐ ...... ÐÐ MSB ...... 29 do ...... ÐÐ ...... ÐÐ MSB ...... 41 do ...... ÐÐ ...... ÐÐ MSB ...... 51 do ...... ÐÐ ...... ÐÐ MSB ...... 52 do ...... ÐÐ ...... ÐÐ

5. The masthead light required by Rule 23(a)(i) is not located in the forepart of the vessel on the CSP Class and SLWT Class. 6. The arc of visibility of the after masthead light required by Rule 23(a)(ii) and Annex I, section 2(f) may be obstructed from right ahead on certain naval ships as follows:

USS KANSAS CITY (AOR 3) ...... 1° 13′ USS HOLLAND (AS 32) ...... 3° 46′ USS SAVANNAH (AOR 4) ...... 1° 13′ USS KIDD (DDG 993) ...... 0° 28.8′ USS WABASH (AOR 5) ...... 1° 13′ USS CALLAGHAN (DDG 994) ...... 0° 28.8′ USS KALAMAZOO (AOR 6) ...... 1° 13′ USS SCOTT (DDG 995) ...... 0° 28.8′ USS HUNLEY (AS 31) ...... 2° 10′ USS CHANDLER (DDG 996) ...... 0° 28.8′

7. On the following ships the arc of visibility of the forward masthead light required by Rule 23(a)(i) may be obstructed through 1.6° arc of visibility at the points 021° and 339° relative to the ship's head. USS OLIVER HAZARD PERRY ...... FFG 7 USS STARK ...... FFG 31 USS MCINERNEY ...... FFG 8 USS JOHN L. HALL ...... FFG 32 USS WADSWORTH ...... FFG 9 USS JARRETT ...... FFG 33 USS DUNCAN ...... FFG 10 USS AUBREY FITCH ...... FFG 34 USS CLARK ...... FFG 11 USS UNDERWOOD ...... FFG 36 USS GEORGE PHILIP ...... FFG 12 USS CROMMELIN ...... FFG 37 USS SAMUEL ELIOT MORISON ...... FFG 13 USS CURTS ...... FFG 38 USS SIDES ...... FFG 14 USS DOYLE ...... FFG 39 USS ESTOCIN ...... FFG 15 USS HALYBURTON ...... FFG 40 USS CLIFTON SPRAGUE ...... FFG 16 USS MCCLUSKY ...... FFG 41 USS JOHN A. MOORE ...... FFG 19 USS KLAKRING ...... FFG 42 USS ANTRIM ...... FFG 20 USS THACH ...... FFG 43 USS FLATLEY ...... FFG 21 USS DEWERT ...... FFG 45 USS FAHRION ...... FFG 22 USS RENTZ ...... FFG 46 USS LEWIS B. PULLER ...... FFG 23 USS NICHOLAS ...... FFG 47 USS JACK WILLIAMS ...... FFG 24 USS VANDERGRIFT ...... FFG 48 USS COPELAND ...... FFG 25 USS ROBERT G. BRADLEY ...... FFG 49 USS GALLERY ...... FFG 26 USS TAYLOR ...... FFG 50 USS MAHLON S. TISDALE ...... FFG 27 USS GARY ...... FFG 51 USS BOONE ...... FFG 28 USS CARR ...... FFG 52 USS STEPHEN W. GROVES ...... FFG 29 USS HAWES ...... FFG 53 USS REID ...... FFG 30 USS FORD ...... FFG 54

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USS ELROD ...... FFG 55 USS KAUFFMAN ...... FFG 59 USS SIMPSON ...... FFG 56 USS RODNEY M. DAVIS ...... FFG 60 USS REUBEN JAMES ...... FFG 57 USS INGRAHAM ...... FFG 61 USS SAMUEL B. ROBERTS ...... FFG 58

8. Sidelights on the following ships do not comply with Annex 1, Section 3(b):

Distance of Distance of sidelights sidelights Vessel Number forward of forward of masthead Vessel Number masthead light in me- light in meters ters

USS OLIVER HAZARD PERRY .... FFG 7 ... 2.75 USS UNDERWOOD ...... FFG 36 2.75 USS MCINERNEY ...... FFG 8 ... 2.75 USS CROMMELIN ...... FFG 37 2.75 USS WADSWORTH ...... FFG 9 ... 2.75 USS CURTS ...... FFG 38 2.75 USS DUNCAN ...... FFG 10 2.75 USS DOYLE ...... FFG 39 2.75 USS CLARK ...... FFG 11 2.75 USS HALYBURTON ...... FFG 40 2.75 USS GEORGE PHILIP ...... FFG 12 2.75 USS MCCLUSKY ...... FFG 41 2.75 USS SAMUEL ELIOT MORISON .. FFG 13 2.75 USS KLAKRING ...... FFG 42 2.75 USS SIDES ...... FFG 14 2.75 USS THACH ...... FFG 43 2.75 USS ESTOCIN ...... FFG 15 2.75 USS DEWERT ...... FFG 45 2.75 USS CLIFTON SPRAGUE ...... FFG 16 2.75 USS RENTZ ...... FFG 46 2.75 USS JOHN A. MOORE ...... FFG 19 2.75 USS NICHOLAS ...... FFG 47 2.75 USS ANTRIM ...... FFG 20 2.75 USS VANDEGRIFT ...... FFG 48 2.75 USS FLATLEY ...... FFG 21 2.75 USS ROBERT G. BRADLEY ...... FFG 49 2.75 USS FAHRION ...... FFG 22 2.69 USS TAYLOR ...... FFG 50 2.75 USS LEWIS B. PULLER ...... FFG 23 2.75 USS GARY ...... FFG 51 2.75 USS JACK WILLIAMS ...... FFG 24 2.75 USS CARR ...... FFG 52 2.75 USS COPELAND ...... FFG 25 2.75 USS HAWES ...... FFG 53 2.75 USS GALLERY ...... FFG 26 2.75 USS FORD ...... FFG 54 2.75 USS MAHLON S. TISDALE ...... FFG 27 2.75 USS ELROD ...... FFG 55 2.75 USS BOONE ...... FFG 28 2.75 USS SIMPSON ...... FFG 56 2.75 USS STEPHEN W. GROVES ...... FFG 29 2.75 USS REUBEN JAMES ...... FFG 57 2.75 USS REID ...... FFG 30 2.75 USS SAMUEL B. ROBERTS ...... FFG 58 2.75 USS STARK ...... FFG 31 2.75 USS KAUFFMAN ...... FFG 59 2.75 USS JOHN L. HALL ...... FFG 32 2.75 USS RODNEY M. DAVIS ...... FFG 60 2.75 USS JARRETT ...... FFG 33 2.69 USS INGRAHAM ...... FFG 61 2.19 USS AUBREY FITCH ...... FFG 34 2.75

9. On LCAC-class amphibious vessels, full compliance with Rules 21(a), 21(b), and 22(b), and Annex I, section 2(a)(i), 72 COLREGS, cannot be obtained. Tables One and Two of section 706.2 provide the dimensions of closest possible compliance of LCAC-class amphibious vessels with the aforementioned rules. The following paragraph details the specific dimensions of closest possible compliance and the basis for certification by the Secretary of the Navy that full compliance with the aforementioned rules is not obtainable. In LCAC-class amphibious vessels, there are permanent and temporary masts. The permanent masthead light is located 5.26 meters athwartship to port of centerline 5.49 meters above the hull. The temporary masthead light is located 3.98 meters athwartship to starboard of centerline 4.06 meters above the hull. The temporary masthead light is displayed in lieu of the permanent masthead light only when LCAC-class amphibious vessels are operating with amphibious assault vessels. When operating in this mode, the sidelights are displayed at a height greater than three-quarters of the height of the temporary masthead light. The sidelights are located on top of the port and starboard deckhouses to permit the required unobstructed arcs of visibility and are 3.28 meters above the hull, resulting in a vertical separation between those lights and the temporary masthead light of 0.78 meters. Because of the minimal vertical separation between the sidelights and the temporary masthead light and the luminous intensity of the temporary light, the sidelights on these vessels may not be distinguishable by the naked eye at the 2-mile range required by Rule 22(b). 10. On the following ships the arc of visibility of the after masthead light required by Rule 23(a)(ii) may be obstructed through 0°48.6′ arc of visibility at the point 349° relative to the ship's head: USS KIDD (DDG 993) USS CALLAGHAN (DDG 994) USS SCOTT (DDG 995) USS CHANDLER (DDG 996) 11. On USS DOLPHIN (AGSS 555) the masthead light will be visible at a distance of 4.3 nautical miles and the sidelights will be visible at a distance of 2 nautical miles. 12. [Reserved] 13. [Reserved] 14. The following harbor tugs are equipped with a hinged mast. When the mast is in the lowered position as during a towing alongside or pushing operation, the two masthead lights required by Rule 24(c), and the all around lights required by Rule 27(b)(i) will not be shown; however, an auxiliary masthead light not meeting with Annex I, section 2(a)(i) height requirement will be exhibited.

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Distance in meters of Distance in meters of aux. masthead light aux. masthead light Vessel No. below minimum re- Vessel No. below minimum required height. Annex quired height. Annex I, sec. 2(a)(i) I, sec. 2(a)(i)

YTB 752 ...... 3.97 YTB 799 ...... 4.07 YTB 757 ...... 3.40 YTB 801 ...... 3.89 YTB 758 ...... 3.97 YTB 806 ...... 3.58 YTB 769 ...... 3.86 YTB 811 ...... 4.07 YTB 771 ...... 3.89 YTB 812 ...... 4.04 YTB 780 ...... 3.53 YTB 813 ...... 6.15 YTB 820 ...... 3.30 YTB 781 ...... 3.66 YTB 826 ...... 3.89 YTB 785 ...... 4.47 YTB 833 ...... 3.68 YTB 788 ...... 3.76 YTB 835 ...... 4.04 YTB 789 ...... 3.30

15. Task (restricted maneuverability) lights on the following ships do not comply with Annex I, section 3(c).

Horizontal dis- Horizontal distance from the tance from the fore and aft fore and aft Vessel Number centerline of Vessel Number centerline of the vessel in the vessel in the athwart- the athwartship direction ship direction

USS ARLEIGH BURKE ...... DDG 51 1.85 meters USS STETHEM ...... DDG 63 1.91 meters USS BARRY ...... DDG 52 1.94 meters USS CARNEY ...... DDG 64 1.90 meters USS JOHN PAUL JONES ...... DDG 53 1.89 meters USS BENFOLD ...... DDG 65 1.90 meters USS CURTIS WILBUR ...... DDG 54 1.90 meters USS GONZALES ...... DDG 66 1.90 meters USS STOUT ...... DDG 55 1.90 meters USS JOHN S. MCCAIN ...... DDG 56 1.88 meters USS COLE ...... DDG 67 1.90 meters USS MITSCHER ...... DDG 57 1.93 meters USS THE SULLIVANS ...... DDG 68 1.87 meters USS LABOON ...... DDG 58 1.90 meters USS MILIUS ...... DDG 69 1.93 meters USS RUSSELL ...... DDG 59 1.91 meters USS HOPPER ...... DDG 70 1.83 meters USS PAUL HAMILTON ...... DDG 60 1.88 meters USS ROSS ...... DDG 71 1.96 meters USS RAMAGE ...... DDG 61 1.91 meters USS MAHAN ...... DDG 72 1.90 meters USS FITZGERALD ...... DDG 62 1.90 meters

16. On the following ships, the arc of visibility of the forward masthead light, required by rule 21(a), may be obstructed at the following angles relative to ship's heading:

Obstruction angle Obstruction angle Vessel Number relative ship's head- Vessel Number relative ship's headings ings

USS ARLEIGH BURKE .... DDG 51 100.00° thru 112.50° USS STETHEM ...... DDG 63 102.51° thru 112.50° USS BARRY ...... DDG 52 101.16° thru 112.50° USS CARNEY ...... DDG 64 105.06° thru 112.50° ° ° USS JOHN PAUL JONES DDG 53 103.29 thru 112.50 USS BENFOLD ...... DDG 65 101.86° thru 112.50° ° ° USS CURTIS WILBUR ..... DDG 54 102.61 thru 112.50 ° ° ° ° USS GONZALES ...... DDG 66 101.69 thru 112.50 USS STOUT ...... DDG 55 102.00 thru 112.50 ° ° USS JOHN S. MCCAIN .... DDG 56 102.53° thru 112.50° USS COLE ...... DDG 67 101.83 thru 112.50 USS MITSCHER ...... DDG 57 102.27° thru 112.50° USS THE SULLIVANS ...... DDG 68 103.06° thru 112.50° USS LABOON ...... DDG 58 102.80° thru 112.50° USS MILIUS ...... DDG 69 102.30° thru 112.50° USS RUSSELL ...... DDG 59 92.62° thru 109.38° USS HOPPER ...... DDG 70 102.25° thru 112.50° USS PAUL HAMILTON ..... DDG 60 101.35° thru 112.50° USS ROSS ...... DDG 71 104.05° thru 112.50° ° ° USS RAMAGE ...... DDG 61 103.66 thru 112.50 USS MAHAN ...... DDG 72 102.11° thru 112.50° USS FITZGERALD ...... DDG 62 102.32° thru 112.50°

17. The second masthead light required by Rule 23(a)(ii) will not be displayed on the PC 1 Class. 18. On the following mine warfare type ships, the arc of visibility of the lower all-round minesweep lights required by Rule 27(f), may be obstructed through the following angles relative to the ship's heading:

Obscured angles relative to Obscured angles relative to ship's heading Vessel Number ship's heading Vessel Number Port STBD Port STBD

OSPREY ...... MHC 51 59.5° to 78.3° 281.7° to 300.5° ORIOLE ...... MHC 55 65.0° to 75.6° 284.1° to 294.6° HERON ...... MHC 52 59.5° to 78.3° 281.7° to 300.5° KING-FISHER MHC 56 59.5° to 78.3° 281.7° to 300.5° PELICAN ...... MHC 53 59.5° to 78.3° 281.7° to 300.5° CORMORANT MHC 57 59.5° to 78.3° 281.7° to 300.5° ROBIN ...... MHC 54 59.5° to 78.3° 281.7° to 300.5° BLACK HAWK MHC 58 65.0° to 75.6° 284.1° to 294.6°

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Obscured angles relative to Obscured angles relative to Vessel Number ship's heading Vessel Number ship's heading Port STBD Port STBD

USS FALCON MHC 59 65.0° to 75.6° 284.1° to 294.6° CARDINAL ..... MHC 60 65.0° to 75.6° 284.1° to 294.6°

19. Sidelights on the following ships do not comply with Annex I, Section 2 (g):

Distance in meters of sidelights Vessel Number above maximum allowed height.

USS DUBUQUE ...... LPD 8 1.2

TABLE FIVE

Masthead After mast- lights not Forward head light masthead less than 1¤2 over all light not in ship's length Percentage Vessel No. other lights forward aft of for- horizontal and ob- quarter of ward mast- separation structions. ship. annex head light. attained annex I, I, sec. 3(a) annex I, sec. sec. 2(f) 3(a)

USS SURIBACHI ...... AE 21 ...... X 87 USS MAUNA KEA ...... AE 22 ...... X 88 USS NITRO ...... AE 23 ...... X 86 USS PYRO ...... AE 24 ...... X 87 USS FLINT ...... AE 32 ...... X 98 USS SHASTA ...... AE 33 ...... X 98 USS MARS ...... AFS 1 ...... X 98 USS SYLVANIA ...... AFS 2 ...... X 99 USS NIAGARA FALLS ...... AFS 3 ...... X 97.9 USS WHITE PLAINS ...... AFS 4 ...... X 98 USS CONCORD ...... AFS 5 ...... X 97 USS SAN DIEGO ...... AFS 6 ...... X 97.5 USS SAN JOSE ...... AFS 7 ...... X 98.1 USS LA SALLE ...... AGF 3 ...... X 54 USS CORONADO ...... AGF 11 ...... X 55 USS DALE ...... CG 19 ...... X X 30 USS RICHMOND K. TURNER ...... CG 20 ...... X X 27 USS BELKNAP ...... CG 26 ...... X X 30 USS TICONDEROGA ...... CG 47 ...... X X 38.3 USS YORKTOWN ...... CG 48 ...... X X 38.0 USS VINCENNES ...... CG 49 ...... X X 38 USS VALLEY FORGE ...... CG 50 ...... X X 38 USS THOMAS S. GATES ...... CG 51 ...... X X 38 USS BUNKER HILL ...... CG 52 ...... X X 38 USS MOBILE BAY ...... CG 53 ...... X X 38 USS ANTIETAM ...... CG 54 ...... X X 38 USS LEYTE GULF ...... CG 55 ...... X X 38 USS SAN JACINTO ...... CG 56 ...... X X 38 USS LAKE CHAMPLAIN ...... CG 57 ...... X X 38 USS PHILIPPINE SEA ...... CG 58 ...... X X 38 USS PRINCETON ...... CG 59 ...... X X 38 USS NORMANDY ...... CG 60 ...... X X 38 USS MONTEREY ...... CG 61 ...... X X 38 USS CHANCELLORSVILLE ...... CG 62 ...... X X 38 USS COWPENS ...... CG 63 ...... X X 38 USS GETTYSBURG ...... CG 64 ...... X X 38 USS CHOSIN ...... CG 65 ...... X X 38 USS HUE CITY ...... CG 66 ...... X X 38 USS SHILOH ...... CG 67 ...... X X 38 USS ANZIO ...... CG 68 ...... X X 38 USS VICKSBURG ...... CG 69 N/A XX 38 USS LAKE ERIE ...... CG 70 N/A XX 38 USS CAPE ST. GEORGE ...... CG 71 N/A XX 38 USS VELLA GULF ...... CG 72 N/A XX 38 USS PORT ROYAL ...... CG 73 N/A XX 38 USS LONG BEACH ...... CGN 9 ...... X X 13.5

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TABLE FIVEÐContinued

USS BAINBRIDGE ...... CGN 25 ...... X X 19 USS TRUXTUN ...... CGN 35 ...... X X 21 USS CALIFORNIA ...... CGN 36 ...... X X 26.2 USS SOUTH CAROLINA ...... CGN 37 ...... X X 26.2 USS MISSISSIPPI ...... CGN 40 N/A XX 16 USS ARKANSAS ...... CGN 41 ...... X X 18 USS FORRESTAL ...... CV 59 ...... X X 66 USS SARATOGA ...... CV 60 ...... X X 69 USS INDEPENDENCE ...... CV 62 ...... X X 70 USS KITTY HAWK ...... CV 63 ...... X USS CONSTELLATION ...... CV 64 ...... X USS ENTERPRISE ...... CVN 65 ...... X USS NIMITZ ...... CVN 68 ...... X USS DWIGHT D. EISENHOWER ...... CVN 69 ...... X USS CARL VINSON ...... CVN 70 ...... X USS THEODORE ROOSEVELT ...... CVN 71 ...... X USS ABRAHAM LINCOLN ...... CVN 72 ...... X USS GEORGE WASHINGTON ...... CVN 73 ...... X USS JOHN C. STENNIS ...... CVN 74 ...... X USS SPRUANCE ...... DD 963 ...... X X 46 USS PAUL F. FOSTER ...... DD 964 ...... X X 46.4 USS KINKAID ...... DD 965 ...... X X 46.4 USS HEWITT ...... DD 966 ...... X X 46.4 USS ELLIOT ...... DD 967 ...... X X 46.4 USS PETERSON ...... DD 969 ...... X X 46.4 USS ARTHUR W. RADFORD ...... DD 968 ...... X X 46.4 USS CARON ...... DD 970 ...... X X 46.4 USS DAVID R. RAY ...... DD 971 ...... X X 46.4 USS OLDENDORF ...... DD 972 N/A XX 45 USS JOHN YOUNG ...... DD 973 ...... X X 46 USS COMTE DE GRASSE ...... DD 974 ...... X X 46.4 USS O'BRIEN ...... DD 975 ...... X X 46.1 USS MERRILL ...... DD 976 ...... X 46.1 USS BRISCOE ...... DD 977 ...... X X 46.4 USS STUMP ...... DD 978 ...... X X 46 USS CONOLLY ...... DD 979 ...... X X 46.4 USS MOOSBRUGGER ...... DD 980 ...... X X 46 USS JOHN HANCOCK ...... DD 981 ...... X X 46.4 USS NICHOLSON ...... DD 982 ...... X X 46.4 USS JOHN RODGERS ...... DD 983 ...... X X 46.4 USS LEFTWICH ...... DD 984 ...... X X 46 USS CUSHING ...... DD 985 ...... X X 46 USS HARRY W. HILL ...... DD 986 ...... X X 46 USS O'BANNON ...... DD 987 ...... X X 46 USS THORN ...... DD 988 ...... X X 46 USS DEYO ...... DD 989 ...... X X 46 USS INGERSOLL ...... DD 990 ...... X X 46 USS FIFE ...... DD 991 ...... X X 48 USS FLETCHER ...... DD 992 ...... X X 46 USS KIDD ...... DD 993 XXX 39.8 USS HAYLER ...... DD 997 N/A XX 44 USS ARLEIGH BURKE ...... DDG 51 XXX 20 USS BARRY ...... DDG 52 XXX 20 USS JOHN PAUL JONES ...... DDG 53 XXX 18.9 USS CURTIS WILBUR ...... DDG 54 XXX 20.4 USS STOUT ...... DDG 55 XXX 20.7 USS JOHN S. MCCAIN ...... DDG 56 XXX 19.6 USS MITSCHER ...... DDG 57 XXX 20.7 USS LABOON ...... DDG 58 XXX 19.6 USS RUSSELL ...... DDG 59 XXX 20.6 USS PAUL HAMILTON ...... DDG 60 XXX 20.4 USS RAMAGE ...... DDG 61 XXX 20 USS FITZGERALD ...... DDG 62 XXX 20.4 USS STETHEM ...... DDG 63 XXX 20 USS CARNEY ...... DDG 64 XXX 19.7

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TABLE FIVEÐContinued

USS BENFOLD ...... DDG 65 XXX 20.4 USS GONZALES ...... DDG 66 XXX 20.4 USS COLE ...... DDG 67 XXX 20.4 USS THE SULLIVANS ...... DDG 68 XXX 20.5 USS MILIUS ...... DDG 69 XXX 20.4 USS HOPPER ...... DDG 70 XXX 20.4 USS ROSS ...... DDG 71 XXX 20.6 USS MAHAN ...... DDG 72 XXX 13.9 USS CALLAGHAN ...... DDG 994 XXX 44.6 USS SCOTT ...... DDG 995 XXX 44.6 USS CHANDLER ...... DDG 996 XXX 44.6 USS ELK RIVER ...... IX 501 ...... X 18.4 USS BLUE RIDGE ...... LCC 19 ...... X 70 USS MOUNT WHITNEY ...... LCC 20 ...... X 84 USS TARAWA ...... LHA 1 ...... X X 13 USS SAIPAN ...... LHA 2 ...... X X 10.2 USS BELLEAU WOOD ...... LHA 3 ...... X X 13 USS NASSAU ...... LHA 4 ...... X X 13 USS PELELIU ...... LHA 5 ...... X X 13 USS WASP ...... LHD 1 ...... X X 41 USS ESSEX ...... LHD 2 ...... X X 39 USS KEARSARGE ...... LHD 3 ...... X X 39.5 USS BOXER ...... LHD 4 ...... X X 39.3 USS BATAAN ...... LHD 5 ...... X X 39.7 USS AUSTIN ...... LPD 4 ...... X 37 USS OGDEN ...... LPD 5 ...... X 51 USS DULUTH ...... LPD 6 ...... X 50 USS CLEVELAND ...... LPD 7 ...... X 49 USS DUBUQUE ...... LPD 8 ...... X 57 USS DENVER ...... LPD 9 ...... X 48 USS JUNEAU ...... LPD 10 ...... X 49 USS SHREVEPORT ...... LPD 12 ...... X 49 USS NASHVILLE ...... LPD 13 ...... X 48 USS TRENTON ...... LPD 14 ...... X 41 USS PONCE ...... LPD 15 ...... X 55 USS GUADALCANAL ...... LPH 7 ...... X X 11 USS GUAM ...... LPH 9 ...... X X 11 USS TRIPOLI ...... LPH 10 ...... X X 12 USS NEW ORLEANS ...... LPH 11 ...... X X 10 USS INCHON ...... LPH 12 ...... X X 11 USS ALAMO ...... LSD 33 ...... X 47 USS HERMITAGE ...... LSD 34 ...... X 55 USS ANCHORAGE ...... LSD 36 ...... X 46 USS PORTLAND ...... LSD 37 ...... X 46 USS PENSACOLA ...... LSD 38 ...... X 46 USS MOUNT VERNON ...... LSD 39 ...... X 46 USS FORT FISHER ...... LSD 40 ...... X 46 USS WHIDBEY ISLAND ...... LSD 41 ...... X 65 USS GERMANTOWN ...... LSD 42 ...... X 65 USS FORT McHENRY ...... LSD 43 ...... X 64 USS GUNSTON HALL ...... LSD 44 ...... X 64 USS COMSTOCK ...... LSD 46 ...... X 64 USS TORTUGA ...... LSD 46 ...... X 64 USS RUSHMORE ...... LSD 47 ...... X 64 USS ASHLAND ...... LSD 48 ...... X 64.1 USS HARPERS FERRY ...... LSD 49 ...... X 63.9 USS CARTER HALL ...... LSD 50 ...... X 63.9 USS OAK HILL ...... LSD 51 ...... X 63.9 USS FREDERICK ...... LST 1184 ...... X 90 USS CAYUGA ...... LST 1186 ...... X 89 USS SAGINAW ...... LST 1188 ...... X 86 USS SAN BERNARDINO ...... LST 1189 ...... X 89 USS SPARTANBURG COUNTY ...... LST 1192 ...... X 88 USS FAIRFAX COUNTY ...... LST 1193 ...... X 90 USS LA MOURE COUNTY ...... LST 1194 ...... X 88

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TABLE FIVEÐContinued

USS HARLAN COUNTY ...... LST 1196 ...... X 89 USS BARNSTABLE COUNTY ...... LST 1197 ...... X 88 USS BRISTOL COUNTY ...... LST 1198 ...... X 90 USS AVENGER ...... MCM 1 ...... X 63 USS DEFENDER ...... MCM 2 ...... X 62 USS SENTRY ...... MCM 3 ...... X 62 USS CHAMPION ...... MCM 4 ...... X 64 USS GUARDIAN ...... MCM 5 ...... X 63 USS DEVASTATOR ...... MCM 6 ...... X 64 USS PATRIOT ...... MCM 7 ...... X 64 USS SCOUT ...... MCM 8 ...... X 64 USS PIONEER ...... MCM 9 ...... 64 USS WARRIOR ...... MCM 10 ...... X 64 USS GLADIATOR ...... MCM 11 ...... X 64 USS ARDENT ...... MCM 12 ...... X 64 USS DEXTROUS ...... MCM 13 ...... X 64 USS CHIEF ...... MCM 14 ...... X 64 USNS KILAUEA ...... T-AE 26 ...... X 94.1

[42 FR 36434, July 14, 1977] EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 706.2, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 706.3 Exemptions by the Secretary of TABLE ONEÐContinued the Navy under Executive Order [The following vessels and classes of vessels, less than 150 11964. meters in length, are permanently exempted pursuant to rule 38(d)(i) from repositioning of masthead lights resulting The Secretary of the Navy hereby ex- from the prescriptions of Annex I, section 3(a)] empts, in accordance with Rule 38 of Vessel or class the International Regulations for Pre- venting Collisions at Sea, 1972, the ves- T±AGS 33 Class sels and classes of vessels listed in this T±AOG 77 Class section, from full compliance with the USNS ALBERT J. MYER (T±ARC 6) T±ATF 166 Class Regulations, where an exemption is al- ARS 6 Class lowed by, and for the periods specified ARS 38 Class in, Rule 38. The Secretary of the Navy ASR 7 Class further finds that the vessels and class- ASR 21 Class es of vessels listed have had their keels ATF 148 Class ATS 1 Class laid or are in corresponding stages of DDG 2 Class construction before July 15, 1977, and FF 1037 Class that such vessels and classes of vessels FF 1040 Class comply with the requirements of the FF 1052 Class International Regulations for Prevent- USS GLOVER (FF 1098) ing Collisions at Sea, 1960. FFG 1 Class FFG 7 Class LCU 1610 Class TABLE ONE LCU 1648 Class [The following vessels and classes of vessels, less than 150 MSO 422 Class meters in length, are permanently exempted pursuant to MSO 508 Class rule 38(d)(i) from repositioning of masthead lights resulting from the prescriptions of Annex I, section 3(a)] PG 92 Class USS DOLPHIN (AGSS 555) Vessel or class SSN 594 Class SSN 637 Class USNS HAYES (T±AG±195) SSN 688 Class USNS RANGE SENTINEL (T±AGM±22) SSBN 616 Class T±AGOR 3 Class SSBN 627 Class T±AGS 26 Class SSBN 640 Class

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TABLE ONEÐContinued [The following vessels and classes of vessels, less than 150 meters in length, are permanently exempted pursuant to rule 38(d)(i) from repositioning of masthead lights resulting from the prescriptions of Annex I, section 3(a)]

Vessel or class

SSBN 726 Class YFU (Ex-LCU 1466 Class)

[42 FR 36434, July 14, 1977, as amended at 55 FR 27818, July 9, 1990; 60 FR 22506, May 8, 1995]

PART 707—SPECIAL RULES WITH RE- § 707.2 Man overboard lights. SPECT TO ADDITIONAL STATION Naval vessels may display, as a AND SIGNAL LIGHTS means of indicating man overboard, two pulsating, all round red lights in Sec. the vertical line located on a mast 707.1 Purpose of regulations. from where they can best be seen. 707.2 Man overboard lights. 707.3 Yard arm signaling lights. § 707.3 Yard arm signaling lights. 707.4 Aircraft warning lights. Naval vessels may display, as a 707.5 Underway replenishment contour means of visual signaling, white all lights. round lights at the ends of the yard 707.6 Minesweeping station keeping lights. arms. These lights will flash in varying 707.7 Submarine identification light. sequences to convey the intended sig- 707.8 Special operations lights. nal. 707.9 Convoy operations stern light. 707.10 Wake illumination light. § 707.4 Aircraft warning lights. 707.11 Flight operations lights. 707.12 Amphibious operations lights. Naval vessels may display, as a means of indicating the presence of an AUTHORITY: 33 U.S.C. 182 and 1606, E.O. obstruction to low flying aircraft, one 11964. all round red light on each obstruction. SOURCE: 42 FR 61596, Dec. 6, 1977, unless otherwise noted. § 707.5 Underway replenishment contour lights. § 707.1 Purpose of regulations. Naval vessels may display, as a All ships are warned that when U.S. means of outlining the contour of the naval vessels are met in international delivery ship during nighttime under- and inland waters, some of the naviga- way replenishment operations, either red or blue lights at delivery-ship- tional lights displayed by them may be deck-edge extremities. special lights for naval purposes. When used, they may be displayed simulta- [42 FR 61596, Dec. 6, 1977, as amended at 44 neously with the ordinary navigational FR 27991, May 14, 1979] lights required by the International § 707.6 Minesweeping station keeping Regulations for Preventing Collisions lights. at Sea, 1972, or the Inland Navigational Rules. The lights are located and char- Naval vessels engaged in minesweep- acterized in such a fashion that, as far ing operations may display, as an aid as possible, they cannot be mistaken in maintaining prescribed intervals and bearings, two white lights in a vertical for any light authorized by either set line visible from 070° through 290° rel- of rules. This part publishes the special ative. rules with respect to these additional station and signal lights promulgated § 707.7 Submarine identification light. by the Secretary of the Navy for ves- Submarines may display, as a dis- sels of the Navy. tinctive means of identification, an

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intermittent flashing amber beacon § 707.11 Flight operations lights. with a sequence of operation of one flash per second for three (3) seconds Naval vessels engaged in night flight followed by a three (3) second off-pe- operations may display various ar- riod. The light will be located where it rangements of light systems contain- can best be seen, as near as practicable, ing combinations of different colored all around the horizon. It shall not be lights as a means of assisting in the located less than two (2) feet above or launch and recovery of aircraft and en- below the masthead lights. hancing flight safety. These light systems will be located at various points [48 FR 4284, Jan. 31, 1983] on the vessels, depending on the vessel § 707.8 Special operations lights. type and the nature of the flight operations being conducted. Naval vessels may dispay, as a means of coordinating certain special oper- § 707.12 Amphibious operations lights. ations, a revolving beam colored red, green, or amber, located on either yard Naval vessels engaged in night am- arm or the mast platform from where phibious operations may display var- it can best be seen all around the hori- ious arrangements of light systems zon. containing combinations of different colored lights as a means of assisting § 707.9 Convoy operations stern light. in the launch and recovery of assault Naval vessels may display, during pe- craft and enhancing the safety of the riods of convoy operations, a blue light amphibious operation. These light sys- located near the stern with the same tems will be located at various points characteristics as, but in lieu of, the on the vessel, depending on the vessel normal white stern light. type and the nature of the amphibious operations being conducted. § 707.10 Wake illumination light. Naval vessels may display a white spot light located near the stern to il- luminate the wake.

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PART 716—DEATH GRATUITY § 716.2 Definitions. For the purposes of this part, terms Subpart A—Provisions Applicable to the are defined as follows: Navy and the Marine Corps (a) Member of the naval service. This Sec. term includes: 716.1 Principal rule. (1) A person appointed, enlisted, or 716.2 Definitions. inducted into the Regular Navy, Regu- 716.3 Special situations. lar Marine Corps, Naval Reserve or Ma- 716.4 Eligible survivors. rine Corps Reserve, and includes a mid- 716.5 Delegation of authority. shipman at the United States Naval 716.6 Death occurring after active service. Academy; 716.7 Payment of the death gratuity. (2) Enlisted members of the Fleet Re- 716.8 Payments excluded. serve and Fleet Marine Corps Reserve 716.9 Erroneous payment. and retired members; (3) A member of the Naval Reserve Subpart B—Provisions Applicable to the Navy Officers Training Corps when ordered to annual training duty for 14 days or 716.10 Procedures. more, and while performing authorized travel to and from that duty; and Subpart C—Provisions Applicable to the (4) Any person while en route to or Marine Corps from, or at a place for final acceptance 716.11 Procedures. for entry upon active duty in the naval service who has been ordered or di- AUTHORITY: Sec. 301, 80 Stat. 379, 1(32)(A), rected to go to that place, and who has 72 Stat. 1452; 5 U.S.C. 301, 10 U.S.C. 1475–1480, been provisionally accepted for such Pub. L. 89–554. duty. SOURCE: 24 FR 7523, Sept. 18, 1959, unless (b) Active duty. This term is defined otherwise noted. as (1) full-time duty performed by a member of the naval service, other Subpart A—Provisions Applicable than active duty for training, or (2) as to the Navy and the Marine Corps a midshipman at the United States Naval Academy, and (3) authorized § 716.1 Principal rule. travel to or from such duty or service. Under title 10 U.S.C., section 1475, the (c) Active duty for training. Such term Secretary of the Navy shall have a means: death gratuity paid immediately upon (1) Full-time duty performed by a official notification of the death of a member of a Reserve component of the member of the naval service who dies naval service for training purposes; while on active duty, active duty for (2) Annual training duty performed training, or inactive duty training. The for a period of 14 days or more by a death gratuity shall equal six months’ member of the Naval Reserve Officers basic pay (plus special, incentive, and Training Corps; and proficiency pay) at the rate to which (3) Authorized travel to or from such the deceased member was entitled on duty. the date of his death but shall not be (d) Inactive-duty training. Such term less than $800 nor more than $3,000. A is defined as any of the training, in- kind of special pay included is the 25% struction, appropriate duties, or equiv- increase in pay to which a member alent training, instruction, duty, ap- serving on a naval vessel in foreign wa- propriate duties, or hazardous duty ters is entitled under 10 U.S.C. 5540 performed with or without compensa- when retained beyond expiration of en- tion by a member of a Reserve compo- listment because such retention was nent prescribed by the Secretary of the essential to the public interest. Navy pursuant to sections 206, 309, and

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1002 of title 37 U.S.C. or any other pro- his home by the most direct route. vision of law. The term does not in- That period may not end before mid- clude: night of the day on which the member (1) Work or study performed by a is discharged or released. member of a Reserve component in connection with correspondence [24 FR 7523, Sept. 18, 1959, as amended at 25 FR 7792, Aug. 16, 1960] courses in which he is enrolled, or (2) Attendance at an educational in- § 716.4 Eligible survivors. stitution in an inactive status under the sponsorship of the Navy or Marine (a) The death gratuity shall be paid Corps. to or for the living survivor or survivors of the deceased member first list- [24 FR 7523, Sept. 16, 1959, as amended at 37 ed below: FR 6471, Mar. 30, 1972; 44 FR 25647, May 2, 1979] (1) The lawful spouse. (For purpose of this part, a man or woman shall be § 716.3 Special situations. considered to be the spouse if legally married to the member at the time of (a) Service without pay. Any member of a Reserve component who performs the member’s death.) active duty, active duty for training, (2) His children (without regard to or inactive-duty training without pay their age or marital status) in equal shall, for purposes of a death gratuity shares. payment, be considered as being enti- (3) Parent(s), brother(s) or sister(s) or tled to basic pay, including special pay any combination of them, when des- and incentive pay if appropriate, while ignated by the deceased member. performing such duties. (4) Undesignated parents in equal (b) Death occurring while traveling to shares. and from active duty for training and in- (5) Undesignated brothers and sisters active-duty training. Any member of a in equal shares. In paragraphs (a)(2), (3) Reserve component who, when author- and (4), respectively, of this section, ized or required by competent author- the terms ‘‘child’’ and ‘‘parent’’ have ity, assumes an obligation to perform the meanings assigned to them by title active duty for training or inactive- 10 U.S.C. section 1477 and the term duty training and who dies from an in- ‘‘parents’’ includes persons in loco jury incurred on or after January 1, parentis as indicated by that section. 1957 while proceeding directly to or di- The terms ‘‘brother’’ and ‘‘sister’’ in rectly from such active duty for train- paragraphs (a) (3) and (5) of this section ing or inactive-duty training, shall be include brothers and sisters of the half deemed to have been on active duty for blood and those through adoption. training or inactive-duty training as (b) Designation of payee by service the case may be. member. Where the service member has (c) Hospitalization. A member of a Re- designated a beneficiary and is not sur- serve component who suffers disability vived by a spouse, child, or children, while on active duty, active duty for the payment will be made to the spe- training, or inactive-duty training, and cific person designated by him provided who is placed in a new status while he the designee falls within the class of is receiving hospitalization or medical beneficiaries permitted as set forth in care (including out-patient care) for paragraph (a)(3) of this section. If more such disability, shall be deemed, for than one person is so designated on the purposes of death gratuity payment to Record of Emergency, payment will be have continued on active duty, active made in equal shares unless the mem- duty for training, or inactive-duty ber designated a proportionate share to training, as the case may be, in the each beneficiary. Frivolous designa- event of his death in such status. tions, such as one per centum to a par- (d) Discharge or release from a period of ticular beneficiary, should not be active duty. A person who is discharged made. or released from active duty (other (c) Death of survivor prior to receipt of than for training) is considered to con- gratuity. (1) If a survivor dies before re- tinue on that duty during the period of ceiving payment, or if a designated time required for that person to go to beneficiary predeceases the member

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(and there is no other designated bene- (1) Cases in which a doubt may exist ficiary) such amount shall be paid to as to the identity of the legal bene- the then living survivor or survivors ficiary; and listed first under paragraph (a) of this (2) Cases in which the widow or des- section. ignated beneficiary(ies) of the deceased (2) In case one of the beneficiaries service member was not residing with (parents or brothers or sisters) des- him at or near his place of duty at the ignated by a member, pursuant to time of his death. paragraph (a)(3) of this section, to re- [24 FR 7523, Sept. 18, 1959, as amended at 44 ceive death gratuity payment dies FR 25647, May 2, 1979] prior to the member’s death, or after his death but prior to the time pay- § 716.6 Death occurring after active ment is made, the share which would service. have been paid to the deceased des- (a) Under title 10 U.S.C., section 1476, ignee may be paid to the other person the death gratuity will be paid in any or persons designated. case where a member or former member dies on or after January 1, 1957, [24 FR 7523, Sept. 18, 1959, as amended at 37 during the 120-day period which begins FR 6471, Mar. 30, 1972] on the day following the date of his dis- § 716.5 Delegation of authority. charge or release from active duty, active duty for training, on inactive duty (a) Pursuant to the authority con- training, if the Administrator of Veter- tained in title 10 U.S.C., section 1479, as ans’ Affairs determines that: to deaths described in section 1475 (1) The decedent was discharged or thereof, the Secretary of the Navy has released, as the case may be, from the delegated to commanding officers of service under conditions other than naval commands, installations, or dis- dishonorable from the last period of tricts, with respect to naval personnel, the duty or training performed; and and to Marine Corps commanding gen- (2) Death resulted from disease or in- erals and officers in command of regi- jury incurred or aggravated while on ments, battalions or equivalent units such active duty or active duty for and of separate or detached commands training; or while performing author- who have custody of service records, ized travel to or from such duty; or with respect to Marine Corps person- (3) Death resulted from injury in- nel, authority to certify for the pay- curred or aggravated while on such in- ment of death gratuity the lawful active-duty training or while traveling spouse or designated beneficiary(ies) of directly to or from such duty or train- the deceased service member who was ing. residing with him at or near his place (b) For purposes of computing the of duty at the time of his death, except amount of the death gratuity in such in cases in which a doubt may exist as instances, the deceased person shall be to the identity of the legal beneficiary. deemed to be entitled on the date of his Disbursing officers are authorized to death to basic pay (plus any special, in- make payment of the death gratuity centive and proficiency pay) at the rate upon receipt of certification from the to which he was entitled on the last Commanding Officer. day he performed such active duty, ac- (b) The Secretary of the Navy has tive duty for training, or inactive duty delegated authority to the Chief of training. A kind of special pay included Naval Personnel as to naval personnel, is a pay increase under 10 U.S.C. 5540; and to the Commandant of the Marine see § 716.1. Corps (Code MSPA–1) as to Marine (c) The Department of the Navy is Corps personnel, the authority to cer- precluded from making payment of the tify the beneficiary(ies) for receipt of death gratuity pending receipt of the payment of death gratuity in all appro- determinations described in paragraph priate cases of payment of death gratu- (a) of this section. In view of this, comity under the Servicemen’s and Veter- mands should insure that the medical ans’ Survivor Benefits Act (now reen- records and reports of investigations acted in 10 U.S.C. 1475–1480), including, by fact-finding bodies be submitted to but not limited to: the Navy Department at the earliest

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possible date. The Veterans’ Adminis- the check is delivered. Under no cir- tration is promptly notified of all cumstances will the check be delivered deaths of this category reported, and to the payee until this action has been upon the request of that agency all per- accomplished. The payee will retain tinent data is forwarded. the copy of the voucher, DD Form 397, and the signed original voucher will be § 716.7 Payment of the death gratuity. returned by hand to the disbursing offi- (a) Claim certification and voucher for cer by the person designated to deliver the death gratuity payment. The Comp- the check. troller General of the United States [24 FR 7523, Sept. 18, 1959, as amended at 44 has approved DD Form 397 as the form FR 25647, May 2, 1979] to be used hereafter for claim certification and voucher for the death gratu- § 716.8 Payments excluded. ity payment. (a) No payment shall be made if the (b) Active duty deaths (Navy). To ef- deceased member suffered death as a fect immediate payment of death gra- result of lawful punishment for a crime tuity the following actions will be or for a military or naval offense, ex- taken: cept when death was so inflicted by (1) The commanding officer will as- any hostile force with which the Armed certain that the deceased member died Forces of the United States have en- while on active duty, active duty for gaged in armed conflict. training, or inactive-duty training, and will obtain the name, relationship, and (b) No payment will be made to a sur- address of the eligible survivor from vivor implicated in the homicide of the the Service Record of the deceased. deceased in the absence of evidence The Dependency Application/Record of clearly absolving such survivor of any Emergency Data (NAVPERS 1070/602) felonious intent. or Record of Emergency Data (DD (c) Unless the laws of the place where Form 93), will normally contain this a minor beneficiary resides provide information. In addition, in the case of that such a payment would grant a enlisted personnel, the Application for valid acquittance of the Government’s Dependents Allowance (BAQ [Basic Al- obligation to make a payment of death lowance for Quarters]), NAVPERS gratuity to or for a minor, a death gra- Form 668, may serve as a source of cor- tuity of more than $1,000 may not be roboration. He will, with the coopera- paid in whole or in part to a parent as tion of the disbursing officer, initiate natural guardian of a minor or to any preparation of a Claim Certification other person who is not a legal guard- and Voucher for Death Gratuity Pay- ian appointed by the civil court to ment, DD Form 397, in original and five manage the minor’s financial affairs. copies, completing blocks 5 through 14 [24 FR 7523, Sept. 18, 1959, as amended at 37 inclusive, and the administrative state- FR 6471, Mar. 30, 1972; 44 FR 25647, May 2, ment in block 18. The administrative 1979] statement in block 18 will be signed by the commanding officer or acting com- § 716.9 Erroneous payment. manding officer. Where through administrative mis- (2) The disbursing officer will, upon take of fact or law, payment of the receipt of the DD Form 397, draw a death gratuity is made to a person check to the order of the eligible survi- clearly not entitled thereto, and it is vor named in block 5, complete blocks equally clear that another person is en- 2, 3, 4, and the check payment data por- titled to the death gratuity, the Chief tion of block 18. of Naval Personnel (Pers–732) or the (3) Under arrangements made by the Commandant of the Marine Corps commanding officer, the check and the (Code MSPA–1), as appropriate, will original and one copy of the voucher, certify payment to the proper payee, DD Form 397, will be delivered to the irrespective of recovery of the erro- payee. The payee will be required to neous payment. On the other hand, complete block 15, sign in block 17a, where a payment of the death gratuity and have two witnesses complete block has been made to an individual on the 17 on the original voucher at the time basis of representations of record made

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by the deceased member as to his mari- guardianship must be provided for the tal and dependency status, and the protection of the decedent’s children, Government otherwise has no informa- or wherein a technicality exists which tion which would give rise to doubt makes immediate certification legally that such status is as represented, the unsound, will be considered question- payment is not to be regarded as ‘‘erro- able. neous.’’ The Government has a good ac- (3) Exception. Where the entitlement quittance in such cases even though it of the survivor who is living with the may subsequently develop that the deceased at the time of his death is payee is not the proper statutory payee questionable and such survivor is in of the gratuity and no second payment dire financial circumstances, the Chief is authorized. of Naval Personnel (Pers–G23) shall be requested by message to make an adju- [24 FR 7523, Sept. 18, 1959, as amended at 44 FR 25647, May 2, 1979] dication of entitlement. If it is determined that the survivor is entitled to the payment, the commanding officer Subpart B—Provisions Applicable will be authorized by message to exe- to the Navy cute DD Form 397. (b) Action by Casualty Assistance Calls § 716.10 Procedures. Program (CACP) officers; Potential bene- (a) Action by commanding officers. See ficiary not residing with member—(1) § 716.7(b)—(1) Immediate payment—Eligi- Widow(er). The CACP officer, on his or ble beneficiary residing with deceased her initial visit to a widow(er), deter- member. Commanding officers, in order mines, propriety permitting, whether to expedite the payment of the death there is an urgent need for financial as- gratuity, will, upon official notifica- sistance. If there is an urgent need for tion of death, ascertain the duty status financial assistance, the CACP officer of the deceased, and determine the eli- should obtain DD Form 397 from any gibility of the spouse or designated military disbursing office and, on his beneficiary who was residing with the or her second visit to the widow(er), deceased member on or near his duty have him or her sign it and obtain the station at the time of his death. The signatures of two witnesses on the services of a staff or district legal offi- form. It should be noted that the fol- cer will be utilized as required. Every lowing procedure is confined to cases in effort should be made to effect prompt which the decedent’s eligible survivor payment (within 24 hours, if possible). for the death gratuity is a widow(er), It is the intent that determinations of and efforts to effect immediate pay- entitlement by commands in the field ment in accordance with the intent of will be confined largely to spouses and the governing statute are appropriate. parents designated by the service mem- In such cases, the CACP officer, upon ber who were living with him at the learning that a widow(er), not residing time of his death. with his or her spouse at or near the (2) Questionable cases. If entitlement spouse’s duty station, is in urgent need to the death gratuity payment is ques- of financial assistance, shall advise the tionable after seeking advice of the Chief of Naval Personnel (Pers-732) of staff or district legal officer, such case the need by message. The CACP officer will be forwarded promptly to the Chief shall send a copy of this message to the of Naval Personnel (Pers–732) with a decedent’s duty station, if known. brief statement relative to the facts Upon receipt, the disbursing officer which raised the issue of doubt. Every will furnish the Navy Finance Center, effort will be made to expedite action Cleveland, Ohio 44199, with the dece- by a review of the official records of dent’s basic monthly pay [plus any spe- the decedent in the Bureau of Naval cial (see § 716.1), incentive, and pro- Personnel and the Family Allowance ficiency pay] in the event the pay ac- Activity at Cleveland, Ohio. Those count has not been forwarded pre- cases wherein the service member was viously to that center sufficiently in a deserter status, absent without early to have reached there. The CACP leave, or in the custody of civil au- officer shall also send a copy of his thorities at the time of death, wherein message to the Navy Finance Center

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with the request that payment of the cates the beneficiary eligible to receive death gratuity be made upon receipt of payment on the proper voucher (DD the certification of beneficiary entitle- Form 397). Otherwise the pay record ment from the Chief of Naval Person- will be sent to the Army Finance Cen- nel (Pers-732). ter, Air Force Finance Center, Com- (2) Navy Relief. In cases where there mandant of the Marine Corps (Code is immediate need prior to receipt of CDB), the Navy Finance Center, of the the death gratuity, the Navy Relief So- Commandant, U.S. Coast Guard, as ap- ciety will be contacted by the Casualty propriate. Assistance Calls Program officer. (c) Action by the Chief of Naval Person- [24 FR 7523, Sept. 18, 1959, as amended at 44 nel. (1) In all cases where death gratu- FR 25647, May 2, 1979; 45 FR 43165, June 26, 1980] ity is not authorized to be paid locally and in cases where authority exists to pay locally but entitlement is ques- Subpart C—Provisions Applicable tionable (see paragraph (a)(2) of this to the Marine Corps section), the Chief of Naval Personnel (Pers–732) will expedite adjudication of § 716.11 Procedures. claims. As indicated in paragraph (b)(1) (a) Action. Commanding officers will of this section CACP officers will refer direct immediate payment of the gra- cases of urgent financial need to the tuity where the deceased member’s Chief of Naval Personnel (Pers–732) by spouse was, in fact, residing with the message for action. member on or near the station of duty (2) If a minor is entitled to a death at the time of the member’s death gratuity under 10 U.S.C. 1477 not ex- while on active duty, active duty for ceeding $1,000, such death gratuity may training, or inactive-duty training. be paid to the father or mother as nat- Every effort should be made to effect ural guardian on behalf of the minor, such payment promptly (within 24 provided a legally appointed guardian hours, if possible). In cases where the has not been appointed, upon substan- eligible survivor residing with the tiation by a sworn (notarized) state- member on or near the duty station is ment of the natural guardian: other than a spouse, commanding offi- (i) That no legal guardian has been cers may direct the payment of death appointed and that such an appoint- gratuity when the case can be properly ment is not contemplated; determined, and an urgent need exists (ii) The relationship of the natural for immediate payment. Proper deter- guardian to the minor; mination is imperative. (iii) That the minor is in the actual (b) Qualifications. (1) Where any doubt custody of the natural guardian; exists as to the legal recipient of the (iv) That an amount paid to the natu- gratuity, the case will be referred to ral guardian will be held for, or applied the Commandant of the Marine Corps to, the use and benefit of the minor. (Code MSPA–1) for determination. If the death gratuity to which a minor is entitled exceeds $1,000, the appoint- [24 FR 7523, Sept. 18, 1959, as amended at 44 FR 25648, May 2, 1979] ment of a legal guardian on behalf of the minor is requested. Certification of the minor eligible to receive the death PART 718—MISSING PERSONS ACT gratuity is made by the Chief of Naval Personnel (Pers–732) and payment is ef- Sec. fected by the Navy Finance Center, 718.1 General provisions. Cleveland, OH 44199; 718.2 Allotments. (d) Cross-servicing procedure. Payment 718.3 Transportation of dependents. of the death gratuity may be made by 718.4 Delegations. a disbursing officer who is maintaining the pay record of a member of another § 718.1 General provisions. service, provided the command to (a) Under the provisions of the Miss- which the member is attached and ing Persons Act, as amended, a finding which maintains his service record is of presumptive death is made by the in the immediate vicinity and certifi- Secretary of the Navy when a survey of

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all available sources of information in- establish conclusively the fact of death dicates beyond doubt that the pre- and settlement of accounts is made to sumption of continuance of life has the date established as the date of re- been overcome. When a finding of pre- ceipt of evidence on which the fact of sumptive death is made, a man’s pay death is established. accounts are closed as of the day fol- (Sec. 301, 80 Stat. 379; 5 U.S.C. 301. Interpret lowing the expiration of the 12 months’ or apply 80 Stat. 112–117, 248–254; 5 U.S.C. absence or a longer period when justi- 5561–5568, 37 U.S.C. 551–558) fied, and the various benefits, such as [17 FR 5390, June 14, 1952] the six months’ gratuity, become payable. A finding of presumptive death § 718.2 Allotments. concerning an officer or enlisted man During such period as a person is in a of the Navy means simply that as of status of missing, missing in action, in- the date thereof he is for the purposes terned in a foreign country, captured of Naval administration no longer by a hostile force, beleaguered by a alive. It does not mean that death oc- hostile force, or besieged by a hostile curred on that or on any other certain force, allotments from his pay and al- date. lowances may be initiated, continued, (b) Findings of presumptive death are discontinued, increased, decreased, sus- never made when the ‘‘missing’’ status pended or resumed in behalf of his de- has not continued for at least 12 pendents and for such other purposes months. Whenever, subsequent to the as are justified by the circumstances expiration of the 12th month, cumu- and are in the interests of the person lative or other evidence establishes by or of the Government. its preponderance that a ‘‘missing’’ person is no longer alive, a prompt (R.S. 161, sec. 5031, 70A Stat. 278, as amended; finding of presumptive death will be 5 U.S.C. 22, 10 U.S.C. 5031, 50 U.S.C. App. 1013– made. Also, such a finding will be made 1015) whenever justified by the lapse of time [26 FR 12658, Dec. 29, 1961] beyond the 12 months’ absence without specific information being received. § 718.3 Transportation of dependents. (c) The Secretary of the Navy, or (a) Whenever a person in active serv- such subordinate as he may designate, ice is officially reported as dead, in- has authority to make all determina- jured, (Only when the anticipated pe- tions necessary in the administration riod of hospitalization or treatment is of the act, and for the purposes of the expected to be of prolonged duration as act determinations so made shall be shown by a statement of the command- conclusive as to death or finding or ing officer at the receiving hospital), death, as to any other status dealt with missing for a period of 29 days or more, by the act, and as to any essential date interned in a foreign country, or cap- including that upon which evidence or tured by a hostile force, his depend- information is received in the Depart- ents, household and personal effects in- ment. The determination of the Sec- cluding one privately owned motor ve- retary of the Navy, or of such subordi- hicle may be moved (including pack- nate as he may designate, is conclusive ing, crating, drayage, temporary stor- as to whether information received age, and unpacking of household and concerning any person is to be con- personal effects) to the official resi- strued and acted upon as an official re- dence of record for any such person or port of death. When any information to the residence of his dependent, next deemed to establish conclusively the of kin, or other person entitled to re- death of any person is received in the ceive custody of the effects in accord- department, action shall be taken ance with the provisions of paragraph thereon as an official report of death, (d) of this section; or, upon application notwithstanding any prior action relat- by such dependent, next of kin, heir or ing to death or other status of such legal representative, or other person person. Under the foregoing provisions determined in accordance with para- a determination of death is made prior graph (d) of this section, or upon the to the expiration of 12 months when person’s application if injured, to such the evidence received is considered to location as may have been determined

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in advance or as may be subsequently (1) If no duly appointed legal rep- approved, except that a reasonable re- resentative of the owner of the per- lationship must exist between the con- sonal effects makes demand upon the dition and circumstances of the de- Department of the Navy for the effects, pendents and the destination to which the determination by naval authorities transportation is requested. In the case as to the next of kin or heirs of the of a person in an injured status, trans- owner of the personal effects may be portation of his dependents or house- made on the basis of the following: hold and personal effects may be au- (i) Personnel records; or thorized only when the hospitalization (ii) Other documents applicable to or treatment of the injured person will the case; or be of prolonged duration. Payment in (iii) Title 10 U.S.C., section 2771, to money of amounts equal to such com- the extent that it prescribes an order mercial transportation costs or a mon- of precedence among next of kin or etary allowance in lieu of transpor- heirs, namely, the widow or widower of tation as authorized by law for the the owner; if no widow or widower, whole or such part of the travel for then the child or children of the owner which transportation in kind is not and descendants of deceased children, furnished, may be authorized, when by representation; if none of the above, such travel has been completed. the parents of the owner or the survi- (b) When the Secretary of the Navy vor of them; or if none of the above, or his designee determines that an other persons determined to be eligible emergency exists and that such sale under the laws of the domicile of the would be in the best interests of the owner. Government, he may provide for the (2) Such determination should be re- disposition of the motor vehicles and garded as administrative rather than other bulky items of such household legal, as the determination does not and personal effects of the person by vest title to effects or proceeds in the public or private sale. Prior to any next of kin, heirs, or legal representa- such sale, and if practicable, a reason- tive to whom the effects are delivered. able effort shall be made to determine Therefore, delivery of the personal ef- the desires of the interested persons. fects to other than the owner will be The net proceeds received from such made subject to the following advisory sale shall be transmitted to the owner, note which should be written on a copy next of kin, heir or legal representa- of the inventory or in a letter: tive, or other person determined in accordance with paragraph (d) of this sec- Delivery of the personal effects into the tion; but if there be no such persons or custody of other than the owner thereof, by the Department of the Navy, does not in any if such persons or their addresses are way vest title to the effects in the recipient. not ascertainable within one year from Delivery of the effects to the recipient is the date of sale, the net proceeds may made so that distribution may be made in be covered into the Treasury as mis- accordance with the laws of the state in cellaneous receipts. which the owner of the effects was legally (c) The Secretary of the Navy or his domiciled or to restore the effects to the designee is authorized to store the owner in the event of his return from a miss- household and personal effects of the ing status. person until such time as proper dis- (3) When it is impracticable to divide position can be made. The cost of such the personal effects of a person into storage and transportation, including equal shares, and two or more persons packing, crating, drayage, temporary within a class, as provided in 10 U.S.C. storage, and unpacking of household section 2771, are entitled to receive the and personal effects, will be charged effects but cannot agree among them- against appropriations currently avail- selves as to which one of them shall re- able. ceive the effects, then all of the effects (d) The following provisions apply to will be retained by either the Personal the determination of the ‘‘other per- Effects Distribution Center at Norfolk, son’’ or persons referred to in para- VA, or the Personal Effects Distribu- graphs (a) and (b) of this section who tion Center at Oakland, CA, for a pe- may receive the effects or proceeds. riod of two years from the date of

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death of the member. At the expiration AUTHORITY: 3 U.S.C. 301; 5 U.S.C. 301; 10 of the two-year period such effects will U.S.C. 815, 5013, 5148; 32 CFR 700.206 and be sold. 700.1202. (R.S. 161, sec. 5031, 70A Stat. 278, as amended; 5 U.S.C. 22, 10 U.S.C. 5031, 50 U.S.C. App. 1013– Subparts A–B [Reserved] 1015; Pub. L. 89–554, 80 Stat. 379 (5 U.S.C. 301) [26 FR 12659, Dec. 29, 1961, as amended at 37 Subpart C—Trial Matters FR 6472, Mar. 30, 1972; 44 FR 22456, Apr. 16, 1979] § 719.112 Authority to grant immunity from prosecution. § 718.4 Delegations. (a) General. In certain cases involving The Secretary of the Navy has dele- more than one participant, the inter- gated to the Director, Personal Serv- ests of justice may make it advisable ices Division, Bureau of Naval Person- to grant immunity, either trans- nel with respect to personnel in the actional or testimonial, to one or more Navy, and to the Head, Personal Af- of the participants in the offense in fairs Branch Manpower Department consideration for their testifying for (Code MSPA), United States Marine the Government or the defense in the Corps, with respect to personnel in the investigation and/or the trial of the Marine Corps, authority to make all principal offender. Transactional im- determinations to administer the act. munity, as that term is used in this (Pub. L. 89–554, 80 stat. 379 (5 U.S.C. 301)) section, shall mean immunity from [17 FR 5391, June 14, 1952, as amended at 19 prosecution for any offense or offenses FR 7959, Dec. 2, 1954; 44 FR 22456, Apr. 16, to which the compelled testimony re- 1979] lates. Testimonial immunity, as that term is used in this section, shall mean PART 719—REGULATIONS immunity from the use, in aid of future SUPPLEMENTING THE MANUAL prosecution, of testimony or other in- FOR COURTS-MARTIAL formation compelled under an order to testify (or any information directly or Subparts A–B [Reserved] indirectly derived from such testimony or other information). The authority to Subpart C—Trial Matters grant either transactional or testi- Sec. monial immunity to a witness is re- 719.112 Authority to grant immunity from served to officers exercising general prosecution. court-martial jurisdiction. This au- 719.113—719.114 [Reserved] thority may be exercised in any case 719.115 Release of information pertaining to whether or not formal charges have accused persons; spectators at judicial been preferred and whether or not the sessions. matter has been referred for trial. The Subpart D—[Reserved] approval of the Attorney General of the United States on certain orders to Subpart E—Miscellaneous Matters testify may be required, as outlined below. 719.138 Fees of civilian witnesses. (b) Procedure. The written rec- 719.139—719.141 [Reserved] ommendation that a certain witness be 719.142 Suspension of counsel. 719.143 Petition for new trial under 10 U.S.C. granted either transactional or testi- 873. monial immunity in consideration for 719.144 Application for relief under 10 U.S.C. testimony deemed essential to the Gov- 869, in cases which have been finally re- ernment or to the defense shall be for- viewed. warded to an officer competent to con- 719.145—719.150 [Reserved] vene a general court-martial for the 719.151 Furnishing of advice and counsel to witness for whom immunity is re- accused placed in pretrial confinement. 719.155 Application under 10 U.S.C. 874(b) for quested, i.e., any officer exercising gen- the substitution of an administrative eral court-martial jurisdiction. Such form of discharge for a punitive dis- recommendation will be forwarded by charge or dismissal. the trial counsel or defense counsel in

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cases referred for trial, the pretrial in- eral regarding relations between the vestigating officer conducting an in- Departments of Defense and Justice. vestigation upon preferred charges, the The cognizant officer exercising gen- counsel or recorder of any other fact- eral court-martial jurisdiction may ob- finding body, or the investigator when tain approval by the Attorney General no charges have yet been preferred. of a proposed grant of immunity by di- The recommendation shall state in de- recting a letter requesting the assist- tail why the testimony of the witness ance of the Judge Advocate General is deemed so essential or material that (Code 20) in the form prescribed in the interests of justice cannot be paragraph (e) of this section. served without the grant of immunity. (e) Content of immunity requests. In all The officer exercising general court- cases in which approval of the Attor- martial jurisdiction shall act upon ney General of the United States is re- such request after referring it to his quired prior to the issuance of a grant staff judge advocate for consideration of immunity, whether under paragraph and advice. If approved, a copy of the (c) or (d) of this section, the cognizant written grant of immunity must be officer exercising general court-martial served upon the accused or his defense jurisdiction shall forward by message counsel within a reasonable time be- or letter the proposed order to testify fore the witness testifies. Additionally, and grant of immunity to the Judge if any witness is expected to testify in Advocate General (Code 20). The order response to a promise of leniency, the to testify should be substantially in terms of the promise of leniency must the form set forth in appendix A-1-i(3) be reduced to writing and served upon of the Manual of the Judge Advocate the accused or his defense counsel in General. Requests for assistance shall the same manner as a grant of immu- be in writing, should allow at least nity. three weeks for consideration, and (c) Civilian witnesses. Pursuant to 18 must contain the following informa- U.S.C. 6002 and 6004, if the testimony or tion: other information of a civilian witness (1) Name, citation, or other identify- at a court-martial may be necessary in ing information of the proceeding in the public interest, and if the civilian which the order is to be used. witness has refused or is likely to (2) Name of the witness for whom the refuse to testify or provide other infor- immunity is requested. mation on the basis of a privilege (3) Name of the employer or company against self-incrimination, then the ap- with which a witness is associated or proval of the Attorney General of the the military unit or organization to United States, or his designee, must be which a witness is assigned. obtained prior to the execution or issu- (4) Date and place of birth, if known, ance of an order to testify to such ci- of the witness. vilian witness. The cognizant officer (5) FBI or local police file number, if exercising general court-martial juris- any, and if known. diction may obtain the approval of the (6) Whether any State or Federal Attorney General in such a cir- charges are pending against the wit- cumstance by directing a message or ness and the nature of the charges. letter requesting the assistance of the Judge Advocate General (Code 20) in (7) Whether the witness is currently the form prescribed in paragraph (e) of incarcerated, under what conditions, this section. and for what length of time. (d) Cases involving national security. In (8) A brief resume of the background all cases involving national security or of the investigation or proceeding be- foreign relations of the United States, fore the agency or department. the cognizant officer exercising general (9) A concise statement of the rea- court-martial jurisdiction shall for- sons for the request, including: ward any proposed grant of immunity (i) What testimony the witness is ex- to the Judge Advocate General for the pected to give; purpose of consultation with the De- (ii) How this testimony will serve the partment of Justice. See section 0126 of public interest; the Manual of the Judge Advocate Gen- (iii) Whether the witness:

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(A) Has invoked the privilege against be so disqualified under those cir- self-incrimination; or cumstances. (B) Is likely to invoke the privilege; (h) Form of grant. In any case in (iv) If paragraph (e)(9)(iii)(B) of this which a military witness is granted section is applicable, then why it is an- transactional immunity, the general ticipated that the prospective witness court-martial convening authority will invoke the privilege. should execute a written grant, sub- (10) An estimate as to whether the stantially in the form set forth in ap- witness is likely to testify in the event pendix section A-1-i(1) of the Manual of immunity is granted. the Judge Advocate General. In any (f) Post-testimony procedure. After a case in which a military witness is witness immunized in accordance with granted testimonial immunity, the paragraphs (c) and (d) of this section general court-martial convening au- has testified, the following information thority should execute a written grant should be provided to the United States substantially in the form set forth in Department of Justice, Criminal Divi- appendix section A-1-i(2) of the Manual sion, Immunity Unit, Washington, DC of the Judge Advocate General. 20530, via the Judge Advocate General [56 FR 57803, Nov. 14, 1991] (Code 20). (1) Name, citation, or other identify- §§ 719.113—719.114 [Reserved] ing information, of the proceeding in which the order was requested. § 719.115 Release of information per- (2) Date of the examination of the taining to accused persons; spec- witness. tators at judicial sessions. (3) Name and residence address of the (a) Release of information—(1) General. witness. There are valid reasons for making in- (4) Whether the witness invoked the formation available to the public con- privilege. cerning the administration of military (5) Whether the immunity order was justice. The task of striking a fair bal- used. ance among the protection of individ- (6) Whether the witness testified pur- uals accused of offenses, improper or suant to the order. unwarranted publicity pertaining to (7) If the witness refused to comply their cases, public understanding of the with the order, whether contempt pro- problems of controlling misconduct in ceedings were instituted, or are con- the military service, and the workings templated, and the result of the con- of military justice requires the exer- tempt proceeding, if concluded. A ver- cise of sound judgment by those re- batim transcript of the witness’ testi- sponsible for administering military mony, authenticated by the military justice and by representatives of the judge, should be provided to the Judge press and other news media. At the Advocate General at the conclusion of heart of all guidelines pertaining to the the trial. No testimony or other infor- furnishing of information concerning mation given by a civilian witness pur- an accused or the allegations against suant to such an order to testify (or him is the mandate that no statements any information directly or indirectly or other information shall be furnished derived from such testimony or other to news media for the purpose of influ- information) may be used against him encing the outcome of an accused’s in any criminal case, except a prosecu- trial, or which could reasonably be ex- tion for perjury, giving a false state- pected to have such an effect. ment, or otherwise failing to comply (2) Applicability of regulations. These with the order. regulations apply to all persons who (g) Review. Under some cir- may obtain information as the result cumstances, the officer granting im- of duties performed in connection with munity to a witness may be disquali- the processing of accused persons, the fied from taking reviewing action on investigation of suspected offenses, the the record of the trial before which the imposition of nonjudicial punishment, witness granted immunity testified. A or the trial of persons by court-mar- successor in command not participat- tial. These regulations are applicable ing in the grant of immunity would not from the time of apprehension, the

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preferral of charges, or the commence- place of apprehension, resistance, pur- ment of an investigation directed to suit, and use of weapons. make recommendations concerning (vi) The type and place of custody, if disciplinary action, until the imposi- any. tion of nonjudicial punishment, com- (vii) Information which has become a pletion of trial (court-martial sessions) part of the record of proceedings of the or disposition of the case without trial. court-martial in open session. These regulations also prescribe guide- (viii) The scheduling of any stage in lines for the release or dissemination the judicial process. of information to public news agencies, (ix) The denial by the accused of any to other public news media, or to other offense or offenses of which he may be persons or agencies for unofficial pur- accused or suspected (when release of poses. such information is approved by the (3) Release of information. (i) As a gen- counsel of the accused). eral matter, release of information per- (5) Prohibited information. The follow- taining to accused persons should not ing information concerning a person be initiated by persons in the naval accused or suspected of an offense or service. Information of this nature offenses generally may not be released, should be released only upon specific except as provided in paragraph (a)(6) request therefor, and, subject to the of this section. following guidelines, should not exceed (i) Subjective opinions, observations, the scope of the inquiry concerned. or comments concerning the accused’s (ii) Except in unusual circumstances, character, demeanor at any time (ex- information which is subject to release cept as authorized in paragraph (4)(v) under the regulation should be released of this section), or guilt of the offense by the cognizant public affairs officer; or offenses involved. requests for information received from (ii) The prior criminal record (includ- representatives of news media should ing other apprehensions, charges or be referred to the public affairs office trials) or the character or reputation of for action. When an individual is sus- the accused. pected or accused of an offense, care should be taken to indicate that the in- (iii) The existence or contents of any dividual is alleged to have committed confession, admission, statement, or or is suspected or accused of having alibi given by the accused, or the re- committed an offense, as distinguished fusal or failure of the accused to make from stating or implying that the ac- any statement. cused has committed the offense or of- (iv) The performance of any examina- fenses. tion or test, such as polygraph exami- (4) Information subject to release. On nations, chemical tests, ballistics inquiry, the following information contests, etc., or the refusal or the failure cerning a person accused or suspected of the accused to submit to an exam- of an offense or offenses may generally ination or test. be released except as provided in para- (v) The identity, testimony, or credi- graph (6) of this section: bility of possible witnesses, except as (i) The accused’s name, grade, age, authorized in paragraph (4)(iii), of this unit, regularly assigned duties, duty section. station, and sex. (vi) The possibility of a plea of guilty (ii) The substance of the offenses of to any offense charged or to a lesser of- which the individual is accused or sus- fense and any negotiation or any offer pected. to negotiate respecting a plea of guilty. (iii) The identity of the victim of any (vii) References to confidential alleged or suspected offense, except the sources or investigative techniques or victim of a sexual offense. procedures. (iv) The identity of the apprehending (viii) Any other matter when there is and investigative agency, and the iden- a reasonable likelihood that the dis- tity of accused’s counsel, if any. semination of such matter will affect (v) The factual circumstances imme- the deliberations of an investigative diately surrounding the apprehension body or the findings or sentence of a of the accused, including the time and court-martial or otherwise prejudice

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the due administration of military jus- Judge Advocate General, the presiding tice either before, during, or after trial. officer, upon motion of the Govern- (6) Exceptional cases. The provisions ment or the defense or upon his mo- of this section are not intended to re- tion, may direct that all or part of the strict the release of information de- hearing be held in closed session and signed to enlist public assistance in ap- that all persons not connected with the prehending an accused or suspect who hearing be excluded therefrom. The de- is a fugitive from justice or to warn the cision to exclude spectators shall be public of any danger that a fugitive ac- based on the ground that dissemination cused or suspect may present. Further, of evidence, information, or argument since the purpose of this section is to presented at the hearing may disclose prescribe generally applicable guide- matters that will be inadmissible in lines, there may be exceptional cir- evidence at a subsequent trial by cumstances which warrant the release court-martial and is therefore likely to of information prohibited under para- interfere with the right of the accused graph (a)(5) of this section or the non- to a fair trial by an impartial tribunal. release of information permitted under [38 FR 5997, Mar. 6, 1973, as amended at 47 FR paragraph (a)(4) of this section. Atten- 49644, Nov. 2, 1982; 50 FR 23800, June 6, 1985] tion should be given to the Secretary of the Navy instructions implementing the Freedom of Information Act Subpart D—[Reserved] (5720.42 series) and the Privacy Act (5211.5C series). Consultation with the Subpart E—Miscellaneous Matters command judge advocate, if one is assigned, or with the cognizant Naval § 719.138 Fees of civilian witnesses. Legal Service Office concerning inter- (a)Method of Payment. The fees and pretation and application of these in- mileage of a civilian witness shall be structions is encouraged. paid by the disbursing officer of the (b) Spectators. (1) The sessions of command of a convening authority or courts-martial shall be open to the appointing authority or by the disburs- public, which includes members of both ing officer at or near the place where the military and civilian communities. the tribunal sits or where a deposition In order to maintain the dignity and is taken when such disbursing officer is decorum of the proceedings or for other presented a properly completed public good cause, the military judge may voucher for such fees and mileage, reasonably limit the number of spec- signed by the witness and certified by tators in, and the means of access to, one of the following: the courtroom, exclude specific persons (1) Trial counsel or assistant trial from the courtroom, and close a ses- counsel of the court-martial; sion. Video and audio recording and (2) Summary court officer; taking of photographs, except for the (3) Counsel for the court in a court of purpose of preparing the record of trial, inquiry; in the courtroom during the proceed- (4) Recorder or junior member of a ings and radio or television broadcast- board to redress injuries to property, ing of proceedings from the courtroom or shall not be permitted. The military (5) Military or civil officer before judge may, as a matter of discretion, whom a deposition is taken. permit contemporaneous closed–circuit The public voucher must be accom- video or audio transmission to permit panied by a subpoena or invitational viewing or hearing by an accused re- orders (Joint Travel Regulations, vol. moved from the courtroom or by spec- 2, chap. 6), and by a certified copy of tators when courtroom facilities are the order appointing the court-martial, inadequate to accommodate a reason- court of inquiry, or investigation. If, able number of spectators. however, a deposition is taken before (2) At pretrial hearings. In any pre- charges are referred for trial, the fees liminary hearing, including a hearing and mileage of the witness concerned conducted pursuant to 10 U.S.C. 832 or shall be paid by the disbursing officer a court of inquiry or investigation con- at or near the place where the deposi- ducted pursuant to the Manual of the tion is taken upon presentation of a

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public voucher, properly completed as quest at any time during the period of hereinbefore prescribed, and accom- attendance. The disbursing officer will panied by an order from the officer who make such interim payment(s) upon re- authorized the taking of the deposi- ceipt of properly executed certifi- tion, subscribed by him and directing cate(s). Upon his discharge from at- the disbursing officer to pay to the wit- tendance, the witness will be paid, ness the fees and mileage supported by upon the execution of a certificate, a the public voucher. When the civilian final amount covering unpaid fees and witness testifies outside the United travel, including an amount for return States, its territories and possessions, travel. Payment for return travel will the public voucher must be accom- be made upon the basis of the actual panied by a certified copy of the order fees and mileage allowed for travel to appointing the court-martial, court of the court, or place designated for tak- inquiry, or investigation, and by an ing a deposition. order from the convening authority or (f) Computation. Travel expenses shall appointing authority, subscribed by be determined on the basis of the him and directing the disbursing offi- shortest usually traveled route in ac- cer to pay to the witness the fees and cordance with official schedules. Rea- mileage supported by the public vouch- sonable allowance will be made for un- er. avoidable detention. (b)Obtaining money for advance tender (g) Nontransferability of accounts. Ac- or payment. Upon written request by counts of civilian witnesses may not be one of the officers listed in paragraph transferred or assigned. (a) of this section, the disbursing offi- (h) Signatures. Signatures of wit- cer under the command of the conven- nesses signed by mark must be wit- ing or appointing authority, or the dis- nessed by two persons. bursing officer nearest the place where (i) Rates for civilian witnesses pre- the witness is found, will, at once, pro- scribed by law—(1) Civilian witnesses not vide any of the persons listed in para- in Government employ. A civilian not in graph (a) of this section, or any other Government employ, who is compelled officer or person designated for the or required to testify as a witness be- purpose, the required amount of money fore a Naval tribunal at a specified to be tendered or paid to the witness place or to appear at a place where his for mileage and fees for one day of at- deposition is to be taken for use before tendance. The person so receiving the a court or fact-finding body, will re- money for the purpose named shall fur- ceive fees, subsistence, and mileage as nish the disbursing officer concerned provided in 28 U.S.C. 1821. Witness and with a proper receipt. subsistence fees are not prorated. In- (c) Reimbursement. If an officer stead any fractional part of a calendar charged with serving a subpoena pays day expended in attendance or qualify- from his personal funds the necessary ing for subsistence entitles the witness fees and mileage to a witness, taking a to payment for a full day. Further, receipt therefor, he is entitled to reim- nothing in this paragraph shall be con- bursement upon submitting to the dis- strued as authorizing the payment of bursing officer such receipt, together attendance fees to witnesses for: with a certificate of the appropriate (i) Attendance or travel which is not person named in paragraph (a) of this performed either as a direct result of section, to the effect that the payment being compelled to testify pursuant to was necessary. a subpoena or as a direct result of invi- (d) Certificate of person before whom tational orders; or deposition is taken. The certificate of (ii) For travel which is performed the person named in paragraph (a) of prior to being duly summoned as a wit- this section, before whom the witness ness; or gave his deposition, will be evidence of (iii) For travel returning to their the fact and period of attendance of the places of residence if the travel from witness and the place from which sum- their places of residence does not qual- moned. ify for payment under this paragraph. (e) Payment of accrued fees. The wit- (2) Civilian witnesses in Government ness may be paid accrued fees at his re- employ. When summoned as a witness, a

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civilian in the employ of the Govern- certified copy of the authorization of ment shall be paid as authorized by the convening authority. Joint Travel Regulations. (l) Payment of witness fees to foreign (j) Supplemental construction of sec- nationals: Officers exercising general tion. Nothing in this paragraph shall be court-martial jurisdiction in areas construed as permitting or requiring other than a State of the United States the payment of fees to those witnesses shall establish rates of compensation not requested or whose testimony is for payment of foreign nationals who determined not to meet the standards testify as witnesses, including expert of relevancy and materiality set forth witnesses, at courts-martial convened in accordance with MCM, 1984, R.C.M. in such areas. 703. [38 FR 5997, Mar 6, 1973, as amended at 47 FR (k)Expert witnesses (1) The convening 49644, Nov. 2, 1982; 50 FR 23801, June 6, 1985] authority will authorize the employment of an expert witness and will fix §§ 719.139—719.141 [Reserved] the limit of compensation to be paid such expert on the basis of the normal § 719.142 Suspension of counsel. compensation paid by United States at- (a) Report of Allegations of Misconduct torneys for attendance of a witness of or Disability. When information comes such standing in United States courts to the attention of a member of a in the area involved. Information con- court-martial, a military judge, trial cerning such normal compensation or defense counsel, staff judge advo- may be obtained from the nearest offi- cate, member of the Navy-Marine cer exercising general court–martial Corps Court of Military Review or jurisdiction having a judge advocate other directly interested or concerned assigned in other than an additional party that a judge advocate or civilian duty, temporary duty, or temporary who is acting or is about to act as additional duty capacity. Convening counsel before a proceeding conducted authorities at overseas commands will under the UCMJ or MCM is or has been adhere to fees paid such witnesses in unable to discharge properly all the du- the Hawaiian area and may obtain in- ties of his or her position by reason of formation as to the limit of such fees mental or physical disability or has from the Commander, Naval Base, been engaged in professional or per- Pearl Harbor. See paragraph (l) of this sonal misconduct of such a serious na- section for fees payable to foreign nature as to demonstrate that he or she is tionals. lacking in integrity or is failing to (2) The provisions of paragraph (i) of meet the ethical standards of the pro- this section are applicable to expert fession or is otherwise unworthy or un- witnesses. However, the expert witness qualified to perform the duties of a fee prescribed by the convening author- judge advocate or attorney, such infor- ity will be paid in lieu of ordinary at- mation should be reported to the com- tendance fees on those days the witness manding officer of that judge advocate is required to attend the court. or, in the case of civilian counsel, to (3) An expert witness employed in the officer exercising general court- strict accordance with MCM, 1984, martial jurisdiction over the command R.C.M. 703(d), may be paid compensa- convening the proceedings or to the tion at the rate prescribed in advance Judge Advocate General. by the official empowered to authorize (b) Form of Report. The report shall: his employment (11 Comp. Gen. 504). In (1) Be in writing, under oath or affir- the absence of such authorization, no mation, and made and signed by the in- fees other than ordinary witness fees dividual reporting the information. may be paid for the employment of an (2) State that the individual report- individual as an expert witness. After ing the information has personal an expert witness has testified pursu- knowledge or belief or has otherwise ant to such employment, the certifi- received reliable information indicat- cate of one of the officers listed in sub- ing that: section a above, when presented to the (i) The counsel is, or has been, unable disbursing officer, shall also enclose a to discharge properly all the duties of

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his or her office by reason of mental or the officer exercising general court- physical disability; or martial convening authority: (ii) The counsel is or has been en- (A) May take the action authorized gaged in professional or personal mis- by subsections (c)(1)(i), (ii) or (iii); or conduct of such a serious nature as to (B) Shall, if he or she considers that demonstrate that he or she is lacking evidence of disability or professional or in integrity or is failing to meet the personal misconduct exists and that ethical standards of the profession; or other remedial measures short of sus- (iii) The counsel is unworthy or un- pension or decertification are not ap- qualified to perform his or her duties; propriate or will not be effective, ap- (3) Set forth the grounds of the alle- point a board of officers to investigate gation together with all relevant facts; the matter and to report its findings and and its recommendations. This board (4) Be forwarded to the appropriate authority as set forth in paragraph (a). shall be comprised of at least three of- (c) Consideration of the Report—(1) Ac- ficers, each an Article 27(b), Uniform tion by the Commanding Officer of a Code of Military Justice, certified judge advocate. Upon receipt of the re- judge advocate. If practicable, each of port, the commanding officer: the officers of the board should be sen- (i) Shall dismiss any report relating ior to the judge advocate under inves- to the performance of a judge advocate tigation. If the counsel is a member of more properly appealed under law or the Marine Corps, a majority of the any report that is frivolous, unfounded, members of the board should be Marine or vague and return it to the reporting Corps judge advocates. The senior offi- individual; cer of the board shall cause notice to (ii) May make further inquiry into be given to the counsel, judge advocate the report at his or her discretion to or civilian (respondent), informing him determine the merits of the report. The or her of the misconduct or other dis- commanding officer may appoint an of- qualification alleged and affording him ficer to investigate informally the alle- or her the opportunity to appear before gations of the report to determine the board for a hearing. The respondent whether further action is warranted. shall be permitted at least ten (10) Any officer so appointed should be a days’ notice prior to the hearing. Fail- judge advocate senior in rank to the ure to appear on a set date after notice judge advocate being investigated; shall constitute waiver of appearance, (iii) May take appropriate action to absent good cause shown. The respond- address and dispose of the matter being ent shall be generally afforded the mindful of such measures as warning, rights of a party as set out in section counseling, caution, instruction, pro- 0304 of this Manual, except that, in the ceedings in contempt, therapy, and event the judge advocate respondent other punitive or administrative ac- wishes to have military counsel ap- tion; or pointed, he or she shall not have the (iv) Shall, if the commanding officer right to select or identify a particular is of the opinion that evidence of dis- military counsel. A civilian respondent ability or professional or personal misconduct exists, and that remedial may not be represented by military measures short of suspension or decer- counsel, but may be represented by ci- tification are not appropriate or will vilian counsel at no expense to the not be effective, forward the original Government. Upon ascertaining the complaint, a written report of the in- relevant facts after notice and hearing, quiry or investigation, all other rel- a written report of the findings and evant information, and his or her com- recommendations of the board shall be ments and recommendations to the of- made to the officer who convened the ficer in the chain of command exercis- board. In all cases, a written copy of ing general court-martial authority. the board’s findings and recommenda- (2) Action by Officer Exercising General tions shall be provided to the respond- Court-Martial Authority. (i) Upon re- ent. The respondent shall be given an ceipt of a report of an allegation of opportunity to comment on the report misconduct or disability of a counsel, in writing.

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(ii) Upon receipt of the report of the fice by reason of mental or physical board of investigation, the officer exer- disability or has been engaged in pro- cising general court-martial authority fessional or personal misconduct of shall: such a serious nature as to dem- (A) Return the report to the board for onstrate that he or she is lacking in in- further investigation, if the investiga- tegrity or is failing to meet the ethical tion is determined to be incomplete; or standards of the profession or is other- (B) Forward the report of the board wise unworthy or unqualified to per- of investigation to the Judge Advocate form the duties of a counsel Action to General together with comments and suspend or decertify should not be ini- recommendations concerning suspen- tiated because of personal prejudice or sion of the counsel involved. hostility toward counsel, nor should (3) Action by the Judge Advocate Gen- such action be initiated because coun- eral. (i) Upon receipt of a report of an sel has initiated an aggressive, zealous allegation of misconduct or disability or novel defense, or the apparent mis- of a counsel, the Judge Advocate Gen- conduct stems from inexperience or eral: lack of instruction. (A) May take the action authorized (2) Specific grounds for suspension or by subsections (c)(1)(i), (ii), or (iii); decertification include, but are not (B) May appoint a board of officers limited to, the following: for investigation and hearing in ac- (i) Demonstrated incompetence while cordance with subsections (c)(2)(i)(B) acting as counsel before, during or or after a court-martial. (C) May request the officer exercising (ii) Preventing or obstructing justice, general court-martial jurisdiction over including the deliberate use of frivo- the command of the respondent (if lous or unwarranted dilatory tactics. judge advocate counsel) or over the (iii) Fabricating papers or other evi- proceedings (if civilian counsel) to take dence. the matter for investigation and hear- (iv) Tampering with a witness. ing in accordance with subsection (v) Abusive conduct toward the (c)(2)(i)(B). court-martial, the Navy-Marine Corps (ii) Upon receipt of the report of the Court of Military Review, the military investigating board, the Judge Advo- judge, or opposing counsel. cate General: (vi) Flagrant or repeated violations (A) May determine whether the re- of any specific rules of conduct pre- spondent is to be suspended or decerti- scribed for counsel in the Manual for fied and, if so, whether for a stated Courts-Martial. term or indefinitely; (vii) Conviction of an offense involv- (B) May determine that the findings ing moral turpitude or conviction for of the board do not warrant further ac- violation of article 48, UCMJ. tion; or (viii) Disbarment by a State Bar, (C) May return the report to the Federal Court, or the United States sending officer with appropriate in- Court of Military Appeals. structions for further inquiry or ac- (ix) Suspension as counsel by the tion. The Judge Advocate General may, Judge Advocate General of the Navy, sua sponte, or upon petition of the re- Army, or Air Force or the General spondent, modify or revoke any prior Counsel of the Department of Trans- order of suspension or dismissal of a re- portation. port. Further, if the Judge Advocate (x) Flagrant or repeated violations of General suspends counsel, the Judge the Uniform Rules of Practice Before Advocates General of the other armed Navy-Marine Corps Courts-Martial as forces will be notified. outlined in Appendix A–1-p(1) of the (d) Grounds justifying suspension of Manual of the Judge Advocate General. counsel or suspension or decertification of (xi) Flagrant or repeated violations a Judge Advocate. (1) Suspension or de- of the provisions of section 0134 of this certification is to be employed only Manual of the Judge Advocate General after it has been established that a dealing with the Release of Information counsel has been unable to discharge Pertaining to Accused Persons; Spectators properly all the duties of his or her of- at Judicial Sessions.

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(xii) Failure to meet the rules set or affirmation by the accused, by a per- forth in the ABA Code of Professional son possessing the power of attorney of Responsibility and the ABA Standards the accused for that purpose, or by a on Fair Trial and Free Press and The person with the authorization of an ap- Prosecution Function and the Defense propriate court to sign the petition as Function. In view of the unique mission the representative of the accused. The and personal requirements of the mili- petition shall contain the following in- tary, many of the rules and principles formation, or an explanation why such of the ABA Code or Standards are not matters are not included: applicable to the military lawyer. Ac- (1) The name, service number, and cordingly, the rules are to be used as a current address of the accused; guide only, and a failure to comply (2) The date and location of the trial; with the specific wording of a rule is (3) The type of court-martial and the not to be construed as a violation of title or position of the convening au- the rule where common sense would in- thority; dicate to a reasonable person that (4) The request for the new trial; there is a distinction between the civil- (5) The sentence or a description ian context, which the codes were thereof as approved or affirmed, with drafted to embrace, and the unique any later reduction thereof by clem- concerns of the military setting, where the codes serve as a general guide. ency or otherwise, (6) A brief description of any finding [50 FR 23801, June 6, 1985] or sentence believed to be unjust; (7) A full statement of the newly dis- § 719.143 Petition for new trial under 10 U.S.C. 873. covered evidence or fraud on the court- martial which is relied upon for the (a) Statutory provisions. 10 U.S.C. 873, remedy sought; provides, ‘‘At any time within 2 years (8) Affidavits pertinent to the mat- after approval by the convening au- ters in subsection (6)i; and thority of a court-martial sentence, (9) Affidavit of each person whom the the accused may petition the Judge accused expects to present as a witness Advocate General for a new trial on the in the event of a new trial. Each affida- grounds of newly discovered evidence vit should set forth briefly the relevant or fraud on the court. If the accused’s facts within the personal knowledge of case is pending before a Court of Mili- tary Review or before the Court of the witness. Military Appeals, that Judge Advocate (d) Who may act on petition. If the General shall refer the petition to the accused’s case is pending before a appropriate court for action. Otherwise Court of Military Review or the Court the Judge Advocate General shall act of Military Appeals, the Judge Advo- upon the petition.’’ cate General shall refer the petition to (b) Submission Procedures: At any the appropriate court for action. Other- time within 2 years after approval by wise, the Judge Advocate shall act on the convening authority of a court- the petition. martial sentence, the accused may pe- (e) Ground for New Trial. A new trial tition the Judge Advocate General for may be granted only on grounds of a new trial on the ground of newly dis- newly discovered evidence or fraud on covered evidence or fraud on the court- the court-martial. martial. The petition for new trial may (1) A new trial shall not be granted be submitted by the accused person- on the grounds of newly discovered evi- ally, or by accused’s counsel, regard- dence unless the petition shows that; less of whether the accused has been (i) The evidence was discovered after separated from the service. A petition the trial, may not be submitted after the death (ii) The evidence is not such that it of the accused. would have been discovered by the peti- (c) Contents of petitions: The form and tioner at the time of trial in the exer- contents of petitions for new trial are cise of due diligence; and specified in MCM, 1984, R.C.M. 1210(c). (iii) The newly discovered evidence, if The petition for a new trial shall be considered by a court-martial in the written and shall be signed under oath light of all other pertinent evidence,

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would probably produce a substantially of the Judge Advocate General by the more favorable result for the accused. accused on or before the last day of the (2) No fraud on the court-martial two-year period beginning on the date warrants a new trial unless it had a the sentence is approved under section substantial contributing effect on a 860(c) of this title (article 60(c)), unless finding of guilty or the sentence ad- the accused establishes good cause for judged. failure to file within that time.’’ (f) Action on the petition. (1) The au- (b) Time Limitations. In order to be thority considering the petition may considered by the Judge Advocate Gen- cause such additional investigation to eral, an application for relief must be be made and such additional informa- placed in military channels if the ap- tion to be secured as that authority be- plicant is on active duty, or be depos- lieves appropriate. Upon written re- ited in the mail if the applicant is no quest, and in his discretion, the au- longer on active duty, on or before the thority considering the petition may last day of the two-year period begin- permit oral argument on the matter. ning on the date the sentence is ap- (2) When a petition is considered by proved by the convening authority. An the Judge Advocate General, any hear- application not filed in compliance ing may be before the Judge Advocate with these time limits may be consid- General or before an officer or officers ered if the Judge Advocate General de- designated by the Judge Advocate Gen- termines, in his or her sole discretion, eral. (3) If the Judge Advocate General be- that ‘‘good cause’’ for failure to file lieves meritorious grounds for relief within the time limits has been estab- under Article 74, Uniform Code of Mili- lished by the applicant. tary Justice have been established but (c) Submission procedures. Applica- that a new trial is not appropriate, the tions for relief may be submitted to the Judge Advocate General may act under Judge Advocate General by letter. If article 74, Uniform Code of Military the accused is on active duty, the ap- Justice, if authorized, or transmit the plication shall be submitted via the ap- petition and related papers to the Sec- plicant’s commanding officer, and the retary concerned with a recommenda- command that convened the court, and tion. the command that reviewed the case (4) The Judge Advocate may also, in under 10 U.S.C. 864(a) or (b). If the cases which have been finally reviewed original record of trail is held by the but have not been reviewed by a Court command that reviewed the case under of Military Review, act under article 10 U.S.C. 864(a) or (b), it shall be for- 69, Uniform Code of Military Justice. warded as a enclosure to the endorsement. If the original record of trial has [50 FR 23803, June 6, 1985] been filed in the National Personnel § 719.144 Application for relief under Records Center, the endorsement will 10 U.S.C. 869, in cases which have include all necessary retrieval data been finally reviewed. (accession number, box number, and (a) Statutory provisions. 10 U.S.C. 869 shelf location) obtained from the re- provides in pertinent part, ‘‘The find- ceipt returned from the National Per- ings or sentence, or both, in a court- sonnel Records Center to the sending martial case not reviewed under sub- activity. This endorsement shall also section (a) or under section 866 of this include information and specific com- title (article 66) may be modified or set ment on the grounds for relief asserted aside, in whole or in part, by the Judge in the application, and an opinion on Advocate General on the ground of the merits of the application. If the ap- newly discovered evidence, fraud on the plicant is no longer on active duty, the court, lack of jurisdiction over the ac- application may be submitted directly cused or the offense, error prejudicial to the Judge Advocate General. to the substantial rights of the ac- (d) Contents of applications. All appli- cused, or the appropriateness of the cations for relief shall contain: sentence. If such a case is considered (1) Full name of the applicant; upon application of the accused, the (2) Social Security number and application must be filed in the Office branch of service, if any;

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(3) Present grade if on active duty or cant’s spouse, next of kin, executor, retired, or ‘‘civilian’’ or ‘‘deceased’’ as guardian or other person with a proper applicable; interest in the matter. In this regard, (4) Address at time the application is one is considered incapable of making forwarded; application for purposes of this section (5) Date of trial; when unable to sign the application (6) Place of trial; under oath due to physical or mental (7) Command title of the organization incapacity. at which the court-martial was convened (convening authority); [50 FR 23804, June 6, 1985] (8) Command title of the officer exer- §§ 719.145—719.150 [Reserved] cising review authority in accordance with 10 U.S.C. 864 over the applicant at § 719.151 Furnishing of advice and the time of trial, if applicable; counsel to accused placed in pre- (9) Type of court-martial which con- trial confinement. victed the applicant, and sentence ad- The Department of the Navy Correc- judged; tions Manual, SECNAVINST 1640.9, re- (10) General grounds for relief which iterates the requirement of Article 10, must be one or more of the following: UCMJ, that, when a person is placed in (i) Newly discovered evidence; pretrial confinement, immediate steps (ii) Fraud on the court; should be taken to inform the confinee (iii) Lack of jurisdiction over the ac- of the specific wrong of which he is accused or the offense; cused and try him or to dismiss the (iv) Error prejudicial to the substan- charges and release him. The Correc- tial rights of the accused; tions Manual requires that this infor- (v) Appropriateness of the sentence; mation normally will be provided with- (11) An elaboration of the specific in 48 hours along with advice as to the prejudice resulting from any error confinee’s right to consult with lawyer cited. (Legal authorities to support the counsel and his right to prepare for applicant’s contentions may be in- trial. Lawyer counsel may be either a cluded, and the format used may take civilian lawyer provided by the the form of a legal brief if the appli- confinee at his own expense or a mili- cant so desires.); tary lawyer provided by the Govern- (12) Any other matter which the ap- ment. If a confinee requests to confer plicant desires to submit; with a military lawyer, such lawyer (13) Relief requested; and should normally be made available for (14) Facts and circumstances to es- consultation within 48 hours after the tablish ‘‘good cause’’ for a failure to request is made. file the application within the time limits prescribed in paragraph (b) of [39 FR 18437, May 28, 1974] this section, if applicable; and (15) If the application is signed by a § 719.155 Application under 10 U.S.C. person other than the applicant pursu- 874(b) for the substitution of an ad- ant to subsection e, an explanation of ministrative form of discharge for a the circumstances rendering the appli- punitive discharge or dismissal. cant incapable of making application. (a) Statutory provisions. 10 U.S.C. The applicant’s copy of the record of 874(b) provides that the ‘‘Secretary trial will not be forwarded with the ap- concerned may, for good cause, sub- plication for relief, unless specifically stitute an administrative form of dis- requested by the Judge Advocate Gen- charge for a discharge or dismissal exe- eral. cuted in accordance with the sentence (e) Signatures on applications. Unless of a court-martial.’’ incapable of making application, the (b) Submission procedures. Applica- applicant shall personally sign the ap- tions for relief will be submitted to the plication under oath before an official Secretary using the following address: authorized to administer oaths. If the Secretary of the Navy (Judge Advocate applicant is incapable of making appli- General, Code 20), 200 Stovall Street, cation, the application may be signed Alexandria, VA 22332–2400. Except in under oath and submitted by the appli- unusual circumstances, applications

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will not normally be considered if re- the applicant, and must include the ad- ceived within five (5) years of the exe- dress of the affiant as well as specific cution of the punitive discharge or dis- reasons why the affiant believes the ap- missal, or within five (5) years of dis- plicant to be of good character. The af- approval of a prior request under 10 fidavits should discuss the applicant’s U.S.C. 874(b). character primarily as reflected in the (c) Contents of the application. All ap- civilian community subsequent to the plications shall contain: punitive discharge or dismissal which (1) Full name of the applicant; is the subject of the application); (2) Social Security Number, service (16) Any matters, other than the number (if different), and branch of character affidavits, supporting the service of the applicant; considerations described in subpara- (3) Present age and date of birth of graph (18) below; the applicant; (17) Any other relief sought within (4) Present residence of the applicant; (5) Date and place of the trial, and the Department of the Navy and out- type of court-martial which resulted in side the Department of the Navy in- the punitive discharge or dismissal; cluding dates of application and final (6) Command title of the convening dispositions; authority of the court-martial which (18) A statement by the applicant, resulted in the punitive discharge or setting forth the specific consider- dismissal; ations which the applicant believes (7) Offense(s) of which the applicant constitute ‘‘good cause,’’ so as to war- was convicted, and sentence finally ap- rant the substitution of an administra- proved from the trial which resulted in tive form of discharge for the punitive the punitive discharge or dismissal; discharge or dismissal previously exe- (8) Date the punitive discharge or dis- cuted. (In this connection, 10 U.S.C. missal was executed; 874(b) does not provide another regular (9) Applicant’s present marital sta- or extraordinary procedure for the re- tus, and number and ages of depend- view of a court-martial. Questions of ents, if any; guilt or innocence, or legal issues at- (10) Applicant’s civilian criminal tendant to the court-martial which re- record (arrest(s) with disposition, and sulted in the punitive discharge or dis- conviction(s)), both prior and subse- missal, are neither relevant nor appro- quent to the court-martial which re- priate for consideration under 10 U.S.C. sulted in the punitive discharge or dis- 874(b). As used in the statute, ‘‘good missal; cause’’ was envisioned by Congress to (11) Applicant’s entire court-martial encompass only Secretarial exercise of record (offense(s) of which convicted clemency and ultimate control of sen- and finally approved sentence(s)), and tence uniformity. Accordingly, in de- nonjudicial punishment record (includ- termining what constitutes ‘‘good ing offense(s) and punishment(s) award- cause’’ under 10 U.S.C. 874(b), the pri- ed); mary Secretarial concern will be with (12) Any military administrative discharge proceedings (circumstances and the applicant’s record in the civilian disposition) initiated against the appli- community subsequent to his or her cant; punitive separation. Material submit- (13) Applicant’s full employment ted by the 10 U.S.C. 874(b) applicant record since the punitive discharge or should be consistent with the fore- dismissal was executed; going.) (14) The specific type and character (d) Signature on application. Unless in- of administrative discharge requested capable of making application himself pursuant to 10 U.S.C. 874(b) (a more fa- or herself, the applicant shall person- vorable administrative discharge than ally sign the application, under oath, that requested will not be approved); before a notary or other official au- (15) At least three but not more than thorized to administer oaths. If the ap- six character affidavits, (The character plicant is incapable of executing the affidavits must be notarized, must indi- application, the application may be cate the relationship of the affiant to signed under oath and submitted by

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the applicant’s spouse, next of kin, ex- Subpart B—Service of Process and ecutor, guardian and other person rec- Subpoenas Upon Personnel ognized as a personal representative by the law of the applicant’s domicile. 720.20 Service of process upon personnel. One is considered incapable of execut- 720.21 Members or civilian employees subpoenaed as witnesses in State courts. ing an application for purposes of this 720.22 Members or civilian employees subparagraph only when the applicant is poenaed as witnesses in federal courts. unable to sign the application under 720.23 Naval prisoners as witnesses or par- oath due to physical or mental inca- ties in civilian courts. pacity. When an application is signed 720.24 Interviews and depositions in connec- by a person other than the applicant, tion with civil litigation in matters per- the circumstances rendering the appli- taining to official duties. cant incapable of making sworn appli- 720.25 Repossession of personal property. cation shall be set forth in the applica- 720.26—720.29 [Reserved] tion, with appropriate documentation. (e) Privacy Act Statement. Disclosure Subpart C—Production of Official Records of personal information requested by 720.30 Production of official records in re- paragraph (c) of this section is vol- sponse to court order. untary; however, failure to accurately 720.31 Production of official records in the provide all requested information may absence of court order. result in the application being denied 720.32 Certificates of full faith and credit. because of inadequate documentation of good cause. Subpart D—Compliance With Court Orders by Department of the Navy Members, [47 FR 49645, Nov. 2, 1982, as amended at 50 Employees, and Family Members Out- FR 23804, June 6, 1985] side the United States PART 720—DELIVERY OF PERSON- 720.40 Purpose. NEL; SERVICE OF PROCESS AND 720.41 Definitions. 720.42 Policy. SUBPOENAS; PRODUCTION OF 720.43 Points of contact. OFFICIAL RECORDS 720.44 Responsible officials. 720.45 Procedures. Subpart A—Delivery of Personnel 720.46 Overseas screening programs. 720.47 Report. Sec. 720.1 Delivery of persons requested by state AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 5031 and authorities in criminal cases. 5148; 32 CFR 700.206 and 700.1202. 720.2 Delivery when persons are within territorial limits of the requesting State. 720.3 Delivery when persons are beyond ter- Subpart A—Delivery of Personnel ritorial limits of the requesting State. 720.4 Persons stationed outside the United SOURCE: 57 FR 5228, Feb. 13, 1992, unless States. otherwise noted. 720.5 Authority of the Judge Advocate Gen- eral and the General Counsel. § 720.1 Delivery of persons requested 720.6 Agreement required prior to delivery by State authorities in criminal to State authorities. cases. 720.7 Delivery of persons to federal authori- Subpart A of this part deals with re- ties. quests by State authorities for the sur- 720.8 Delivery of persons to foreign authorities. render of members or civilians pursu- 720.9 Circumstances in which delivery is re- ant to arrest warrants or similar proc- fused. ess, generally in connection with a 720.10 Members released by civil authorities criminal prosecution. Responding to on bail or on their own recognizance. such requests by a State for delivery of 720.11 Interviewing servicemembers or civil- members or civilian employees in- ian employees by federal civilian inves- volves balancing the Federal interest tigative agencies. in preserving sovereign immunity and 720.12 Request for delivery of members serving sentence of court-martial. the productivity, peace, good order, 720.13 Request for delivery of members serv- and discipline of the installation ing sentence of a state court. against the right of the State to exer- 720.14—720.19 [Reserved] cise its jurisdiction. Additionally, by

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regulation, naval and Marine authori- directed to leave a classified area. All ties are limited in the extent to which should be done with minimum inter- they can directly assist such an act. ference to good order and discipline. Commands should respond to such requests as set out below, generally using § 720.3 Delivery when persons are be- the minimum authority necessary to yond territorial limits of the re- preserve the Federal interests without questing State. unduly restricting State jurisdiction. (a) General. When State civil authorities request delivery of any member of § 720.2 Delivery when persons are the Navy or Marine Corps for an al- within the territorial limits of the leged crime or offense punishable under requesting State. the law of the jurisdiction making the When the delivery of any member or request, and such member is not at- civilian is requested by local civil au- tached to a Navy or Marine Corps ac- thorities of a State for an offense pun- tivity within the requesting State or a ishable under the laws of that jurisdic- ship within the territorial waters tion, and such person is located at a thereof, the following action will be Navy or Marine Corps installation taken. Any officer exercising general within the requesting jurisdiction, or court-martial jurisdiction, or officer aboard a ship within the territorial wa- designated by him, or any commanding ters of such jurisdiction, commanding officer, after consultation with a judge officers are authorized to and normally advocate of the Navy or Marine Corps, will deliver such person when a proper is authorized (upon compliance with warrant is issued. In the case of a the provisions of this section and member, delivery will only be effected § 720.6, and subject to the exceptions in upon compliance with § 720.6, subject to § 720.9) to deliver such member to make the exceptions in § 720.9. A judge advo- the member amenable to prosecution. cate of the Navy or Marine Corps The member may be delivered upon should be consulted before delivery is formal or informal waiver of extra- effected. The rule discussed above ap- dition in accordance with § 720.3(b), or plies equally to civilian employees and upon presentation of a fugitive war- civilian contractors and their employ- rant, in which case the procedures of ees when located on a Navy or Marine § 720.3(c) apply. The rule discussed Corps installation, except that compli- above applies equally to civilian em- ance with § 720.6 and consideration of ployees and civilian contractors and § 720.9 are not required (for purposes of their employees when located on a De- this part, ‘‘State’’ includes the District partment of the Navy installation not of Columbia, territories, common- within the requesting State, except wealths, and all possessions or protec- that compliance with § 720.6 and consid- torates of the United States). Com- eration of § 720.9 are not required. mands should normally not become ac- (b) Waiver of extradition. (1) Any tively involved in civilian law enforce- member may waive formal extradition. ment. When a command has deter- A waiver must be in writing and be mined that a person is to be delivered witnessed. It must include a statement in response to a valid warrant, the fol- that the member signing it has re- lowing guidance should be considered. ceived counsel of either a military or If the person to be delivered is a mili- civilian attorney prior to executing the tary member, the member may be or- waiver, and it must further set forth dered to report to a location designated the name and address of the attorney by the commanding officer and surren- consulted. dered to civil authorities under Article (2) In every case where there is any 14, UCMJ (10 U.S.C. 814). If the person doubt as to the voluntary nature of a to be delivered is a civilian, the person waiver, such doubt shall be resolved may be invited to report to the des- against its use and all persons con- ignated space for delivery. If the civil- cerned will be advised to comply with ian refuses, the civilian authorities the procedures set forth in § 720.3(c). may be escorted to a place where the (3) Executed copies of all waivers will civilian is located in order that deliv- be mailed to the Judge Advocate Gen- ery may be effected. A civilian may be eral immediately after their execution.

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(4) When a member declines to waive (d) Members stationed outside the Unit- extradition, the nearest Naval Legal ed States. When the member sought by Service Office or Marine Corps staff State authorities is not located within judge advocate shall be informed and the United States, see § 720.4. shall confer with the civil authorities as appropriate. The member concerned § 720.4 Persons stationed outside the shall not be transferred or ordered out United States. of the State in which he is then located (a) Persons desired by local U.S. au- without the permission of the Sec- thorities. When delivery of any member retary of the Navy (Judge Advocate in the Navy or Marine Corps, or any ci- General), unless a fugitive warrant is vilian employee or dependent, is de- obtained as set forth in § 720.3(c). sired for trial by state authorities and (c) Fugitive warrants. (1) A fugitive the individual whose presence is sought warrant, as used in this chapter, is a is stationed outside the United States, warrant issued by a State court of the provisions of subpart D of this part competent jurisdiction for the arrest of will be followed. In all such cases, the a member. Normally, a State request- nearest judge advocate of the Navy or ing delivery of a member from another Marine Corps shall be consulted before State will issue a fugitive warrant to any action is taken. the State where the member is then lo- (b) Members desired by U.S. Federal au- cated. thorities. When delivery of any member (2) Upon issuance of a fugitive war- of the Navy or Marine Corps is desired rant by the requesting State to the State in which the member is located, for trial in a Federal district court, the latter State will normally request upon appropriate representation by the delivery of the member to local State Department of Justice to the Secretary authorities. Delivery to local State au- of the Navy (Judge Advocate General), thorities should be arranged by Navy the member will be returned to the or Marine Corps officers designated in United States at the expense of the De- § 720.3(a), upon compliance with the partment of the Navy and held at a provisions of § 720.6, and subject to the military facility convenient to the De- conditions of §§ 720.9 and 720.3(c) (3) and partment of the Navy and to the De- (4). partment of Justice. Delivery may be (3) Upon receipt of a request for de- accomplished as set forth in § 720.7, sub- livery of a member under fugitive war- ject to the exceptions in § 720.9. rant to State authorities, if the member voluntarily waives extradition, the § 720.5 Authority of the Judge Advo- cate General and the General Coun- provisions of § 720.3(b) apply. If the sel. member is delivered to local authorities but refuses to waive extradition in (a) Authority of the Judge Advocate the courts of the State in which he is General. The Judge Advocate General, located. the Deputy Judge Advocate General, (4) No delivery of a member by Navy and the Assistant Judge Advocates or Marine Corps officers pursuant to a General are authorized to act for the fugitive warrant or waiver of extra- Secretary of the Navy in performance dition shall be effected without com- of functions under this chapter. pletion of the agreement required by (b) Authority of the General Counsel. § 720.6 and execution of such agreement The authority of the General Counsel either: of the Navy is prescribed by Navy Reg- (i) By authorities of both the request- ulation (32 CFR 700.203 (a) and (g)) and ing State and the State in which the by appropriate departmental directives member is located, or and instructions (e.g., SECNAVINST (ii) By authorities of the State in 5430.25D).1 The principal areas of re- which the member is located if such sponsibility of the Office of the General authorities, on behalf of the requesting State, accept the full responsibility for 1 Copies may be obtained if needed, from returning the number to a command the Commanding Officer, Naval Publication designated by the Department of the and Forms Center, 5801 Tabor Avenue, Phila- Navy. delphia, PA 19120.

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Counsel (OGC) are commerical law, in- naval or Marine Corps activity as set cluding maritime contract matters; ci- forth in the agreement; vilian employee law; real property law; (2) The member is provided cash to and Freedom of Information Act and cover incidental expenses en route Privacy Act matters as delineated in 32 thereto; and CFR part 701. The Office of the General (3) The Department of the Navy is so Counsel shares responsibility with the informed. Judge Advocate General for environ- As soon as practicable, a copy of the mental law cases. delivery agreement shall be forwarded (c) Points of contact. Commanding of- to the Judge Advocate General. ficers are advised to contact their local (b) Delivery under Interstate Agreement area judge advocates for assistance in on Detainers Act. Special forms are used referring matters to the appropriate of- when delivering prisoners under the fice of the Judge Advocate General or Interstate Agreement on Detainers General Counsel. Act. The Act is infrequently used and (d) Coordination with the Commandant most requests are pursuant to Article of the Marine Corps. Marine Corps com- 14, UCMJ. See § 720.12 for a detailed dis- mands shall inform the Commandant of cussion of the Detainers Act. the Marine Corps (CMC) of all matters § 720.7 Delivery of persons to Federal referred to the Judge Advocate General authorities. or the Office of General Counsel. Copies of all correspondence and documents (a) Authority to deliver. When Federal shall also be provided to CMC. The law enforcement authorities display Staff Judge Advocate to the Com- proper credentials and Federal war- mandant (CMC (JAR)) shall be advised rants for the arrest of members, civil- of all matters referred to the Judge Ad- ian employees, civilian contractors and vocate General. Counsel to the Com- their employees, or dependents resid- mandant shall be advised of matters re- ing at or located on a Department of ferred to the Office of General Counsel. the Navy installation, commanding officers are authorized to and should § 720.6 Agreement required prior to allow the arrest of the individual delivery to State authorities. sought. The exceptions in § 720.9 may be applied to members. A judge advocate (a) Delivery under Article 14, UCMJ. of the Navy or Marine Corps should be When delivery of any member of the consulted before delivery is effected. Navy or Marine Corps to the civilian (b) Agreement not required of Federal authorities of a State is authorized, authorities. The agreement described in the member’s commanding officer § 720.6 is not a condition to the delivery shall, before making such delivery, ob- of members to Federal law enforce- tain from the Governor or other duly ment authorities. Regardless of wheth- authorized officer of such State a writ- er the member is convicted or acquit- ten agreement. The State official com- ted, after final disposition of the case, pleting the agreement must show that the member will be returned to the he is authorized to bind the State to Naval Service (provided that naval au- the terms of the agreement. When indi- thorities desire his return) and the nec- cating in the agreement the naval or essary expenses will be paid from an Marine Corps activity to which the appropriation under the control of the member delivered is to be returned by Department of Justice. the State, care should be taken to designate the closest appropriate activity § 720.8 Delivery of persons to foreign (to the command to which the member authorities. is attached) that possesses special Except when provided by agreement court-martial jurisdiction. The Depart- between the United States and the for- ment of the Navy considers this agree- eign government concerned, command- ment substantially complied with ing officers are not authorized to de- when: liver members or civilian employees of (1) The member is furnished transpor- the Department of the Navy, or their tation (under escort in cases of deliv- dependents residing at or located on a ery in accordance with § 720.12) to a naval or Marine Corps installation, to

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foreign authorities. When a request for State authorities and returns to his delivery of these persons is received in ship or station on bail, or on his own a country with which the United States recognizance, the commanding officer, has no agreement or when the com- upon verification of the attesting facts, manding officer is in doubt, advice date of trial, and approximate length of should be sought from the Judge Advo- time that should be covered by the ab- cate General. Detailed information sence, shall grant liberty or leave to concerning the delivery of members, ci- permit appearance for trial, unless this vilian employees, and dependents to would have a serious negative impact foreign authorities when a status of on the command. In the event that lib- forces agreement is in effect is con- erty or leave is not granted, a judge ad- tained in DoD Directive 5525.1 of 9 vocate of the Navy or Marine Corps April 1985 and SECNAVINST 5820.4F.2 should immediately be requested to act as liaison with the court. Nothing in § 720.9 Circumstances in which deliv- this section is to be construed as per- ery is refused. mitting the member arrested and re- (a) Disciplinary proceedings pending. leased to avoid the obligations of bond When disciplinary proceedings involv- or recognizance by reason of the mem- ing military offenses are pending, com- ber’s being in the military service. manding officers should obtain legal guidance from a judge advocate of the § 720.11 Interviewing servicemembers Navy or Marine Corps prior to delivery or civilian employees by federal ci- of members to Federal or State au- vilian investigative agencies. thorities. Requests by the Federal Bureau of (b) When delivery may be refused. De- Investigation, Naval Investigative livery may be refused only in the fol- Service Command, or other Federal ci- lowing limited circumstances: vilian investigative agencies to inter- (1) Where the accused has been review members or civilian employees of tained for prosecution; or the Department of the Navy suspected (2) When the commanding officer de- or accused of crimes should be prompt- termines that extraordinary cir- ly honored. Any refusal of such a re- cumstances exist which indicate that quest shall be immediately reported to delivery should be refused. the Judge Advocate General, or the Of- (c) Delivery under Detainers Act. When fice of General Counsel, as appropriate, the accused is undergoing sentence of a by telephone, or by message if tele- court-martial, see § 720.12. phone is impractical. When the em- (d) Reports required. When delivery ployee in question is a member of an will be refused, the commanding officer exclusive bargaining unit, a staff judge shall report the circumstances to the advocate or General Counsel attorney Judge Advocate General by telephone, will be consulted to determine whether or by message if telephone is imprac- the employee has a right to have a bar- tical. The initial report shall be con- gaining unit representative present firmed by letter setting forth a full during the interview. statement of the facts. A copy of the report shall be forwarded to the re- § 720.12 Request for delivery of mem- gional coordinator. bers serving sentence of court-martial. § 720.10 Members released by civil au- (a) General. Article 14, UCMJ (10 thorities on bail or on their own re- U.S.C. 814), provides authority to honor cognizance. requests for delivery of members serv- A member of the Navy or Marine ing a sentence of a court-martial. Al- Corps arrested by Federal or State au- though seldom utilized, additional authorities and released on bail or on his thority and mandatory obligation to own recognizance has a duty to return deliver such members are provided by to his parent organization. Accord- the Interstate Agreement on Detainers ingly, when a member of the Navy or Act (18 U.S.C. app. 9, hereinafter ‘‘the Marine Corps is arrested by Federal or Act’’), which applies to the Federal agency holding the prisoner. The De- 2 See footnote 1 of § 720.5(b). partment of the Navy, as an agency of

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the Federal Government, shall comply oner of the existence of any detainer with the Act. The Act is designed to and of the prisoner’s right to request avoid speedy-trial issues and to aid in disposition. The prisoner’s request is rehabilitation efforts by securing a directed to the custodial official who greater degree of certainty about a must forward it to the appropriate prisoner’s future. The Act provides a prosecuting official and court, with a way for a prisoner to be tried on certificate of prisoner status as pro- charges pending before State courts, ei- vided by Article III of the Act. ther at the request of the State where (c) Article 14, UCMJ. When a request the charges are pending or the pris- for custody does not invoke the Inter- oner’s request. When refusal of delivery state Agreement on Detainers Act, de- under Article 14, UCMJ, is intended, livery of custody shall be governed by comply with § 720.9(d). Article 14, UCMJ, and §§ 720.2 through (b) Interstate Agreement on Detainers 720.9. The request shall be honored un- Act. Upon request under the Act by ei- less, in the exercise of discretion, there ther State authorities or the prisoner, is an overriding reason for retaining the cognizant Navy or Marine Corps the accused in military custody, e.g., staff judge advocate, as appropriate, additional courts-martial are to be shall communicate with the appro- convened or the delivery would se- priate State officials, and monitor and verely prejudice the prisoner’s appel- ensure that the cognizant commander late rights. Execution of the agreement acts on all such requests. The Act pro- discussed in § 720.6 is a condition prece- vides that court-martial sentences con- dent to delivery to State authorities. It tinue to run during temporary custody. is not required before delivery to Fed- This section does not cover requests eral authorities. See § 720.7. Unlike de- between Federal authorities. The pro- livery under the Act, delivery of cus- cedure set forth in § 720.12(c) shall be tody pursuant to Article 14, UCMJ, applied in such cases. interrupts execution of the court-mar- (1) State request. State officials may request delivery of prisoners in mili- tial sentence. tary custody under section 2, Article § 720.13 Request for delivery of mem- IV, of the Act. Where a detainer has bers serving sentence of a state been lodged against the prisoner, and court. the prisoner is serving a sentence (regardless of whether an appeal is in (a) General. Ordinarily, members process), delivery is mandatory unless serving protracted sentences resulting the request is disapproved by the Di- from a State criminal conviction will rector of the Bureau of Prisons, Wash- be processed for administrative dis- ington, DC, 20537 as the designee of the charge by reason of misconduct. It Attorney General for this purpose. 28 may, however, be in the best interest of CFR 0.96(n). There has been no further the Naval Service to retain a member delegation to military authority. The charged with a serious offense, subject prisoner should be informed that he to military jurisdiction, to try the may request the Director of the Bureau member by court-martial. The Navy of Prisons, Washington, DC 20537, with- may obtain temporary custody of in- in 30 days after such request is re- carcerated members for prosecution ceived, to deny the request. Upon the with a request to the State under the expiration of such 30-day period or Interstate Agreement on Detainers upon the Director of the Bureau of Act. 18 U.S.C. app. 9. The Department Prisons’ denial of the prisoner’s re- of the Navy may use the Act in the quest, whichever occurs first, the pris- same manner in which State authori- oner shall be delivered to the request- ties may request members purusant to ing authority. § 720.12. (2) Prisoner request. The obligation to (b) Interstate Agreement on Detainers grant temporary custody under the Act Act. Military authorities may use the also applies to prisoners’ requests to be Act to obtain temporary custody of a delivered to State authority. Section 2, member incarcerated in a State insti- Article III(c) of the Act requires the tution, pursuant to conviction by a custodial official to inform the pris- State court, to resolve criminal

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charges against the member before a persons awaiting prosecution, except court-martial. for periods during which the prisoner (1) Detainer. If a command requests attends court or travels to or from any temporary custody under the Act, the place at which his presence may be re- commanding officer of the cognizant quired; naval legal service office or the Marine (iii) Return the prisoner to the send- Corps staff judge advocate, shall file a ing jurisdiction at the earliest prac- detainer with the warden, commis- tical time, but not before the charges sioner of corrections, or other State of- that underlie the request have been re- ficial having custody of the member. solved (prematurely returning the pris- The detainer shall identify the member oner will result in dismissal of the with particularity, enumerate the mili- charges); and tary charges pending, and request the (iv) Pay all costs of transporting, command be notified in advance of any caring for, keeping, and returning the intention to release the member from prisoner to the sending jurisdiction, confinement. unless the command and the State (2) Request for delivery. As soon as agree on some other allocation of the practical after filing the detainer, the costs or responsibilities. commanding officer of the cognizant naval legal service office or the Marine §§ 720.14—720.19 [Reserved] Corps staff judge advocate, shall prepare a written request for temporary custody of the member addressed to Subpart B—Service of Process and the State official charged with admin- Subpoenas Upon Personnel istration of the State penal system. The request shall designate the per- SOURCE: 57 FR 5232, Feb. 13, 1992, unless otherwise noted. son(s) to whom the member is to be delivered and shall be transmitted via the § 720.20 Service of process upon per- military judge to whom the member’s sonnel. case has been assigned. If the request is properly prepared, the military judge (a) General. Commanding officers shall approve, record, and transmit the afloat and ashore may permit service request to the addressee official. The of process of Federal or State courts Act provides the State with a 30-day upon members, civilian employees, de- period after receipt of the request be- pendents, or contractors residing at or fore the request is to be honored. With- located on a naval installation, if lo- in that period of time, the governor of cated within their commands. Service the State may disapprove the request, will not be made within the command either unilaterally or upon the pris- without the commanding officer’s con- oner’s request. If the governor dis- sent. The intent of this provision is to approves the request, the command protect against interference with mis- should coordinate any further action sion accomplishment and to preserve with the Judge Advocate General. good order and discipline, while not un- (3) Responsibilities. The cognizant necessarily impeding the court’s work. command shall ensure that the respon- Where practical, the commanding offi- sibilities of a receiving jurisdiction, decer shall require that the process be lineated in section 2, Article IV of the served in his presence, or in the pres- Act, are discharged. In particular, the ence of a designated officer. In all Act requires that the receiving juris- cases, individuals will be advised to diction: seek legal counsel, either from a legal (i) Commence the prisoner’s trial assistance attorney or from personal within 120 days of the prisoner’s arriv- counsel for service in personal matters, al, unless the court, for good cause and from Government counsel for serv- shown during an Article 39(a), UCMJ, ice in official matters. The command- session, grants a continuance nec- ing officer is not required to act as a essary or reasonable to promote the process server. The action required de- ends of justice; pends in part on the status of the indi- (ii) Hold the prisoner in a suitable vidual requested and which State is- jail or other facility regularly used for sued the process.

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(1) In-State process. When a process turned to the sender. Questions should server from a State or Federal court be referred to the staff judge advocate, from the jurisdiction where the naval command counsel, or the local naval station is located requests permission legal service office. to serve process aboard an installation, (b) Service of process arising from offi- the command ordinarily should not cial duties. (1) Whenever a member or prevent service of process so long as de- civilian employee of the Department of livery is made in accordance with rea- the Navy is served with process be- sonable command regulations and is cause of his official position, the Judge consistent with good order and dis- Advocate General or the Associate cipline. Withholding service may be General Counsel (Litigation), as appro- justified only in the rare case when the priate, shall be notified by telephone, individual sought is located in an area or by message if telephone is imprac- under exclusive Federal jurisdiction tical. Notification shall be confirmed not subject to any reservation by the by a letter report by the nearest appro- State of the right to serve process. priate command. The letter report Questions on the extent of jurisdiction shall include the detailed facts which should be referred to the staff judge ad- give rise to the action. vocate, command counsel, or local (2) Any member or civilian employee naval legal service office. If service is served with Federal or State court civil permitted, an appropriate location or criminal process or pleadings (in- should be designated (for example, the cluding traffic tickets) arising from ac- command legal office) where the proc- tions performed in the course of offi- ess server and the member or employee cial duties shall immediately deliver can meet privately in order that proc- all such process and pleadings to the ess may be served away from the work- commanding officer. The commanding place. A member may be directed to re- officer shall ascertain the pertinent port to the designated location. A civil- facts and notify the Judge Advocate ian may be invited to the designated General or Associate General Counsel location. If the civilian does not co- (Litigation), as appropriate, by tele- operate, the process server may be es- phone or by message if telephone is im- corted to the location of the civilian in practical, of the service and imme- order that process may be served. A ci- diately forward the pleadings and proc- vilian may be required to leave a clas- ess to the relevant office. The member sified area in order that the process or civilian employee will be advised of server may have access to the civilian. the right to remove civil or criminal If unusual circumstances require that proceedings from State to Federal the command not permit service, see court under 28 U.S.C. 1442, 1442a, rights § 720.20(e). under the Federal Employees Liability (2) Out-of-State process. In those cases Reform and Tort Compensation Act (28 where the process is to be served by au- U.S.C. 2679b), if applicable, and the thority of a jurisdiction other than right of a Federal employee to request that where the command is located, representation by Department of Jus- the person named is not required to ac- tice attorneys in Federal (civil) or cept process. Accordingly, the process State (civil or criminal) proceedings server from the out-of-State jurisdic- and in congressional proceedings in tion need not be brought face-to-face which that person is sued in an individ- with the person named in the process. ual capacity, as delineated in 28 CFR Rather, the process server should re- 50.15. Requests for representation shall port to the designated command loca- be addressed to the Judge Advocate tion while the person named is con- General or Associate General Counsel tacted, apprised of the situation, and (Litigation), as appropriate, and shall advised that he may accept service, but be endorsed by the commanding offi- also may refuse. In the event that the cer, who shall provide all necessary person named refuses service, the proc- data relating to the questions of ess server should be so notified. If serv- whether the person was acting within ice of process is attempted from out-of- the course of official duty or scope of State by mail and refused, the refusal employment at the time of the inci- should be noted and the documents re- dent out of which the suit arose.

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(3) If the service of process involves a graphic limits of the jurisdiction of the potential claim against the Govern- court from which the process issued. In ment, see 32 CFR 750.12(a), 750.12(b), such cases, acceptance of the service is and 750.24. The right to remove to Fed- not compulsory, but service may be eral Court under 28 U.S.C. 1442 and voluntarily accepted in accordance 1442a must be considered where the with § 720.20(b). In exceptional cases outcome of the State court action may when the United States has agreed that influence a claim or potential claim service of process will be accepted by against the United States. Questions such persons when located outside the should be directed to the Judge Advo- geographic limits of the jurisdiction of cate General or the Associate General the court from which the process is- Counsel (Litigation). sued, the provisions of the agreement (c) Service of process of foreign courts. and of § 720.20(a) will govern. (1) Usually, the amenability of mem- (3) Under the laws of some countries bers, civilian employees, and their de- (such as Sweden), service of process is pendents stationed in a foreign coun- effected by the document, in original try, to the service of process from or certified copy, being handed to the courts of the host country will have person for whom the service is in- been settled by an agreement between tended. Service is considered to have the United States and the foreign coun- taken place even if the person refuses try concerned (for example, in the to accept the legal documents. There- countries of the signatory parties, fore, if a commanding officer or other amenability to service of civil process officer in the military service person- is governed by paragraphs 5(g) and 9 of ally hands, or attempts to hand, that Article VIII of the NATO Status of person the document, service is consid- Forces Agreement, TIAS 2846). When ered to have been effected, permitting service of process on a person described the court to proceed to judgment. Upon above is attempted within the com- receipt of foreign process with a re- mand in a country in which the United quest that it be served upon a person States has no agreement on this sub- described in § 720.20(c)(1), a command- ject, advice should be sought from the ing officer shall notify the person of Judge Advocate General or the Associ- the fact that a particular foreign court ate General Counsel (Litigation), as ap- is attempting to serve process and also propriate. When service of process is inform that person that the process upon the United States Government or may be ignored or received. If the per- one of its agencies or instrumentalities son to be served chooses to ignore the as the named defendant, the doctrine of service, the commanding officer will sovereign immunity may allow the return the document to the embassy or service of process to be returned to the consulate of the foreign country with court through diplomatic channels. the notation that the commanding offi- Service of process directed to an officer had the document, that the person cial of the United States, on the other chose to ignore it, and that no physical hand, must always be processed in ac- offer of service had been made. The cordance with the applicable inter- commanding officer will advise the national agreement or treaty, regard- Judge Advocate General or the Associ- less of whether the suit involves acts ate General Counsel (Litigation), as ap- performed in the course of official du- propriate, of all requests for service of ties. The Judge Advocate General or process from a foreign court and the the Associate General Counsel (Litiga- details thereof. tion), as appropriate, will arrange (d) Leave or liberty to be granted per- through the Department of Justice for sons served with process. When members defense of the suit against the United or civilian employees are either served States or an official acting within the with process, or voluntarily accept scope of official duties, or make other service of process, in cases where the arrangements, and will issue instruc- United States is not a party to the liti- tions. gation, the commanding officer nor- (2) Usually, the persons described in mally will grant leave or liberty to the § 720.20(c)(1) are not required to accept person served to permit compliance service of process outside the geo- with the process, unless to do so would

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have an adverse impact on naval oper- criminal case, and such person is un- ations. When a member or civilian em- available because of an overseas as- ployee is a witness for a nongovern- signment, the command should imme- mental party because of performance diately contact the Judge Advocate of official duties, the commanding offi- General, or the Associate General cer may issue the person concerned Counsel (Litigation), as appropriate. permissive orders authorizing attendance at the trail at no expense to the § 720.22 Members or civilian employ- Government. The provisions of 32 CFR ees subpoenaed as witnesses in Fed- part 725 must also be considered in eral courts. such cases. Members or civilian em- (a) Witnesses on behalf of Federal Gov- ployees may accept allowances and ernment. When members or civilian em- mileage tendered; however, any fees ployees of the Department of the Navy tendered for testimony must be paid to are required to appear as witnesses in a the Department of the Navy unless the Federal Court to testify on behalf of member or employee is on authorized the Federal Government in cases in- leave while attending the judicial pro- volving Department of the Navy activi- ceeding. When it would be in the best ties, the Chief of Naval Personnel or interests of the United States Govern- the Commandant of the Marine Corps, ment (for example, in State criminal as appropriate, will issue temporary trails), travel funds may be used to additional duty orders to that person. provide members and civilian employ- The charges for such orders will be ees as witnesses as provided in the borne by the activity to which the re- Joint Federal Travel Regulations. Re- quired witness is attached. Payment to sponsibility for the payment of the witnesses will be as provided by the member’s mileage and allowances will Joint Federal Travel Regulations and be determined pursuant to the Joint U.S. Navy travel instructions. If the re- Federal Travel Regulations, Volume 1, quired witness is to appear in a case in paragraph M6300, subsections 1–3.3 which the activities of the Department (e) Report where service not allowed. of the Navy are not involved, the De- Where service of process is not per- partment of the Navy will be reim- mitted, or where the member or civil- bursed in accordance with the proce- ian employee is not given leave, lib- dures outlined in the Navy Comptroller erty, or orders to attend a judicial pro- Manual, section 046268. ceeding, a report of such refusal and (b) Witnesses on behalf of nongovern- the reasons therefor shall be made by mental parties—(1) Criminal actions. telephone, or message if telephone is When members or civilian employees impractical, to the Judge Advocate are served with a subpoena to appear as General or the Associate General Coun- a witness for a defendant in a criminal sel (Litigation), as appropriate. action and the fees and mileage required by rule 17(d) of the Federal § 720.21 Members or civilian employ- Rules of Criminal Procedure are ten- ees subpoenaed as witnesses in dered, the commanding officer may State courts. issue the person subpoenaed permissive Where members or civilian employ- orders authorizing attendance at the ees are subpoenaed to appear as wit- trial at no expense to the Government, nesses in State courts, and are served unless the person’s absence would have as described in §§ 720.20, 720.20(d) ap- an adverse impact on naval operations. plies. If these persons are requested to In such a case, a full report of the cir- appear as witnesses in State courts cumstances will be made to the Judge when the interests of the Federal Gov- Advocate General or, in the case of ci- ernment are involved (e.g., Medical vilian employees, to the Associate Gen- Care Recovery Act cases), follow the eral Counsel (Litigation). In those procedures described in § 720.22. If State cases where fees and mileage are not authorities are attempting to obtain tendered as required by rule 17(d) of the the presence of a member or a civilian Federal Rules of Criminal Procedure, employee as a witness in a civil or but the person subpoenaed still desires to attend, the commanding officer also 3 See footnote 1 of § 720.5(b). may issue permissive orders at no cost

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to the Government. Such persons, how- witness, in private litigation pending ever, should be advised that an agree- before such a court. The deposition of a ment as to reimbursement for any ex- naval prisoner may be taken in such a penses incident to travel, lodging, and case, subject to reasonable conditions subsistence should be effected with the or limitations imposed by the com- party desiring their attendance and mand concerned. that no reimnbursement should be expected from the Government. § 720.24 Interviews and depositions in (2) Civil actions. When members or ci- connection with civil litigation in vilian employees are served with a sub- matters pertaining to official du- poena to appear as a witness on the be- ties. half of a nongovernmental party in a Requests to interview, depose, or call civil action brought in a Federal court, as witnesses, current or former mem- the provisions of § 720.20 apply. bers or civilian employees of the De- § 720.23 Naval prisoners as witnesses partment of the Navy, regarding infor- or parties in civilian courts. mation obtained in the course of their (a) Criminal actions. When Federal or official duties, including expert testi- State authorities desire the attendance mony related thereto, shall be proc- of a naval prisoner as a witness in a essed in accordance with 32 CFR part criminal case, they should submit a 725. written request for such person’s attendance to the Judge Advocate Gen- § 720.25 Repossession of personal eral. The civilian authority should in- property. clude the following averments in its re- Repossession of personal property, lo- quest: cated on a Navy or Marine Corps in- (1) That the evidence to be derived stallation, belonging to a member or to from the prisoner’s testimony is un- any dependent residing at or located on available from any other source: a Department of the Navy installation, (2) That the civilian authority will may be permitted in the discretion of provide adequate security arrange- the commanding officer of the installa- ments for the prisoner and assume re- tion where the property is located, sub- sponsibility for the prisoner while he is ject to the following. The documents in its custody; and purporting to authorize repossession (3) that the civilian authority will as- and the procedures for repossessing the sume all costs of transporting the prisoner from the brig, of maintaining that property must comply with State law. prisoner while in civilian custody, and Prior to permitting physical reposses- of returning the prisoner to the brig sion of any property, the commanding from which he was removed. officer shall cause an informal inquiry into the circumstances and then deter- The civilian authority should also include in its request an estimate of the mine whether to allow the reposses- length of time the prisoner’s services sion. If repossession is to be allowed, will be required, and should specify the the person whose property is to be re- mode of transport by which it intends possessed should be asked if he wishes to return the prisoner. Upon receipt of to relinquish the property voluntarily. such a request, authority by the Judge Repossession must be carried out in a Advocate General will be given, in a manner prescribed by the commanding proper case, for the production of the officer. In the case of property owned requested naval prisoner in court with- by civilian employees of the Depart- out resort to a writ of habeas corpus ad ment of the Navy or civilian contrac- testificandum (a writ which requires tors or their employees or dependents, the production of a prisoner to testify the commanding officer should direct before a court of competent jurisdic- that the disputed property be removed tion). from the installation until the com- (b) Civil actions. The Department of manding officer is satisfied that the the Navy will not authorize the attend- dispute is resolved. ance of a naval prisoner in a Federal or State court, either as a party or as a

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§§ 720.26—720.29 [Reserved] consent to the production or if the production is otherwise authorized under Subpart C—Production of Official the Privacy Act and the Secretary of Records the Navy Instruction 5211.5 series. Whenever compliance with a court § 720.30 Production of official records order for production of Department of in response to court order. the Navy records is deemed inappropri- (a) General. Where unclassified naval ate for any reason, such as when they records are desired by or on behalf of contain privileged or classified infor- litigants, the parties will be informed mation, the records and subpoena may that the records desired, or certified be forwarded to the Secretary of the copies thereof, may be obtained by for- Navy (Judge Advocate General) for ap- warding to the Secretary of the Navy, propriate action, and the parties to the Navy Department, Washington, DC, or suit so notified. Any release of classi- other custodian of the records, a court fied information for civil court pro- order calling for the particular records ceedings (whether civil or criminal in desired or copies thereof. Compliance nature) must also be coordinated with- with such court order will be effected in the office of the Chief of Naval Oper- by transmitting certified copies of the ations (OP–009D) in accordance with records to the clerk of the court out of the Chief of Naval Operations Instruc- which the process issues. See the provi- tion 5510.1 series. sions in the Secretary of the Navy In- (b) Records in the custody of National struction 5211.5 series which set forth Personnel Records Center. Court orders, the additional requirement that rea- subpoenas duces tecum, and other legal sonable efforts be made to notify all in- documents demanding information dividuals to whom the record pertains from, or the production of, service or of (1) the disclosure, and (2) the nature medical records in the custody of the of the information provided, when the National Personnel Records Center in- court order has become a matter of volving former (deceased or discharged) public record and the record is con- Navy and Marine Corps personnel shall tained in a system of records as defined be served upon the General Services in the Secretary of the Navy Instruc- Administration, 9700 Page Boulevard; tion 5211.5 series. If an original record St. Louis, MO 63132, rather than the is produced by a naval custodian, it Department of the Navy. In the follow- will not be removed from the custody ing situations, the request shall be for- of the person producing it, but copies warded to the Secretary of the Navy may be placed in evidence. Upon writ- (Judge Advocate General). ten request of one or more parties in (1) When the United States (Depart- interest or their respective attorneys, ment of the Navy) is one of the liti- records which would be produced in re- gants. sponse to a court order as set forth (2) When the case involves a person above may be furnished without court or persons who are or have been senior order when such records are not in a officers or officials within the Depart- ‘system of records’ as defined by the ment of the Navy; and Privacy Act (5 U.S.C. 552a) except as (3) In other cases considered to be of noted in paragraphs (b) and (c) of this special significance to the Judge Advo- section. In determining whether or not cate General or the Secretary of the a record contained in a ‘‘system of Navy. records’’ will be furnished in response (c) Exceptions. Where not in conflict to a written request for that record, with the foregoing restrictions relative consideration shall be given to the pro- to personal information, the release of visions of the Secretary of the Navy In- which would result in a clearly unwar- struction 5720.42 series. If the record is ranted invasion of personal privacy, in a ‘‘system of records,’’ it may be the production in Federal, State, terri- produced upon written request of one torial, or local courts of evidentiary or more parties in interest or their re- material from investigations con- spective attorneys in the absence of a ducted pursuant to this Manual, and court order only if the individuals to the service, employment, pay or medi- whom the record pertains give written cal records (including medical records

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of dependents) of persons in the naval vacy) and SECNAVINST 5720.42 series service is authorized upon receipt of a (Freedom of Information). court order, without procuring specific (b) Release of JAG Manual Investiga- authority from the Secretary of the tions, Court-Martial Records, Articles 69 Navy. When the request for production and 73 Petitions, and Article 138 Com- involves material related to claims in plaints of Wrongs. Except as provided in favor of the Government, notification this section, only the Assistant Judge should be made to the affirmative Advocates General (Civil Law) and claims office at the naval legal service (Military Law) shall make determina- office having territorial responsibility tions concerning the release of the in the area. Where travel is involved, it records covered herein if less than a re- must be without expense to the Gov- lease of the complete requested record ernment. will result. In all other instances the (d) Medical and other records of civilian Deputy Assistant Judge Advocates employees. Production of medical cer- General, who have cognizance of the tificates or other medical reports con- record(s) in issue, may release such cerning civilian employees is con- records. Local record holders are re- trolled by the provisions of Executive minded that the authority to release Order 10561, 19 FR 5963, as implemented records does not necessarily include de- by Federal Personnel Manual, chapter nial authority. 294, and chapter 339.1–4 (reprinted in (1) JAG Manual Investigations (includ- MANMED article 23–255(6)). Records of ing enclosures). Any request for release civilian employees other than medical outside the Department of the Navy records may be produced upon receipt shall be forwarded to the Assistant of a court order without procuring spe- Judge Advocate General (Military Law) cific authority from the Secretary of for determination, except that Privacy the Navy, provided there is not in- Act requests for release shall be for- volved any classified or For-Official- warded to the Assistant Judge Advo- Use-Only information, such as loyalty cate General (Civil Law) for determina- or security records. Records relating to tion. compensation benefits administered by (2) Court-martial records and Articles 69 the Bureau of Employees’ Compensa- and 73 petitions. These are matters of tion may not be disclosed except upon public record and may be released by the written approval of that Bureau (20 any local holder. Court-martial records CFR 1.21). In case of doubt, the matter should be released only following prop- should be handled in accordance with er authentication. the provisions of subsection a above. (3) Article 138 Complaints of Wrongs. Where information is furnished here- Forward as in paragraph (b)(1) of this under in response to a court order, it is section. advisable that certified copies rather (c) Affirmative claims files. Affirmative than originals be furnished and that, claims files (including Medical Care where original records are to be pro- Recovery Act files), except to the ex- duced, the assistance of the U.S. Attor- tent that such files contain copies of ney or U.S. Marshal be requested so reports of investigations prepared that custody of the records may be under the Manual of the Judge Advo- maintained. cate General, or classified or privileged [38 FR 6021, Mar. 6, 1973, as amended at 48 FR information, may be released by local 4466, Feb. 1, 1983] holders to insurance companies to support claims; to civilian attorneys rep- § 720.31 Production of official records resenting the injured party’s and the in the absence of court order. Government’s interests; and to other (a) General. Release of official records components of the Department of De- outside the Department of the Navy in fense, without the prior approval of the the absence of a court order is gov- Judge Advocate General, provided that erned by the Privacy Act (5 U.S.C. 552a) the amount of the claim is within the and the Freedom of Information Act (5 monetary settlement authority of the U.S.C. 552). The following sources per- releaser. When the request for produc- tain: SECNAVINST 5211.5 series (Pri- tion involves material related to

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claims in favor of the Government, no- the Navy member, employee, or family tification should be made to the af- member. firmative claims office at the naval Employee. A civilian employed by the legal service office having territorial Department of the Navy or a compo- responsibility for the area. nent service, including an individual (d) Accounting for disclosures of records paid from non-appropriated funds, who from systems of records. When records lo- is a citizen or national of the United cated in a ‘‘system of records’’ are re- States. leased, the official responsible for re- Family member. A spouse, natural or leasing the records shall consult adopted child, or other lawful depend- SECNAVINST 5211.5 series regarding ent of a Department of the Navy em- the requirement that accountings of ployee or member accompanying the the disclosures be maintained. Appen- Department of the Navy member or dix A–3–a of the Manual of the Judge employee assigned to duty outside the Advocate General is recommended for United States. this purpose. Felony. A criminal offense that is (1 CFR 18.14, and Part 21, Subpart B) punishable by incarceration for more [45 FR 8599, Feb. 8, 1980, as amended at 48 FR than one year, regardless of the sen- 4466, Feb. 1, 1983] tence that is imposed for commission of that offense. § 720.32 Certificates of full faith and Member. An individual on active duty credit. in the Navy, Naval Reserve, Marine The Judge Advocate General, the Corps, or Marine Corps Reserve. Deputy Judge Advocate General, or Request for return. Any request or any Assistant Judge Advocate General order received from a court, or from is authorized to execute certificates of federal, state or local authorities con- full faith and credit certifying the sig- cerning a court order, for the return to natures and authority of officers of the the United States of members, employ- Department of the Navy. ees, or family members, for any reason [38 FR 6021, Mar. 6, 1973] listed in § 720.42. Respondent. A member, employee, or Subpart D—Compliance With family member whose return to the Court Orders by Department United States has been requested, or with respect to whom other assistance of the Navy Members, Em- has been requested under this instruc- ployees, and Family Members tion. Outside the United States Responsible Official. Officials designated in this instruction to act on a AUTHORITY: DoD Directive 5525.9, 54 FR 296, 32 CFR part 146. request to return, or take other action affecting, members, employees or fam- SOURCE: 55 FR 47876, Nov. 16, 1990, unless otherwise noted. ily members to the United States under this instruction. § 720.40 Purpose. United States. The 50 states, the Dis- This instruction: trict of Columbia, Puerto Rico, Guam, (a) Implements 32 CFR part 146. the Northern Mariana Islands, Amer- (b) Establishes policy and procedures ican Samoa, and the Virgin Islands. for requesting the return to the United States of, or other action affecting, De- § 720.42 Policy. partment of the Navy (DON) personnel (a) It is Department of the Navy pol- and employees serving outside the icy to cooperate, as prescribed in this United States, and family members ac- instruction, with courts and federal, companying them, in compliance with state and local officials in enforcing court orders. court orders. The Department of the Navy will cooperate with requests § 720.41 Definitions. when such action is consistent with Court. Any judicial body in the Unit- mission requirements (including oper- ed States with jurisdiction to impose ational readiness), the provisions of ap- criminal sanctions on a Department of plicable international agreements, and

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ongoing Department of Defense (DoD) custody by a court order will normally investigations and courts-martial. have their command sponsorship re- (b) Every reasonable effort will be moved. Failure to comply with other made to resolve the matter without the court orders may also result in re- respondent returning to the United moval of command sponsorship, de- States, or other action being taken pending on the circumstances of the in- against the respondent under this individual case. struction. (g) To facilitate prompt resolution of (c) Requests to return members for requests for return of members, mini- felonies or for contempt involving un- mize the burden on operating units, lawful or contemptuous removal of a and to provide consistency during ini- child from the jurisdiction of a court or tial implementation of this new pro- the custody of a parent or other person gram, a limited number of responsible awarded custody by a court order will officials, designated in § 720.44, will re- normally be granted, but only if the spond to requesting officials. member cannot resolve the issue with the court without return to the United § 720.43 Points of contact. States. When the member’s return is inconsistent with mission require- (a) Authorities issuing requests for ments, applicable international agree- return or for other action under this ments, or ongoing DoD investigations instruction may contact the following or courts-martial, DoD approval of de- activities: nial will be requested. (1) Chief of Naval Personnel (Pers–14), (d) For all other requests involving Washington, DC 20370–5000 (For Navy members, return will be based on the members and their family members). circumstances of the individual case as (2) Commandant, U.S. Marine Corps provided in this instruction. (Code JAR), Washington, DC 20380–0001 (e) Members will normally be re- (For Marine Corps members and their turned on a temporary additional duty family members). (TAD) basis unless there are compel- (3) Director, Office of Civilian Per- ling reasons the return should be a personnel Management (Code OOL), 800 N. manent change of duty station (PCS). Quincy Street, Arlington, VA 22203–1998 (f) The involuntary return of employ- (For civilian personnel, including non- ees or family members in response to a appropriated fund employees and their request for return is not authorized. family members). However, the following action will be (b) Upon receipt of a request for ac- taken: tion under this instruction, the Office (1) Employees will be strongly urged of Civilian Personnel Management will to comply with court orders. Failure to forward the request to the appropriate comply with court orders involving responsible official for action in ac- felonies or contempt involving unlaw- cordance with § 720.44. ful or contemptuous removal of a child from the jurisdiction of the court or § 720.44 Responsible officials. the custody of a parent or other person awarded custody by a court order will The following officials are designated normally require processing for adverse responsible officials for acting on reaction, up to and including removal quests to return or to take other action from federal service. Failure to comply affecting members, employees or fam- with other court orders may require ily members to the United States. adverse action, depending on the cir- (a) The Chief of Naval Personnel cumstances of the individual case. (CHNAVPERS) for requests involving (2) Family members will be strongly Navy members and their family mem- encouraged to comply with court or- bers who are not employees. The ders. Family members who fail to com- CHNAVPERS may delegate this au- ply with court orders involving felonies thority within his headquarters, not or contempt involving unlawful or con- below the 0–6 level for routine matters temptuous removal of a child from the and not lower than the flag officer jurisdiction of the court or the custody level for decisions to deny the request of a parent or other person awarded for return.

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(b) The Commandant of the Marine ment of the Navy will ask DoD to ap- Corps (CMC) for requests involving Ma- prove denial of the request for the mili- rine Corps members and their family tary members’s return. To initiate this members who are not employees. The action, there must be an affirmative CMC may delegate this authority with- showing of articulable harm to the in his headquarters, not below the 0–6 unit’s mission or violation of an inter- level for routine matters and no lower national agreement. that the general officer level for deci- (d) When a responsible official has de- sions to deny the request for return. termined a request for return is appar- (c) The local commanding officer or ently based on an order issued by a officer in charge for requests involving court of competent jurisdiction, the re- employees and their family members sponsible official shall complete action who are not active duty military mem- on the request for return within 30 days bers. of receipt of the request for return by (d) The Assistant Secretary of the the responsible official, unless a delay Navy (Manpower and Reserve Affairs) is authorized by the ASN(M&RA). (ASN(M&RA)) for requests not covered (e) When a delay to complete the ac- by §§ 720.44 (a) through (c). tion is warranted, the ASN(M&RA) will § 720.45 Procedures. grant a 45 day delay, and provide a copy of that approval to the Assistant (a) If the request pertains to a felony Secretary of Defense (Force Manage- or to contempt involving the unlawful ment & Personnel (ASD(FM&P)) and or contemptuous removal of a child the General Counsel, DoD. The 45 day from the jurisdiction of a court or the period begins upon request by the re- custody of a parent or another person sponsible official of the request for re- awarded custody by court order, and turn. Conditions which, when accom- the matter cannot be resolved with the panied by full supporting justification, court without the respondent returning will warrant the granting of the 45 day to the United States: delay are: (1) For members: The responsible of- (1) Efforts are in progress to resolve ficial shall direct the commanding offi- the matter to the satisfaction of the cer or officer in charge to order the court without the respondent’s return member to return to the United States. Failure to comply will normally be the to the United States. basis for disciplinary action against (2) To provide sufficient time for the the member. respondent to provide evidence to show (2) For employees, military and civil- legal efforts to resist the request or to ian family members: The responsible show legitimate cause for noncompli- official shall strongly encourage the ance. respondent to comply. Failure to com- (3) To provide commanding officers ply may subject employees to adverse an opportunity to detail the specific ef- action, to include removal from the fect on command mission and oper- Federal service, and subject military ational readiness anticipated from the and civilian family members to with- loss of the member or Department of drawal of command sponsorship. the Navy employee, and to present (b) For all other requests when the facts relating to any international matter cannot be resolved with the agreement, or ongoing DoD investiga- court without returning the respondent tion or courts-martial. to the United States, the responsible (f) A commanding officer or officer in official shall take the action described charge who receives a request for the in this instruction when deemed appro- return of, or other action affecting, a priate with the facts and cir- member, family member, or employee cumstances of each particular case, fol- not of his/her command will forward lowing consultation with legal staff. the request to the appropriate com- (c) When a member’s return is incon- manding officer or officer in charge, sistent with mission requirements, the copy to the responsible official, and ad- provisions of applicable international vise both of them by message that a re- agreements, or ongoing DoD investiga- quest for return or other action has tions and courts-martial, the Depart- been forwarded to them.

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(g) A commanding officer or officer the Judge Advocate General (Code 10) in charge who receives a request for on the second and third issues. the return of, or other action affecting, (2) Encourage the respondent to at- a member, family member, or em- tempt to resolve the matter to the sat- ployee of his/her command will: isfaction of the court or other request- (1) Notify the respondent of the right ing authority without return of or to provide evidence to show legal ef- other action affecting the member, em- forts to resist the request, or to show ployee, or family member. legitimate cause for noncompliance for (3) When a delay to complete action inclusion in the submission to the re- under this section is warranted, responsible official. quest the delay from ASN(M&RA) with (2) For members and their family full supporting justification. members who are not employees, for- (4) Examine all information the re- ward the request immediately to the spondent desires to provide to show appropriate responsible official, to- legal efforts to resist the request, or gether with: otherwise to show legitimate cause for (i) Any information the individual noncompliance. desires to provide to show legal efforts (5) Requests for exception from the to resist the request, or otherwise to requirements of this instruction shall show legitimate cause for noncompli- be submitted, with supporting jus- ance. tification, to the ASN(M&RA) for sub- (ii) Facts detailing the specific im- mission to the ASD(FM&P). pacts on command missions and readi- (6) If a member will be ordered to re- ness anticipated from loss of the mem- turn to the United States, determine if ber. the member will be ordered TAD or (iii) Facts relating to any inter- PCS and advise the member’s com- national agreements or ongoing DoD manding officer of the determination. investigations or courts-martial in- (7) If a member will be ordered to revolving the respondent. turn to an appropriate port of entry to (iv) Information regarding conditions comply with a request, ensure: expected to interfere with a member’s (i) The requesting officer has given return to the command after comple- official notification to the responsible tion of proceedings. If, in the opinion of official that the requesting official or the commanding officer, there are com- other appropriate party will initiate pelling reasons for the member to be action with the receiving jurisdiction returned to the United States PCS, to secure the member’s delivery/extra- provide full justification to support dition, as appropriate, per chapter 6 of that recommendation to the cognizant the Manual of the Judge Advocate Gen- officer. eral, and provide for all costs incident (3) If a delay in processing is war- thereto, including any escort if desired. ranted under § 720.42 or § 720.45(e), make (ii) If applicable, the necessary ac- a recommendation with supporting jus- counting data are provided to the com- tification to the responsible official. manding officer of the member or or- (4) Monitor, and update as necessary, ders are issued. information provided to the respon- (iii) The member has arranged satis- sible official. factory foster care for any lawful (h) The responsible official shall: minor dependents who will be left un- (1) Determine whether the request is accompanied overseas upon the mem- based on an order issued by a court of ber’s return to the United States. apparent competent jurisdiction and if (8) Notify the requesting official at so, complete action on the request no least 10 days before the member’s re- later than 30 days after its receipt by turn to the selected port of entry. the responsible official. If a conflicts of (9) In the case of an employee or of a law issue is presented between compet- family member, the commanding offi- ing state interests, or between a state cer or officer in charge of the activity and a foreign host-nation, or between to which the family member’s sponsor two different foreign nations, the mat- is attached, or by which the employee ter shall be referred to the is employed, will carry out the follow- ASN(M&RA) on the first issue and to ing steps:

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(i) An employee shall be strongly en- 721.2 [Reserved] couraged to comply with the court 721.3 Scope and effect. order or other request for return. Fail- 721.4 Definitions. ure to comply may be the basis for ad- 721.5 General policies governing the conduct verse action to include removal from of naval personnel. Federal service. Adverse action should 721.6 Standards of conduct governing naval only be taken after coordination with personnel. the cognizant civilian personnel office 721.7 Related statutes and directives. and legal counsel and in compliance 721.8 Responsibilities for action. 721.9 Personal financial disclosure. with Civilian Personnel Instruction 721.10 Post employment restrictions. 752. 721.11 Administrative enforcement of 18 (ii) If a family member of either a U.S.C. 207. member or an employee is the subject 721.12 Reporting of post-retirement employ- of a request for return, the family ment. member shall be strongly encouraged 721.13 Delegation of authority. to comply with the court order. Failure 721.14 Reports and forms. to respond may be the basis for with- 721.15 Digest of laws. drawal of command sponsorship of the 721.16 Submission and processing of reports family member. of financial circumstances (SF–278 and (10) Report promptly to the DD Form 1555). ASN(M&RA) any actions taken under 721.17 Procedures for administrative en- § 720.45 (a) or (b). forcement of post employment restric- (i) The ASN(M&RA): tions of 18 U.S.C. 207. (1) May grant delays of up to 45 days 721.18 Bedrock standards of conduct for De- partment of the Navy personnel. from the date of a request for delay in accordance with § 720.45(e). AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 133 and (2) Will report promptly all delays of 5031; E.O. 11222, May 8, 1965; 5 CFR part 735; 32 CFR part 40. requests for the return of members to the ASD(FM&P) and to the General SOURCE: 50 FR 9000 Mar. 6, 1985, unless oth- Counsel of the Department of Defense. erwise noted. (3) Will request from the § 721.1 Purpose. ASD(FM&P), when warranted, exception to the policies and procedures of Part 721 implements and supplements DoD Directive 5525.9 of December 27, Pub. L. 95–521, as amended by Pub. L. 1988. 96–19 and Pub. L. 96–28; part 40 of this (4) Consolidate and forward reports of title; E.O. 11222, 3 CFR, 1964–1965 action taken under § 720.45 (a) or (b) to Comp., p. 301; and 5 CFR parts 734, 735, the ASD(FM&P) and the General Coun- 737, and 738, by prescribing required sel, DoD as required by DoD Directive standards of ethical conduct governing 5525.9 of December 27, 1988. all personnel in the Department of the Navy, to place responsibility and ac- § 720.46 Overseas screening programs countability for ensuring compliance The Chief of Naval Operations (CNO) upon commanding officers and super- and the CMC shall incorporate proce- visors, to publish financial disclosure dures requiring members and employ- reporting requirements and procedures ees to certify they have legal custody applicable to certain naval personnel, of all minor dependents accompanying to set forth conflict of interest statutes them outside the United States into applicable to certain categories of both service overseas screening programs. former and current naval personnel, and to promulgate bedrock standards § 720.47 Report. of conduct as a concise statement of The report requirement in this in- expected ethical behavior. struction is exempt from reports control by SECNAVINST 5214.2B. § 721.2 [Reserved]

PART 721—STANDARDS OF § 721.3 Scope and effect. CONDUCT (a) Applicability. The provisions of Sec. this part apply to all naval personnel 721.1 Purpose. as defined in § 721.4(a). The provisions

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of § 721.6(k)(2) apply to all retired mili- training) given or extended to or on be- tary naval personnel and members of half of naval personnel or their Reserve components not on active spouses, minor children or members of duty. The provisions of § 721.7(a), their households for which fair market §§ 721.10, and 721.11 apply to certain value is not paid by the recipient or former naval personnel. The provisions the U.S. Government. of § 721.12 apply to all retired Regular (e) Appropriate supervisor. That supe- officers. rior within the chain of authority who (b) Violations. The bracketed portions is acquainted with the duties of the of § 721.6 are regulatory general orders, naval personnel concerned and can best apply to all naval personnel individ- determine the existence and effect of ually, and need no further implementa- any conflict of interest of such person- tion. A violation of these provisions is nel. Ordinarily, this will be the imme- punishable in accordance with the Uni- diate superior of the person concerned. form Code of Military Justice for mili- Each commanding officer and head of tary personnel and is the basis for ap- activity should ensure that all person- propriate disciplinary procedures with nel are aware of the identity of their respect to civilian employees. Non- appropriate supervisor. compliance with other provisions of the instruction is expected to be cor- § 721.5 General policies governing the rected by timely administrative ac- conduct of naval personnel. tion. (a) Proper conduct of official activities. § 721.4 Definitions. (1) Naval personnel shall become familiar with the scope of authority for and (a) All Department Naval personnel. the limitations concerning the activi- of the Navy civilian officers and em- ties for which they have responsibil- ployees, active-duty officer and en- ities. listed personnel (both Regular and Re- serve), special Government employees, (2) The attention of naval personnel and personnel of nonappropriated fund is directed to the statutory prohibi- instrumentalities. tions that apply to the conduct of (b) Department of Defense (DOD) com- naval personnel. See § 721.15. ponents. The Office of the Secretary of (3) Naval personnel shall not make or Defense, the Military Departments, the recommend any expenditure of funds or Organization of the Joint Chiefs of take or recommend any action known Staff, the joint, unified, and specified or believed to be in violation of United commands, the Defense agencies, and State laws, Executive Orders, applica- nonappropriated fund instrumental- ble directives, instructions, or regula- ities. tions. (c) Special Government employee. A (4) In cases of doubt of the propriety person who is retained, designated, ap- of a proposed action or decision in pointed or employed to perform, with terms of regulations or law, naval per- or without compensation, not to exceed sonnel shall consult legal counsel or, if 130 days during any period of 365 con- appropriate, the Designated Agency secutive days, temporary duties on ei- Ethics Official, a deputy ethics official ther a full-time or intermittent basis. or ethics counselor (hereafter collec- The term also includes a Reserve offi- tively referred to as ‘‘ethics officials’’; cer while on active duty solely for see paragraphs (a), (b), (g), and (h) of training for any length of time, one § 721.8) to ensure the proper and lawful who is serving on active duty involun- conduct of naval programs and activi- tarily for any length of time, and one ties. who is serving voluntarily on extended (b) Conduct prejudicial to the Govern- active duty for 130 days or less. It does ment. Naval personnel shall avoid any not include enlisted personnel. action whether or not specifically pro- (d) Gratuity. Any gift, favor, enter- hibited by this instruction that might tainment, hospitality, transportation, result in or reasonably be expected to loan, any other tangible item, and any create the appearance of: intangible benefit (for example, dis- (1) Using public office for private counts, passes, and promotional vendor gain,

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(2) Giving preferential treatment to otherwise to follow the rule of strict any person or entity, impartiality when dealing with such (3) Impeding Government efficiency persons in their official capacities. Ac- or economy, ceptance of gratuities (no matter how (4) Losing complete independence or innocently tendered or received) from impartiality, those who have or seek business deal- (5) Making a Government decision ings with the Department of the Navy outside official channels, or may be a source of embarrassment to (6) Adversely affecting the confidence the Department and to the naval per- of the public in the integrity of the sonnel involved, may affect the objec- Government. tive judgment of the recipient, and (c) Standards of personal judgment. All may impair public confidence in the in- naval personnel will adhere strictly to tegrity of business relations between the standards of conduct and related the Department and industry. It is em- requirements prescribed. In some in- phasized that prohibited conflicts and stances, standards are imposed that re- apparent conflicts of interest can quire the exercise of personal judg- sometimes arise even from relation- ment. Naval personnel must consider ships and transactions that the person- each such instance carefully and be nel concerned perceive as inconsequen- prepared to account for the manner in tial. When in doubt, naval personnel which their judgment is exercised. This will refrain from accepting gratuities, is particularly true in situations that attending functions, or accepting other involve acceptance of hospitality or fa- invitations of a hospitable nature. vors from persons or entities who do or (e) Preferential treatment. Special seek to do business with the Depart- treatment must not be accorded to par- ment of Defense. ticular individuals or firms unless (d) Dealings with business and industry equivalent treatment is also accorded representatives. Persons who represent to other justifiably entitled individuals the Government in business dealings or firms. with representatives of industry have (f) Acquiring conflicting financial inter- positions of trust and grave respon- ests. Notwithstanding that they may be sibility that require them to observe required to submit reports of their per- the highest ethical standards. Prac- sonal financial circumstances, naval tices that may be accepted in the pri- personnel must at all times avoid ac- vate business world are not necessarily quiring or retaining financial interests acceptable for naval personnel. Naval that would disqualify them from per- personnel will not allow themselves to forming their assigned duties or re- be placed in a position in which a con- sponsibilities. Some of the more likely flict of interest might arise or might situations in which conflicts of interest justifiably be suspected. Such a con- might arise are where naval personnel flict of interest may arise or appear to have Government duties or responsibil- arise by reason of the acceptance of ities related to business entities: gratuities or by any other action that (1) With which they, their spouses, could influence or reasonably be inter- minor children, or household members preted as influencing the strict impar- are associated as employees, officers, tiality that must prevail in all business owners, directors, members, trustees, relationships involving the Govern- partners, advisers, or consultants; ment. Strict impartiality is often par- (2) With which they, their spouses, ticularly difficult to maintain when minor children, or household members business relationships are allowed to are negotiating or have arrangements become overly personal. Naval person- for prospective employment; or nel should at all times ensure that per- (3) In which they, their spouses, sons doing business or attempting to minor children, or household members do business with the Department of the have interests through ownership of Navy or who represent such entities stock, stock options, bonds, or other are not permitted to ingratiate them- securities or other financial arrange- selves to the extent that naval person- ments, such as trusts, or through par- nel hesitate to deny requests for spe- ticipation in certain types of pension cial treatment made by such persons or or retirement plans.

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(g) Membership in associations. Naval leased office space. Department of the personnel who are members or officers Navy activities shall display the poster of nongovernmental associations or or- at all installations, facilities, and of- ganizations must avoid activities on fices. It may also be displayed in lob- behalf of the association or organiza- bies, conference rooms, reception tion that are incompatible with their areas, auditoriums, cafeterias, and official Government positions. Under other high-traffic areas. To obtain cop- certain circumstances, holding a posi- ies, submit requisitions in FEDSTRIP tion of trust or responsibility in a pri- format to the appropriate GSA re- vate association or organization or un- gional office, requesting national stock dertaking activities on its behalf could number (NSW) 7690–01–099–8167. conflict with one’s official duties. For example, a commanding officer may § 721.6 Standards of conduct govern- not hold a position of trust or respon- ing naval personnel. sibility in an insurance company or an (a) Affiliations and financial interests. employee welfare or benefit organiza- øNaval personnel shall not engage in tion that sells insurance to its mem- any personal, business, or professional bers since the official duties of a com- activity or receive or retain any direct manding office require the exercise of or indirect financial interest that control over the solicitation of insur- places them in a position of conflict be- ance within the command. Secretary of tween their private interests and the the Navy Instruction (SECNAVINST) public interests of the United States 5760.4 (series) sets forth Department of related to the duties or responsibilities the Navy policy regarding participa- of their official positions. For the pur- tion by naval activities and naval per- pose of this prohibition, the private in- sonnel in the activities of private asso- terests of a spouse, minor child, or ciations. household member are treated as pri- (h) Equal opportunity. Naval person- vate interests of naval personnel.¿ nel shall scrupulously adhere to the (1) Unless otherwise expressly au- DOD program of equal opportunity re- thorized by action taken under 18 gardless of race, color, religion, sex, U.S.C. 208(b), all naval personnel who age, handicapping condition, or na- have or acquire an affiliation or a fi- tional origin in accordance with equal nancial interest that creates a conflict opportunity directives. See, for exam- or appearance of a conflict with their ple, SECNAVINST 5350.6 (series) and official duties shall report the possibly SECNAVINST 5350.10 (series). disqualifying interest to their appro- (i) Reporting suspected violations. priate supervisor who shall resolve the Naval personnel who have information matter in accordance with this instruc- that causes them to believe that other tion. If it is determined that the indi- DOD personnel have violated a statute vidual should be disqualified from par- or standard of conduct imposed by this ticipation in any official activities instruction should bring the matter to that are related to the conflicting in- the attention of the appropriate com- terest, a formal memorandum of dis- mand authority. qualification must be sent to the con- (j) Resolving violations. Commanding cerned individual and to any affected officers or heads of activities shall immediate subordinate. If the individ- promptly resolve standards of conduct ual cannot adequately perform his or violations by one or more measures her official duties after such disquali- such as divestiture of conflicting inter- fication, he or she must divest himself ests, disqualification for particular as- or herself of such interest or be re- signments, changes in assigned duties, moved from that position. termination, or disciplinary or other (2) Naval personnel need not be dis- appropriate action as provided by stat- qualified under this section, however, ute or administrative procedures. for having one or more of the financial (k) Display of the Code of Ethics for interests or affiliations set forth below. Government Service. Pub. L. 96–303 re- Such holdings are exempted from the quires the display of the Code of Ethics provisions of this instruction otherwise for Government Service poster in appro- pertaining to disqualification, but not priate areas of federally owned or disclosure of, such interests and from

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the provisions and penalties of 18 tained by reason of their DOD posi- U.S.C. 208(a) as being too remote or in- tions.¿ consequential to affect the integrity of (c) Using naval position.øNaval per- the services of naval personnel: sonnel are prohibited from using their (i) Shares of a widely held and diver- official positions to improperly induce, sified mutual, money market, trust, or coerce, or in any other manner improp- similar fund offered for sale by a finan- erly influence any person to provide cial institution or by a regulated in- any benefit, financial or otherwise, to vestment company; themselves or others.¿ (ii) Deposits in and loans made by (d) Dealing with present and former banks or other financial institutions, military and civilian personnel.ø Naval provided they are at customary and personnel shall not knowingly deal on generally available terms and condi- behalf of the Government with present tions; or former Government personnel, mili- (iii) Domestic bonds other than cor- tary or civilian, whose participation in porate bonds, i.e., federal, state, mu- the transaction would be in violation nicipal, or local government bonds, re- of a statute, regulation, or policy set gardless of the value of such interest; forth in this instruction, § 721.15 or 5 and CFR part 737.¿ (e) Commercial solicitations by naval (iv) Interests resulting from holding personnel. To eliminate the appearance a position of trust or responsibility in of coercion, intimidation, or pressure a private, nonprofit association or from rank, grade, or position, øall other organization that fosters and naval personnel, are prohibited from promotes the general interests of the making commercial solicitations or naval service and depends, in part, sales to DOD personnel who are junior upon the voluntary efforts of naval per- in pay grade, or position, at any time sonnel acting in their private capac- or place¿ (see also SECNAVINST 1740.2 ities for leadership. Provided they dis- (series)). Commercial sales, whether or close their relationship with the orga- not solicited, are prohibited between nization when doing so, naval person- officer and enlisted military personnel nel so serving may, in their official ca- except as specified in paragraph (e)(2) pacities, render advice and make rec- of this section (see U.S. Navy Regula- ommendations within the chain of tions, 1973, Article 1131). command with respect to particular (1) This prohibition includes, but is matters affecting the organization if not limited to, the solicitation and sale the final decision is made by higher au- of insurance, stocks, mutual funds, real thority. estate, and other commodities or (3) Notwithstanding paragraph (a)(2) goods. of this section, the commanding officer (2) This prohibition is not applicable or head of the activity to which an in- to the one-time sale, lease, or sublease dividual is assigned who holds an inter- by an individual of his or her own per- est described in paragraph (a)(2)(iii) or sonal property or privately owned or (a)(2)(iv) of this section may, in his or leased dwelling, or to the off-duty em- her discretion, require such individual ployment of naval personnel as em- to refrain from taking any official ac- ployees in retail stores or other situation affecting the interests of an entity tions not involving solicited sales. in which the individual holds such an (3) With regard to solicitation by and interest, if determined to be in the best of civilian personnel, the limitation ap- interest of the Government. In this re- plies only to solicitation of personnel gard, see § 721.5 (b) and (g), and § 721.6(j) under the supervision, at any level, of for ethics considerations other than 18 the solicitor. U.S.C. 208. (f) Assignment of Reserve personnel for (b) Using inside information. øNaval training. Naval personnel who are re- personnel shall not use, directly or in- sponsible for assigning reservists for directly, inside information to further training shall not assign them to du- a private gain for themselves or others ties in which they will obtain informa- if that information is not generally tion that could be used by them or available to the public and was ob- their private sector employers to gain

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unfair advantage over civilian competi- poses of any contractor who is sponsor- tors. ing, supporting, or participating in the (g) Gratuities. (1) øExcept as provided activity (for example, participation in in paragraph (g)(2) of this section, a little league or Combined Federal naval personnel and their spouses, Campaign luncheon that is subsidized minor children, and members of their by a DOD contractor); households shall not solicit, accept, or (vii) Social activities engaged in by agree to accept any gratuity for them- officers in command and other naval selves, members of their families, or officials or their representatives with others, either directly or indirectly local civic leaders as part of commu- from or on behalf of a defense contrac- nity relations programs of the Depart- tor or other entity that:¿ ment of the Navy in accordance with (i) øIs engaged in or seeks business or SECNAVINST 5720.44 (series); financial relations of any sort with any (viii) The participation of naval per- DOD component;¿ sonnel in widely attended gatherings of (ii) øConducts operations or activi- mutual interest to Government and in- ties that are either regulated by a DOD dustry, sponsored or hosted by institu- component or significantly affected by tions of higher learning, industrial, DOD decisions; or¿ technical, or professional associations (iii)øHas interests that may be sub- (not by individual contractors), pro- stantially affected by the performance vided that, in the case of the associa- or nonperformance of the official du- tions, their programs have been ap- ties of DOD personnel.¿ proved in accordance with DOD In- A foreign government or any agency struction 5410.20. This exception per- thereof shall also constitute a defense mits acceptance of a luncheon, dinner, contractor under this section where it or refreshments which are part of the is engaged in selling to the Department gathering, but does not extend to the of Defense. acceptance of transportation or over- (2) This general prohibition does not night accommodations unless author- apply to the following: ized under the terms of paragraphs (i) The continued participation in (g)(2) or (h) of this section; employee welfare or benefit plans of a former employer when permitted by (ix) Situations in which participation law and approved by the appropriate by naval personnel at public ceremo- ethics official; nial activities of mutual interest to in- (ii) The acceptance of unsolicited ad- dustry or local communities and the vertising or promotional items of Department of the Navy, such as ship nominal intrinsic value such as dispos- launchings, serves the interests of the able pens or pencils, note pads, or cal- Government, and acceptance of the in- endars; vitation is approved by the command- (iii) Unsolicited trophies, entertain- ing officer or head of the activity to ment, prizes, or awards given for public which the invitee is attached. This ex- service or achievement, or in games or ception permits attendance at appro- contests that are clearly open to the priate functions incident to the activ- public or that are officially approved ity, and mementos of nominal intrinsic for participation by naval personnel; value; (iv) Things available to the public (x) Contractor-provided transpor- (such as university scholarships cov- tation, meals, or overnight accom- ered by DOD Directive 1322.6 and free modations in connection with official exhibitions by DOD contractors at pub- business when arrangements for Gov- lic trade fairs); ernment or commercial transportation, (v) Discounts or concessions extended meals, or accommodations are clearly and realistically available to all naval impracticable and the individual re- personnel within a given metropolitan ports the circumstances in writing to or regional geographic area; his or her appropriate supervisor in ad- (vi) Participation by naval personnel vance of acceptance or as soon after as in civic and community activities possible; when the involvement of DOD contrac- (xi) Attendance at promotional ven- tors is remote from the business pur- dor training sessions (such as tuition-

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free training or refresher courses, semi- the Government’s interest will be nars, and the like) offered by contrac- served by naval personnel participating tors to facilitate understanding or uti- in activities otherwise prohibited. In lization of their products. Such attend- any such case a written report of the ance may be authorized when it is de- circumstances shall be made by the in- termined to be in the Government’s individual concerned or his or her appro- terest by the appropriate supervisor of priate supervisor in advance of accept- the individual concerned. Transpor- ance, or, when an advance report is not tation, accommodations, and meals in possible, within 48 hours after accept- connection with such training may be ance to the appropriate supervisor, if accepted only in accordance with para- the appropriate supervisor is not other- graph (g)(2)(x) of this section; wise aware of the acceptance, and to (xii) Attendance of naval personnel the cognizant eithics counselor, as de- at gatherings, including social events such as receptions, that are hosted by fined in § 721.8(h). foreign governments or international (3) Naval personnel who receive gra- organizations, provided that the ac- tuities, or have gratuities received for ceptance of the invitation is approved them in circumstances not in conform- by the commanding officer or head of ance with the standards of this section the activity to which the invitee is at- shall promptly report the cir- tached or, when there is doubt as to the cumstances to the appropriate super- propriety of acceptance, by higher au- visor for a determination as to proper thority (see SECNAVINST 1650.1 (se- disposition. The appropriate supervisor ries) for further information pertaining shall consult with the cognizant eithics to gifts from foreign governments); counselor, as defined in §721.8(h). (xiii) Customary exchanges of gratu- (4) Procedures with respect to ities between naval personnel and their NROTC staff members are set forth in friends and relatives or the friends and DOD Directive 1215.8. relatives of their spouses, minor chil- (h) Receipts in connection with official dren, or members of their household travel. (1) The acceptance of transpor- where the circumstances make it clear tation, accommodations, meals, or that it is that relationship rather than other services furnished in kind in con- the business of the persons concerned nection with official travel from that is the motivating factor for the sources other than those indicated in gratuity and where it is clear that the gratuity is not paid for by any entity paragraph (g)(1) of this section may be described in paragraph (g)(1) of this authorized by the commanding officer section; or head of activity to which an individ- (xiv) Reimbursement in cash or in ual is assigned if determined to be in kind for travel, lodging, or subsistence the overall interest of the Government expenses not extravagant or excessive when the individual concerned is to be in nature in connection with seeking a speaker, panelist, project officer, or other employment. In such cases the other bona fide participant in the event individual shall first notify his or her attended and if the entity sponsoring appropriate supervisor in writing and the event customarily provides such shall disqualify himself or herself from services to participants. The accept- participating on behalf of the Govern- ance of services of this nature may also ment in any particular matter affect- be authorized under the foregoing con- ing the interests of the prospective em- ditions in connection with official ployer. The disqualification may be re- travel to participate in events such as scinded only if the individual con- symposia, seminars, and the like spon- cerned notifies his or her appropriate sored by institutions of higher learn- supervisor in writing that he or she is ing, or industrial, technical, or profes- no longer seeking or actively consider- sional associations that are engaged in ing employment with that prospective activities directly or indirectly funded employer; and by the Department of Defense, and that (xv) Situations in which, in the sound are, therefore, entities falling within judgment of the individual concerned or his or her appropriate supervisor, the scope of paragraph (g)(1) of this

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section when such activities and the of- thorities to present that position offi- ficial duties of the naval personnel in- cially, he or she shall expressly present vited to participate in the event are his or her views on that matter as his unrelated. or her own and not as those of the De- (2) øExcept as indicated in paragraph partment of the Navy or Department of (h)(1) of this section, naval personnel Defense. may not accept personal reimburse- (3) øNaval personnel may not accept ment from any source for expenses in- a payment or fee for any appearance or cident to official travel unless author- writing unless undertaken as a private ized by their commanding officer or citizen and not in an official capacity.¿ head of their activity consistent with See also paragraph (j) of this section guidance provided by the appropriate relating to outside employment gen- eithics official¿ (pursuant to 5 U.S.C. erally. 4111 or other authority). Rather, reim- (4) Naval personnel may not accept bursement must be made to the Gov- an honorarium exceeding $2,000 (ex- ernment by check payable to the cluding actual travel and subsistence ‘‘Treasurer of the United States’’. Per- expenses for the individual concerned, sonnel will be reimbursed by the Gov- and for his or her spouse, or an aide, ernment in accordance with regula- and fees or commissions paid to agents) tions relating to reimbursement for of- for any appearance, lecture, speech, or ficial travel. article, unless disbursed to charitable (3) When transportation, accommoda- organizations in accordance with pro- tions, meals, or services in kind are cedures of 2 U.S.C. 441i(b). An hono- furnished to naval personnel by non- rarium is a gratuitous payment which Government sources consistent with is not intended as compensation for paragraph (h) of this section, appro- services. priate deductions shall be reported and made in the travel, per diem, or other (5) Civilian presidential appointees allowances payable by the Govern- assigned to the Department of the ment. Navy whose appointments must be (4) In no case shall naval personnel made by and with the advice and con- accept reimbursement either in kind or sent of the Senate shall not receive in cash that is extravagant or excessive compensation (excluding travel and in nature. subsistence expenses not otherwise pro- (i) Speaking, lecturing, writing, and ap- hibited by this instruction) or any- pearances. (1) Naval personnel are en- thing of monetary value for any con- couraged to engage in teaching, lectur- sultation, lecture, discussion, writing, ing, and writing. øNaval personnel (in- or appearance the subject matter of cluding all Navy and Marine Corps which is devoted substantially to naval members of both the ready and stand- responsibilities, programs, or oper- by reserve), however, shall not, either ations or that draws substantially from with or without compensation, engage official material that has not become in activities that are dependent upon part of the body of public information. information obtained as a result of Such personnel are also prohibited in their Government employment except any calendar year from having outside when the information has been pub- earned income exceeding 15 percent of lished or is generally available to the the rate of pay fixed by law as com- public, or it will be made generally pensation for their services to the Gov- available and the official authorized to ernment or as stipulated and agreed to release such information gives written with the Senate Committee on Armed authorization for the use of nonpublic Services as a condition to the con- information on the basis that its use is firmation of their appointment by the in the public interest.¿ Senate, whichever is less. See 5 U.S.C. (2) Unless there is a definite execu- app. 210. tive branch, Department of Defense, or (j) Outside employment of naval person- Department of the Navy position on a nel. (1) øNaval personnel shall not en- matter addressed in the appearance or gage in outside employment or any writing and the individual has been au- other outside activity with or without thorized by appropriate superior au- compensation that:¿ 221

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(i) øInterferes with or is not compat- the Internal Revenue Code of 1954, sec- ible with the performance of their Gov- tion 501(a). ernment duties;¿ (2) All retired military personnel and (ii) øMay reasonably be expected to all members of Reserve components bring discredit upon the Government not on active duty are permitted to use or the Department of the Navy; or¿ their military titles in connection with (iii) øIs otherwise inconsistent with commercial enterprises, provided that the requirements of this instruction¿ they indicate their inactive Reserve or including the requirement to avoid ac- retired status. If, however, such use of tions and situations which reasonably military titles in any way casts dis- can be expected to create the appear- credit upon the Department of the ance of a conflict of interest. Navy or the Department of Defense or (2) Enlisted naval personnel on active gives the appearance of sponsorship, duty may not be ordered or authorized sanction, endorsement, or approval by to leave their post to engage in a civil- the Department of the Navy or the De- ian pursuit, business, or professional partment of Defense, it is prohibited. activity if it interferes with the cus- In addition, commanders of overseas tomary or regular employment of local installations may further restrict the civilians in their art, trade, or profes- use of titles in overseas areas including sion. See 10 U.S.C. 974. use by retired military personnel and members of Reserve components not on (3) Active duty Regular officers of active duty. the Navy and Marine Corps, including (l) Use of Government facilities, prop- those on terminal leave, shall not be erty, and manpower. øNaval personnel employed by any person or entity fur- shall not directly or indirectly use, nishing naval supplies or war materials take, dispose of, or allow the use, tak- to the United States. If such an officer ing, or disposing of Government man- is so employed, he or she is not entitled power, property or facilities of any to payment from the United States for kind, including property leased to the the duration of that employment, pur- Government, for other than official suant to 37 U.S.C. 801(a). government business or purpose.¿ (4) Off-duty employment of military Naval personnel have a positive duty to personnel by an entity involved in a protect and conserve Government prop- strike is permissible if the person was erty. Waste or abuse of any Govern- on the payroll of the entity prior to the ment asset will not be tolerated. See commencement of the strike and if the SECNAVINST 5430.92. These provisions employment is otherwise in conform- do not preclude the use of Government ance with the provisions of this in- facilities for approved activities in fur- struction. After a strike begins and therance of naval community rela- while it continues, no military person- tions, provided they do not interfere nel may accept employment by that in- with military missions or Government volved entity at the strike location. business. See SECNAVINST 5720.44 (se- (k) Use of civilian and military titles or ries) for community relations guid- positions in connection with commercial ance. enterprises. (1) øAll naval personnel are (m) Prohibition of contributions or pre- prohibited from using their grade, sents to superiors. øNaval personnel rank, title, or position in connection shall not solicit contributions from with any commercial enterprise or in other DOD personnel for a gift to a su- endorsing any commercial product.¿ perior, make a donation or a gift to a See also Article 1403, U.S. Navy Uni- superior, or accept a gift from other form Regulations. This does not pre- DOD personnel subordinate to them- clude author identification for mate- selves.¿ This prohibition does not in- rials published in accordance with DOD clude voluntary gifts or contributions procedures. A commercial enterprise is of nominal value on special occasions any entity that engages in activities such as marriage, illness, transfer, pro- that produce income as defined in the motion, or retirement, provided any Internal Revenue Code of 1954, section gifts acquired with such contributions 61, and that has not been exempted shall not be extravagant or excessive in from paying income taxes pursuant to nature.

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(n) Gambling, betting, and lotteries. tions governing the rights and respon- øWhile on Government owned, leased, sibilities of naval personnel. If any pro- or controlled property, or otherwise visions of this instruction is found to while on duty for the Government, conflict with a provision of Navy Regu- naval personnel shall not participate in lations, the provision of Navy Regula- any gambling activity including a lot- tions shall be controlling. tery or pool, a game of chance for money or property, or the sale or pur- § 721.8 Responsibilities for action. chase of a number slip or ticket.¿ The only exceptions are for activities that (a) The General Counsel of the Navy. have been specifically approved by the The General Counsel of the Navy is as- Secretary of the Navy. signed overall responsibility for the (o) Indebtedness. Naval personnel ethics and standards of conduct pro- shall pay their just financial obliga- gram of the Department of the Navy tions in a timely manner, particularly and is appointed as Designated Agency those imposed by law (such as Federal, Ethics Official for the Department of state, and local taxes), so that their in- the Navy, the duties of which are pre- debtedness does not adversely affect scribed in 5 CFR 738.203. Unless a func- the Government as their employer. The tion is specifically reserved or other- Department of the Navy is not required wise assigned here, the General Coun- to determine the validity or amount of sel shall act as the designee of the Sec- disputed debts. retary and for these purposes is em- [50 FR 9002, Mar. 6, 1985; 50 FR 15891, Apr. 23, powered to redelegate all such duties 1985] to the extent permitted by 5 CFR 738.204. § 721.7 Related statutes and directives. (b) Principal Deputy General Counsel of Attention is directed to the following the Navy. The Principal Deputy Gen- related matters governed by other di- eral Counsel of the Navy is appointed rectives: as the Alternate Designated Agency (a) Reports of defense related employ- Ethics Official for the Department of ment. Certain categories of present the Navy and shall assume the respon- naval personnel formerly employed by sibilities of the Designated Agency defense contractors and certain cat- Ethics Official in the absence of the egories of former or retired naval per- General Counsel of the Navy. In the ab- sonnel presently employed by defense sence of both the General Counsel of contractors are required by statute to the Navy and the Principal Deputy report their employment, govern- General Counsel of the Navy, the Act- mental or private. SECNAVINST 5314.5 ing General Counsel of the Navy shall (series) implements the statutory re- assume the responsibilities of the Des- quirements, provides a form for mak- ignated Agency Ethics Official. ing the required report (DD Form 1787), (c) Navy Department officials. The and assigns responsibility to command- Chief of Naval Operations and the Com- ing officers or heads of activities for ensuring compliance with the filing re- mandant of the Marine Corps shall en- quirement by affected civilian employ- sure that all naval personnel receive an ees. Failure to file such reports when oral briefing on this instruction upon required may subject individuals to initial appointment, employment or criminal penalties. enlistment. This briefing shall be given (b) Political activities. Chapter 733 of at a depth and with an emphasis con- the Federal Personnel Manual, article sistent with the nature of the duties to 6210240 of the Naval Military Personnel which such personnel are presently as- Manual, and paragraph 1742.3 of the signed and may be assigned in the fore- Marine Corps Manual discuss restric- seeable future. All personnel shall at- tions on political activities of naval test in writing to their attendance at personnel. Related statutes are dis- the required briefing. cussed in § 721.15. (d) Commanding officers and heads of (c) General responsibilities of naval per- activities. Each individual has a basic sonnel. Chapter 11 of U.S. Navy Regula- responsibility for complying with the tions, 1973, prescribes general regula- requirements of this instruction, but

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commanding officers and naval person- (e) Inspector General. The Naval In- nel exercising command or similar au- spector General and the Inspector Gen- thority have as a leadership/manage- eral of the Marine Corps shall ensure ment matter the primary responsibil- that periodic administrative inspec- ity for ensuring compliance, and they tions of organizations under their cog- will be held accountable. All command- nizance routinely include inquiry into ing officers or heads of commands, bu- the effectiveness of the organization’s reau, offices, or activities are specifi- compliance with the provisions of this cally responsible for the following: instruction. (1) The continuing dissemination of (f) Auditor General. The Auditor Gen- the applicable information in this in- eral of the Navy shall ensure that the struction to all naval personnel within Naval Audit Service audit program their organizations at least annually in routinely includes inquiry into the ef- a manner that will ensure familiarity fectiveness of the organization’s com- and compliance with the pertinent pro- pliance with the provisions of this in- visions of this instruction. (This is a struction. continuing requirement and is in addi- (g) Deputy ethics officials. The Judge tion to the initial briefing required by Advocate General, the Director, Judge paragraph (c) of this section); Advocate Division (Headquarters Ma- (2) Providing a copy of this instruc- rine Corps), and the Assistant General tion to all naval personnel within their Counsel of the Navy (Ethics) are ap- organizations upon request and periodi- pointed as deputy ethics officials and cally publishing § 721.18, which is a con- are delegated authority to act for the cise summary of the standards; General Counsel. They shall be responsible for all ethics and standards of (3) The establishment and continuing conduct functions within their respec- execution of the requirements, proce- tive areas of jurisdiction including, but dures and controls prescribed in § 721.16 not limited to, advice and proper re- to ensure that all naval personnel view of all ethics and standards of con- within their organizations who are re- duct problems and for finally review- quired to file reports of their financial ing, acting upon, and maintaining the circumstances do file them in a timely Department’s file of Financial Disclo- manner, and that the specified reviews sure Reports (SF–278’s), except that the are promptly and carefully made; General Counsel shall perform all (4) Making determinations pursuant standards of conduct functions pertain- to this instruction and 18 U.S.C. 208(b) ing to civilian presidential appointees with respect to disqualification of per- assigned to the Department of the sonnel within their organizations from Navy. performing duties in which they have (h) Ethics counselors. Ethics coun- conflicts or apparent conflicts of inter- selors have been delegated authority est; for initially reviewing Financial Dis- (5) Ensuring that Reservists detailed closure Reports (SF–278) and for finally to perform active duty for training in reviewing Statements of Affiliations their organizations are assigned duties and Financial Interests (DD Form 1555) that will minimize the possibility of submitted by other naval personnel obtaining information that could be within their organization, activity, or used by them or their employers to geographical area. In addition, they gain an unfair advantage over civilian shall be responsible for providing ad- competitors; and vice and assistance on matters relating (6) Receiving and taking prompt and to ethics, standards of conduct, and appropriate action on reports concern- conflicts of interest under this instruc- ing violations of this instruction in- tion. Specific appointments of ethics cluding § 721.15 or related statutes, by counselors are contained in § 721.16. personnel within their organizations. Other ethics counselors may be ap- (7) Ensuring that prospective retirees pointed by the General Counsel, the are briefed concerning post-employ- Judge Advocate General, the Director, ment requirements and restrictions, as Judge Advocate Division (Headquarters discussed in § 721.12, § 721.15, 5 CFR part Marine Corps), or the Assistant Gen- 737, and NAVSO P–1778. eral Counsel (Ethics).

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(i) Additional duties of senior officials. § 721.12 Reporting of post-retirement The Commandant of the Marine Corps employment. and the Chief of Naval Material, as ap- (a) Each retired Regular officer of the propriate, are responsible for bringing Navy and Marine Corps shall keep the the contents of this instruction to the Department of the Navy advised of his attention of the principal officers of or her postretirement employment ac- each contractor doing significant business with the Department of the Navy. tivities. All retired Regular officers Chiefs and heads of commands, bu- whose names have been on the retired reaus, and offices, commanding offi- list for three years or less shall file a cers, and other senior officials shall pe- statement of employment [DD FORM riodically utilize the opportunity af- 1357]. All retired Regular officers whose forded by conferences with representa- names have been on the retired list for tives of industry to direct attention to over three years are encouraged to use the regulations and policies set forth in DD Form 1357 to report their post- this instruction. retirement employment activities. In any event, officers whose names have § 721.9 Personal financial disclosure. been on the retired list for more than The Department of the Navy main- three years shall, at a minimum, keep tains two separate and distinct finan- the Department of the Navy advised as cial disclosure reporting systems uti- to whether they are employed by any lizing either DD Form 1555 or Standard agency, instrumentality, or depart- Form 278. § 721.16 contains the detailed ment of the United States, and, if so, procedures and standards for the sub- the position title and employing agen- mission, review and custody of reports cy. Each Regular officer retiring hereby affected naval personnel of their fi- after shall file this statement within 30 nancial circumstances under both sys- days after retirement. Whenever the tems. Individuals required to file the information reported changes, each SF–278 are not required to file DD such officer shall make an appropriate Form 1555. report within 30 days of that change. The Comptroller of the Navy (for Regu- § 721.10 Post employment restrictions. lar Navy officers) and the Commandant Statutory and regulatory restric- of the Marine Corps (for Regular Ma- tions upon the activities of former or rine Corps officers) shall advise each retired naval personnel are discussed in officer required to file of the continu- § 721.15 of this part and 5 CFR part 737. ing need to report postretirement employment activities as set forth above. § 721.11 Administrative enforcement of (b) To determine compliance with 37 18 U.S.C. 207. U.S.C. 801(b) and 5 U.S.C. 5532, reports A provision of the Ethics in Govern- of postretirement employment shall be ment Act of 1978, as amended (18 U.S.C. submitted: 207(j)), requires that each agency estab- (1) In the case of a retired Regular lish administrative procedures for the Navy officer, to the Commanding Offi- enforcement of the post employment cer, Navy Finance Center (Retired Pay restrictions imposed by 18 U.S.C. 207 Division), Cleveland, OH 44199; or (a)–(c). The procedures established for (2) In the case of a retired Regular the Department of the Navy are con- Marine Corps officer, to the Command- tained in § 721.17. They provide that any ing Officer, Marine Corps Finance Cen- former officer or employee, after op- ter, Kansas City, MO 64197. portunity to be heard, who is found to (c) If an apparent violation of law or have violated any such restriction may regulation is noted upon review of a re- be barred from engaging in business port of postretirement employment, a with the Department of the Navy for a copy of the report shall be transmitted period of up to five years. The imple- to the Commander, Navy Accounting menting Office of Personnel Manage- and Finance Center, or Commandant of ment Regulations are contained in 5 the Marine Corps (Code FD), for appro- CFR part 737. priate action. [50 FR 9006, Mar. 6, 1985; 50 FR 15891, Apr. 23, (d) The Chief of Naval Personnel or 1985] the Commandant of the Marine Corps,

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as appropriate, shall provide each Reg- U.S.C. 203. This statute prohibits a ular officer retiring hereafter, as part Government employee from soliciting of the retirement check-out proce- or receiving compensation for a rep- dures, with clear instructions concern- resentation by himself or another being the requirement under this instruc- fore any federal agency while he is a tion to report postretirement employ- Government employee. ment. These instructions should be (2) 18 U.S.C. 205. (i) This statute pro- combined, where applicable, with the hibits Government personnel from act- instructions prescribed in ing as agent or attorney for anyone SECNAVINST 5314.5A concerning the else before a department, agency, or possible additional requirement to file court in connection with any particu- reports of DOD and defense-related em- lar matter in which the United States ployment (DD Form 1787). is a party or has a direct and substantial interest. § 721.13 Delegation of authority. (ii) The following exemptions are al- The General Counsel of the Navy is lowed: authorized to modify or supplement (A) 18 U.S.C. 205 does not prevent §§ 721.15, 721.16, and 721.17 of this in- Government personnel from giving tes- struction in a manner consistent with timony under oath or making state- the policies set forth herein. ments required to be made under pen- § 721.14 Reports and forms. alty of perjury or contempt or from representing another person, without (a) Symbol DD–SECNAV 5370–1 has compensation, in a disciplinary, loy- been assigned to the Statement of Af- alty, or other personnel matter. filiations and Financial Interests Re- port submitted on form DD 1555. Sym- (B) 18 U.S.C. 205 also authorizes a bol SECNAV 5370–2 has been assigned limited waiver of its restrictions and to the Financial Disclosure Report sub- those of 18 U.S.C. 203 for the benefit of mitted on form SF 278. an officer or employee, including a spe- (b) Forms are available as indicated: cial Government employee, who rep- (1) DD 1357, Statement of Employ- resents his or her own parents, spouse, ment (Regular Retired Officers), from or child, or a person or estate he or she Commanding Officer, Navy Finance served as a fiduciary. The waiver is Center, Cleveland, OH 44199; available only if approved by the offi- (2) DD 1555, Confidential Statement cial making appointments to the posi- of Affiliations and Financial Interests tion. In no event does the waiver ex- (DOD Personnel), stock number 0102– tend to representation of any such per- LF–001–550, from Ethics Counselor or son in matters in which the employee through normal channels in accordance has participated personally and sub- with NAVSUP P–2002; stantially or that, even in the absence (3) DD 1787, Report of DOD and De- of such participation, are the subject of fense Related Employment, stock num- his or her official responsibility. ber 0102LF–025–5090, from Ethics Coun- (C) Finally, 18 U.S.C. 205 gives the selor or through normal supply chan- head of a department or agency the au- nels in accordance with NAVSUP F– thority to allow a special Government 2002; employee to represent his or her regu- (4) OPM 1401, Request to Inspect or lar employer or other outside organiza- Review copies of SF 278, Financial Dis- tion in the performance of work under closure Report, from Ethics Counselor; a Government grant or contract if the (5) SF 278, Executive Personnel Fi- department or agency head certifies nancial Disclosure Report, stock num- and publishes in the FEDERAL REGISTER ber 7540–01–070–8444, from Ethics Coun- that the national interest requires selor or Local GSA Stores. such representation. [50 FR 9007, Mar. 6, 1985; 50 FR 15892, Apr. 23, (3) 18 U.S.C. 208. (i) Subsection (a) of 1985] 18 U.S.C. 208 requires executive branch personnel to refrain from participating § 721.15 Digest of laws. in an official capacity in any particu- (a) Conflict of interest laws applicable lar matter in which they, their to present officers and employees—(1) 18 spouses, minor children, or partners

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have financial interests. It also pro- former Government employee to share hibits such participation in particular in any fees rendered as compensation matters in which businesses or non- for representation before any Govern- profit organizations with which such ment agency in relation to a particular personnel are connected or are seeking matter in which the United States is a employment have financial interests. A party or has a direct and substantial ‘‘particular matter’’ may be less con- interest, regardless of whether it was crete than an actual contract, but is before the agency of which the individ- something more specific than rule ual is a former employee during the pe- making or abstract scientific prin- riod of his or her Government service. ciples. The test is whether the individ- It covers compensation received only ual might reasonably anticipate that in connection with actual or construc- his or her Government action, or the tive appearances before an agency. decision in which he or she participates This section does not apply to former or with respect to which he or she ad- Government employees who receive a vises, will have a direct and predictable fixed salary, as opposed to a share of effect upon such financial interests. profits, as compensation for their serv- (ii) Subsection (b) of 18 U.S.C. 208 per- ices. It is of concern primarily to pro- mits agencies to grant an ad hoc ex- fessional employees who leave Govern- emption from subsection (a) of the ment service to join an existing part- statute if the outside financial interest nership. is deemed not substantial enough to af- (2) 18 U.S.C. 207(a) and (b)(i), applica- fect the integrity of Government serv- ble to all former Government officers and ices. Categories of financial interests employees. (i) Subsection (a) of 18 U.S.C. may also be made nondisqualifying by 207 permanently bars a former officer a general regulation published in the or employee from acting as agent or at- FEDERAL REGISTER. torney for anyone other than the Unit- (4) 18 U.S.C 209. Subsection (a) of 18 ed States in connection with any par- U.S.C. 209 prevents executive branch ticular matter involving a specific personnel from receiving, and anyone party or parties in which the United from paying them, any salary or States is interested and in which the supplementation of salary from a pri- individual participated personnally and vate source as compensation for their substantially in his or her govern- Government service. Subsection (b) of mental capacity. Subsection (a) simi- the statute permits participation in a larly bars written or oral communica- bona fide pension plan or other em- tions to the Government or its employ- ployee welfare or benefit plan main- ees with regard to such matters. The tained by a former employer. Sub- legislative history of this provision section (c) of this statute exempts spe- makes it clear that it does not preclude cial Government employees and anyone post employment activities that may serving the Government without com- be characterized as rendering aid or as- pensation. Subsection (d) of the statute sistance but not as acting in a rep- exempts contributions, awards, or resentational capacity. Thus, it does other expenses under the Government not prohibit a former officer or em- Employees Training Act (5 U.S.C. 4101– ployee from doing in-house work for an 18). organization under a Government con- (5) 37 U.S.C. 801(a). A Regular Navy or tract or grant that he or she negotiated Regular Marine Corps officer on active on behalf of the Government, so long as duty (including terminal leave) may the former officer or employee does not not be employed by anyone furnishing represent the organization in any deal- naval supplies or war materials to the ings, formal or informal, with the Gov- United States. If such an officer is so ernment or its employees relating to employed he or she is not entitled to that contract or grant. In addition, the any payment from the United States phrase ‘‘involving a specific party or during that employment. parties’’ is interpreted as limiting the (b) Conflict of interest laws applicable particular matters in which the former to former Government officers and em- Government employee may not partici- ployees—(1) 18 U.S.C. 203. This statute pate to those specific proceedings, gen- makes it a criminal offense for a erally adversarial in nature, that affect

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the legal rights of the parties involved. (v) Implementing regulations. The com- A former Government officer or em- plete text of the Office of Personnel ployee, therefore, would not be barred Management Regulations implement- by subsection (a) from acting as agent ing 18 U.S.C. 207 (as revised by the Eth- or attorney in connection with a par- ics in Government Act) are contained ticular matter governed by general in 5 CFR part 737. These regulations rules or policies that he or she had a apply to the extent specified therein to role in establishing, so long as the par- all former Government employees who ticular matter itself was not one in left Government service after June 30, which he or she had participated as a 1979. Government officer or employee. (3) 18 U.S.C 207(b)(ii) and (c), applicable (ii) Subsection (b)(i) of 18 U.S.C. 207, to former ‘‘senior’’ Government officers as revised by the Ethics in Government and employees. (i) ‘‘Senior employees’’ Act, imposes a two-year ban against are Federal officers or employees who representational activities identical to are (A) in positions at Levels I through those covered by subsection (a) of the V of the Executive Schedule, (B) active statute as to all particular matters duty commissioned officers assigned to that were actually pending under the pay grade O–9 or above, and (C) other former officer’s or employee’s official flag and general officers and members responsibility during his or her last of the Senior Executive Service in year of Government service, but in ‘‘senior’’ positions designated by the which the employee was not personally Director, Office of Government Ethics. and substantially involved. For a position to have been so des- (iii) Past participation in, or official ignated, it must have been determined responsibility for, general rule making, the formulation of general policy or that it involves ‘‘significant decision- standards, or other similar matters making or supervisory responsibility.’’ does not preclude representational ac- Further, the position must be in the tivities. Similarly, in the scientific Senior Executive Service or have a field, past participation in discussions basic rate of pay at least equal to GS– of scientific or engineering concepts, 17, step 1, or be at military pay grades the feasibility of scientific or technical O–7 or O–8. accomplishments, or proposed Govern- (ii) Subsection (b)(ii) of this statute ment programs in their early stages, bars former senior employees, for a pe- prior to the formulation of a contract riod of two years after terminating or a contract proposal where specific their employment, from assisting in parties become involved in a matter, the representation of another person does not disqualify former Government by ‘‘personal presence’’ at an ‘‘appear- personnel from representation with re- ance’’ before the United States in con- spect to a contract entered into at a nection with any particular matter in later time even though the same gen- which the former senior employee eral scientific matters may be involved could not act as the person’s actual in such a contract. representative because of his or her (iv) Exemptions under 18 U.S.C. 207. personal and substantial participation Former officers or employees may be in the matter while in Government exempted from the restrictions of Sec- service. This provision is designed to tion 207 if the Secretary, in consulta- prevent a former senior employee from tion with the Director, Office of Gov- appearing to lend personal influence in ernment Ethics, executes a certifi- the resolution of a matter in which he cation published in the FEDERAL REG- or she was previously personally and ISTER finding that (A) the former offi- substantially involved, simply by being cer or employee possesses outstanding there. A violation of this subsection qualifications in a scientific, techno- might occur when the topic of con- logical, or other technical discipline, versation during an appearance shifts (B) the former officer or employee from one in which the former senior would be acting with respect to a par- employee was not personally and sub- ticular matter requiring such quali- stantially involved to one in which he fications, and (C) to do so would serve or she was so involved and when such a the national interest. shift was likely. The subsection does

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not, however, bar assisting in the prep- former senior employees whose subse- aration for negotiations, hearings, and quent principal occupation or employ- similar transactions, so long as such ment is with a state or local govern- assistance occurs in a context not in- ment, with an institution of higher volving the personal presence of the education, or with a hospital or medi- former senior employee at an appear- cal research organization, the restric- ance before the Government. tion contained in subsection (c) of this (iii) Subsection (c) of this statute statute does not apply to appearances, precludes a former senior Government communications, or other representa- employee, for a period of one year after tion on behalf of such government, in- terminating his or her employment, stitution, hospital, or organization. from representing anyone vis-a-vis his (c) Summary of laws particularly appli- former agency (the Department of the cable to retired Regular officers—(1) Pro- Navy) or its officers or employees, hibited activities. (i) Claims. A retired whether by formal or informal appear- Regular officer of the Armed Forces ance, or by written or oral communica- may not, within two years of retire- tions intended to influence the former ment, act as agent or attorney for employing agency. This restriction per- prosecuting any claim against the Gov- tains to all particular matters regard- ernment, or assist in the prosecution of less of prior involvement, and without such a claim or receive any gratuity or regard to whether or not a specific any share of or interest in such a claim party is involved, if the matter is one in consideration for having assisted in that is pending before the agency, or if the prosecution of such a claim if such it is one in which the agency has a di- a claim involves the military depart- rect and substantial interest. ment in whose service he or she holds (iv) Subsection (c) of this statute fur- a retired status. Nor may a Regular re- ther precludes attempts to influence tired officer at any time act as an rule making or policy formulation, agent or attorney for prosecuting any since the matters covered need not in- claim against the Government, or as- volve specific parties, and also includes sist in prosecution of such claim, or re- self-representation. It is limited to ceive any gratuity, or any share of or contacts with the employing agency, interest in such claim in consideration however; the former senior employee for having assisted in the prosecution may appear before, or attempt to influ- of such claim, if the claim involves any ence any other part of Government if subject matter with which he or she not otherwise precluded by subsections was directly connected while on active (a), (b)(i) or (b)(ii). There are, further- duty (see 18 U.S.C. 283). more, a number of exceptions to the re- (ii) Selling. (A) A retired Regular offi- striction such as (A) purely social or cer is prohibited, at all times, from informational communications, (B) representing any person in the sale of transmission of filings that do not re- anything to the Government through quire governmental action, (C) per- the military department in whose serv- sonal matters, (D) self-representation ice he or she holds a retired status (see in connection with a judicial or admin- 18 U.S.C. 281). istrative proceeding to which the (B) Payment may not be made from former senior employee is an involun- any appropriation to an officer on a retary party, (E) expressions of personal tired list of the Regular Army, the views where the former employee has Regular Navy, the Regular Air Force, no direct or distinctive indirect pecu- the Regular Marine Corps, the Regular niary interest, (F) responses to re- Coast Guard, the National Oceanic and quests to the former employee for in- Atmospheric Administration, or the formation by the former agency, and Public Health Service, for a period of (G) participation as the principal re- three years after his or her name is searcher or investigator under Govern- placed on that list, if that officer is en- ment grants. gaged for himself, herself, or others in (v) In addition to the foregoing ex- selling, or contracting or negotiating ceptions, regarding (A) former senior to sell, supplies or war materials to an employees who become elected officials agency of the Department of Defense, of state or local governments, or (B) the Coast Guard, the National Oceanic

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and Atmospheric Administration, or and disclosure of confidential informa- the Public Health Service [see 37 U.S.C. tion (see 18 U.S.C. 1905). 801(b)]. (vii) Habitual use of intoxicants to (C) For the purposes of 37 U.S.C. excess (see 5 U.S.C. 7352). 801(b), selling means: (viii) Misuse of a Government vehicle (1) Signing a bid, proposal, or con- (see 31 U.S.C. 1349). tract; (ix) Misuse of the franking privilege (2) Negotiating a contract; (see 18 U.S.C. 1719). (3) Contacting an officer or employee (x) Deceit in an examination or per- of any of the foregoing departments or sonnel action in connection with Gov- agencies for the purpose of: ernment employment (see 18 U.S.C. (a) Obtaining or negotiating con- 1917). tracts, (xi) Committing fraud or making (b) Negotiating or discussing changes false statements in a Government mat- in specifications, price, cost allow- ter (see 18 U.S.C. 1001). ances, or other terms of a contract, or (xii) Mutilating or destroying a public record (see 18 U.S.C. 2071). (c) Settling disputes concerning performance of a contract: or (xiii) Counterfeiting and forging transportation requests (see 18 U.S.C. (4) Any other liaison activity with a 508). view toward the ultimate consumma- (xiv) Embezzlement of Government tion of a sale, although the actual con- money or property (see 18 U.S.C. 641); tract therefor is subsequently nego- failing to account for public money tiated by another person. (see 18 U.S.C. 643); and embezzlement of (iii) Neither these statutes nor this the money or property of another per- instruction preclude a retired Regular son in the possession of an employee by officer from accepting employment reason of his or her Government em- with private industry solely because ployment (see 18 U.S.C. 654). his or her employer is a contractor (xv) Unauthorized use of documents with the Government. relating to claims from or by the Gov- (2) [Reserved] ernment (see 18 U.S.C. 285). (d) Other laws applicable to present or (xvi) Certain political activities (see former DOD personnel. (1) There are 5 U.S.C. 7321–27 and 18 U.S.C. 602, 603, legal prohibitions concerning the fol- 606, and 607). These statutes apply to lowing activities which may subject civilian employees; regulations govern present and former DOD personnel to military personnel. criminal or other penalties: (xvii) Any person who is required to (i) Aiding, abetting, counseling, com- register under the Foreign Agents Reg- manding, inducing, or procuring an- istration Act of 1938 (see 18 U.S.C. 219) other to commit a crime under any may not serve the Government as an criminal statute (see 18 U.S.C. 201). officer or employee. The section does (ii) Concealing or failing to report to not apply to (A) Reservists who are not proper authorities the commission of a on active duty or who are on active felony under any criminal statute if duty for training, or (B) a special Gov- such personnel knew of the actual com- ernment employee in any case in which mission of the crime (see 18 U.S.C. 4). the department head certifies to the (iii) Conspiring with one or more per- Attorney General that his or her em- sons to commit a crime under any ployment by the United States Govern- criminal statute or to defraud the ment is in the national interest. United States, if any party to the con- (xviii) Soliciting contributions for spiracy does any act to effect the ob- gifts or giving gifts to superiors, or ac- ject of the conspiracy (see 18 U.S.C. cepting gifts from subordinates (see 5 371). U.S.C. 7351). (iv) Lobbying with appropriated (xix) Acceptance of excessive hono- funds (see 18 U.S.C. 1913). raria [see 2 U.S.C. 441 (i)]. (v) Disloyalty and striking (see 5 (xx) Acceptance, without statutory U.S.C. 7311, 18 U.S.C. 1918). authority, of any office or title, of any (vi) Disclosure of classified informa- kind whatever, from any king, prince, tion (see 18 U.S.C. 798, 50 U.S.C. 783); or foreign state by any person holding

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any office of profit or trust of the Fed- (c) Deputy ethics officials. Incumbents eral Government, including all retired of the following positions have been ap- military personnel. (U.S. Const. Art. I, pointed deputy ethics officials and section 8). have been delegated authority by the (xxi) Civilian presidential appointees General Counsel of the Navy to act for occupying full-time positions, appoint- the General Counsel in finally review- ment to which are required to be made ing, acting upon, and maintaining the by the President, by and with the ad- Department’s file of Financial Disclo- vice and consent of the Senate, may sure Reports (SF–278) and in resolving not have in any calendar year outside issues referred to them by commanding earned income attributable to such cal- officers, other heads of activities or endar year that is in excess of 15 per- ethics counselors with regard to Con- cent of their Government salary (see 5 fidential Statements of Affiliations U.S.C. app. 210). and Financial Interests (DD Form (xxii) Commission of prohibited per- 1555): The Judge Advocate General, sonnel practices (see 5 U.S.C. 2302). with respect to Navy officers; The Di- (xxiii) Acceptance of gifts and deco- rector, Judge Advocate Division (Head- rations (awards) from foreign govern- quarters Marine Corps), with respect to ments or agents and representatives Marine Corps officers; and The Assist- thereof (5 U.S.C. 7342). ant General Counsel (Ethics), with re- (2) [Reserved] spect to civilian employees other than [50 FR 9007, Mar. 6, 1985; 50 FR 15892, Apr. 23, presidential appointees. In exercising 1985] this authority they shall comply with applicable statutes, regulations pub- § 721.16 Submission and processing of lished by the Office of Personnel Man- reports of financial circumstances agement, and additional guidance is- (SF–278 and DD Form 1555). sued by the Office of Goverment Ethics (a) Purpose. This section implements or the General Counsel. the requirement and contains the pro- (d) Ethics counselors. Incumbents of cedures and standards for the submis- the following positions have been des- sion, review and custody of Financial ignated ethics counselors and have Disclosure Reports (SF–278) and Con- been delegated authority to initially fidential Statements of Affiliations review Financial Disclosure Reports and Financial Interests (DD Form 1555) (SF–278) and to finally review State- within the Department of the Navy and ments of Affiliations and Financial In- identifies those who must file such re- terests (DD Form 1555) submitted by ports. other naval personnel within their or- (b) Standards for review of reports of fi- ganization, activity, or geographical nancial circumstances (SF–278 and DD area: Counsel for the Comptroller of Form 1555). Each reviewing official the Navy; Counsel for the Systems and shall review each report or statement Facilities Engineering Commands; submitted to determine that: Counsel for the Military Sealift Com- (1) All items are completed. For SF– mand; Counsel for the Office of Naval 278’s, see title II of the Ethics in Gov- Research; Counsel for the Naval Data ernment Act of 1978, 5 U.S.C. app. 201 et Automation Command; Counsel in seq., and the Office of Personnel Man- charge of Office of the General Counsel agement regulations promulgated field and branch offices; Counsel for the thereunder, 5 CFR part 734. Commandant of the Marine Corps; Dep- (2) No interest or position is disclosed uty Judge Advocate General and As- that violates or appears to violate: sistant Judge Advocates General; Dep- (i) Any applicable provision of law uty Assistant Judge Advocate General contained in § 721.15; and (Civil Affairs); Special Counsel to the (ii) The provisions of this instruc- Chief of Naval Operations (OP–OOJ); tion. Assistant for Legal and Legislative (3) A reviewing official shall not sign Matters, Office of the Chief of Naval and date a statement of financial cir- Operations (OP–09BL); Special Assist- cumstances until the foregoing deter- ant for Law, Office of the Naval Inspec- mination has been made. tor General (OP–008F); Legal Advisor

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to the Deputy Chief of Naval Oper- (8) Employees in the excepted service ations (Plans, Policy and Operations) in positions which are of a confidential (OP–616B); Special Assistant for or policy-making character unless they Medico-Legal Affairs to the Director of have been excluded by the Director, Of- Naval Medicine/Surgeon General; Spe- fice of Government Ethics. See Chapter cial Assistant for Legal Support to the 213 of the Federal Personnel Manual Commander, Naval Medical Command; and 5 CFR 734.203. Legal Counsel, Naval Military Person- (f) Nomination reports (SF–278). Within nel Command; Staff and force judge ad- five days of transmittal by the Presi- vocates on the staffs of all commands dent to the Senator of a nomination of having general courtmartial convening an individual to a civilian position, ap- authority; Commanding officers of pointment to which requires the advice Naval Legal Service Offices; and Other and consent of the Senate, the individ- ethics counselors who may hereafter be ual so nominated shall submit an SF– so designated by the General Counsel, 278 directly to the General Counsel of the Assistant General Counsel (Ethics), the Navy. The report shall contain the the Judge Advocate General, or the Di- information prescribed in the ‘‘Instruc- rector, Judge Advocate Division (Head- tions’’ attached to the SF–278. These quarters Marine Corps). reports shall be certified personally by (e) Naval executive personnel. The the General Counsel as Designated term ‘‘naval executive personnel’’ in- Agency Ethics Official, or in his or her cludes those naval personnel whose absence by the Alternate Designated rank or position places them in one of Agency Ethics Official, and thereupon the following categories: processed as prescribed in 5 CFR (1) Civilian presidential appointees; 734.604(c) Nomination reports are not (2) Regular Navy and Marine Corps required of military officers nominated officers who have been appointed (with for promotion to 0–7 or 0–8 level flag or dates of rank) to grade O–7 or above; general officer grades. (3) Reserve Navy and Marine Corps (g) Special reviewing requirement in the officers, serving on voluntary extended case of 0–9 and 0–10 level flag and general active duty in excess of 130 days, who officer nominees. As part of the process have been appointed (with dates of for approving nominees for appoint- rank) to grade 0–7 or above; ment to 0–9 and 0–10 level flag or gen- (4) Reserve officers, serving as special eral officer positions, the Secretary of Government employees, i.e., on active the Navy must ensure that the nomi- duty for training, in excess of 60 days nee has a current SF–278 on file and in any calendar year and whose basic that the form has been reviewed in re- rate of pay is equal to or exceeds the lation to the position for which he or uncapped rate of basic pay fixed for she is being considered. Further, the GS–16, step 1; Secretary of the Navy is required to (5) Members of the Senior Executive cause a review of all relevant systems Service; of records maintained by the Depart- (6) Other civilian employees, includ- ment of the Navy, including investiga- ing special Government employees, tive files, to determine if there is any whose positions are classified at GS–16 evidence that the nominee has violated or above of the General Schedule pre- the standards of conduct. Each such scribed by 5 U.S.C. 5332 (which excludes nomination forwarded to the Secretary career civilian employees whose posi- of Defense must be accompanied by a tions are classified at or below GS/GM– certification of the Secretary of the 15) or whose rate of basic pay is fixed Navy that the required review has been other than under the General Schedule conducted and that the review has or at a rate equal to or greater than the has not disclosed a violation of the uncapped rate of basic pay fixed for standards of conduct. GS–16; (h) New entrant reports (SF–278). With- (7) Civilian employees who are not in 30 days of first assuming a naval-ex- members of the Senior Executive Serv- ecutive-personnel rank or position, a ice but who are detailed to a Senior Ex- reporting individual shall submit an ecutive Service position for more than SF–278 in the same manner prescribed 60 days in any calendar year; and in paragraph (i)(2) of this section. The

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report shall contain that information the Designated Agency Ethics Officials prescribed for new entrant reports in of those agencies; the ‘‘Instructions’’ attached to the SF– (D) Navy and Marine Corps officers 278. No such report is necessary if the serving in the Office of the Secretary reporting individual has left another of Defense, the Organization of the position requiring the submission of an Joint Chiefs of Staff, National Security SF–278 within 30 days prior to assump- Council, National Aeronautics and tion of the new position, or has submit- Space Administration, or in other as- ted an SF–278 as a nominee for the new signments outside of the Department position within 30 days of assuming it. of the Navy not specifically mentioned As special Government employees, Re- in this paragraph, via their appropriate serve officers (as defined in paragraph supervisor, to the Director for Person- (e)(4) of this section) commencing ac- nel and Security, Washington Head- tive duty for training are initially ex- quarters Services (OSD); and empt from this reporting requirement. (E) Navy and Marine Corps officers If, however, such an officer performs serving in joint, unified or specified active duty for training in excess of 60 commands, through their superiors for days in a calendar year, whether or not processing in accordance with proce- in a pay status, a report shall be filed dures adopted by the unified, specified, within 15 days after serving the sixty- or joint commander. first day. New entrant reports shall be (ii) Naval executive personnel who reviewed and forwarded by the appro- are double or triple ‘‘hatted’’ shall priate supervisor and ethics counselor meet the filing requirements of each in the same manner as annual reports position independently of the other. (see paragraph (i) of this section). (3) Initial action by appropriate super- (i) Annual Financial Disclosure Report visor. When a report is submitted, the (SF–278)—(1) Execution and signature. At appropriate supervisor shall attach to any time after 1 January, but not later the report an unclassified copy of the than 1 May, naval executive personnel official position description and there- who served as such for more than 60 upon forward both documents to the days during the preceding calendar cognizant ethics counselor. year shall submit an annual Financial (4) Ethics counselor—(i) Review. The Disclosure Report. These reports are to ethics counselor shall review the report be completed in accordance with the in accordance with the standards set forth in paragraph B. Ethics counselors ‘‘Instructions for Completing SF–278’’ need not audit reports to ascertain attached thereto. Even though no whether the facts reported therein are changes have occurred since the last accurate. They may be taken at face filing of an SF–278, a complete report is value unless there is an apparent omis- required for each calendar year. Mili- sion or ambiguity, or the ethics coun- tary officers newly promoted to the selor has independent knowledge of grade of O–7 and having dates of rank matters at variance with the report. after 1 November of the preceding cal- (ii) Disposition by ethics counselor. (A) endar year need not file an annual re- If the ethics counselor concludes that port. Their attention, however, is di- no actual or apparent violation of law rected to paragraph (h) of this section. or regulation is disclosed, he or she (2) Submission. (i) SF–278’s shall be shall enter the following endorsement submitted as follows: in the ‘‘Comments’’ section of page 1 of (A) Civilian presidential appointees, the report: ‘‘The information contained to the General Counsel of the Navy; in this report discloses no conflict of (B) Other naval executive personnel interest under applicable laws and reg- assigned to positions within the De- ulations.’’ The ethics counselor shall partment of the Navy, to their appro- thereupon date and sign the report priate supervisor for review and for- with full name, command or activity, warding; and the title ‘‘Ethics Counselor,’’ and (C) Navy and Marine Corps officers forward it to the cognizant deputy eth- serving in the various Defense agencies ics official. (e.g., DNA, DCA, DMA, DLA, DIA), or (B) If the ethics counselor concludes in the Central Intelligence Agency, to that no violation is disclosed but that

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the reporting individual has a direct or ics official noting the disqualification indirect financial interest or affiliation in the endorsement. which, given other circumstances or (6) Time limits for review and disposi- different duties and responsibilities tion. Action by the ethics counselor within the Department, might give rise and, if required, the appropriate super- to a conflict of interest, he or she shall visor, must be completed and the re- issue a memorandum of caution to the port forwarded to the cognizant deputy reporting individual. One copy of the ethics official within 15 days of submis- memorandum of caution shall be deliv- sion but not later than 15 May. If nec- ered to the appropriate supervisor and essary to provide sufficient time to ac- a second copy attached to the SF–278. complish the required review, com- Thereafter, the ethics counselor shall manding officers and heads of activi- endorse and forward the report in the ties may require subordinate naval ex- manner provided in paragraph (i)(4) ecutive personnel to submit their SF– (ii)(A) of this section. 278’s prior to 1 May. When a filing ex- (C) If the ethics counselor concludes tension has been granted in accordance that the information contained in the with the procedures of paragraph (k) of report discloses an actual or apparent this section and a report is received violation of applicable law or regula- after 1 May, review shall be completed tion, he or she shall so state by making and the report forwarded no later than an appropriate endorsement on page 1 15 days after the report is received by of the report and return the report to the appropriate supervisor. the appropriate supervisor. (j) Termination reports (SF–278). With- in thirty days after termination of em- (5) Appropriate supervisor review. If an ployment from a naval-executive-per- ethics counselor returns to an appro- sonnel position, a reporting individual priate supervisor an SF–278 containing shall submit an SF–278 in the same an endorsement indicating an actual or manner prescribed in paragraph (i)(2) apparent conflict of interest, the ap- of this section. Termination reports propriate supervisor shall review the shall contain information covering the report in accordance with the stand- preceding calendar year, if an annual ards set forth in paragraph (b) of this report was not filed for that year, and section. that portion of the present calendar (i) If the appropriate supervisor con- year up to the date of termination of cludes that no actual or apparent con- employment. A termination report is flict of interest is disclosed, he or she not required of an individual who, shall endorse, date, sign, and return within 30 days of such termination, as- the report to the ethics counselor. If sumes another position requiring the the ethics counselor agrees with the submission of an SF–278. Termination conclusion of the appropriate super- reports shall be reviewed and forwarded visor, he or she shall forward the re- by the appropriate supervisor and eth- port to the cognizant deputy ethics of- ics counselor in the same manner as ficial, noting concurrence. Otherwise, annual reports. the matter shall be referred to higher (k) Extension of filing deadlines (SF– authority within the command or ac- 278). (1) The General Counsel, in the tivity for resolution, and the report, case of civilian presidential appointees, noting that resolution is pending, shall and the cognizant deputy ethics official be forwarded to the cognizant deputy in other cases (the cognizant Des- ethics official. ignated Agency Ethics Official in the (ii) If the appropriate supervisor con- case of those flag officers serving in en- cludes that an actual or apparent con- tities identified in paragraphs (i)(2), flict is disclosed, he or she shall issue a (i)(3,) and (5) of this section, may memorandum of disqualification to the grant, for good cause, a filing extension reporting individual. One copy of the of up to 45 days. All requests for exten- memorandum shall be delivered to the sions shall be submitted in writing to ethics counselor and a second copy at- the cognizant official. A copy shall be tached to the SF–278. The appropriate provided concurrently to the appro- supervisor shall endorse and forward priate supervisor and cognizant ethics the report to the cognizant deputy eth- counselor. The request shall contain a

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clear statement of the reasons for the (2) Commanding officers or heads of request and shall be submitted well in activities shall provide timely, written advance of the original filing deadline. notification and an SF–278, individ- The Director, Office of Government ually, to all civilian naval executive Ethics may grant a further extension personnel under their cognizance when- of up to 45 days. Requests necessitating ever such personnel are required to file such a further extension of time shall a new entrant, annual, or termination be forwarded by the cognizant official, Financial Disclosure Report and shall with his or her comments attached ensure that all such reports are timely thereto, to the Director, Office of Gov- filed. They shall further provide to the ernment Ethics. Assistant General Counsel (Ethics) for (2) Reporting individuals who antici- appropriate action the names and ad- pate termination of their employment dresses of all civilian naval executive on or before 1 September of any given personnel who continue to fail to sub- calendar year may request an exten- mit any such report for more than thir- sion from the cognizant official of up ty days after the required date of fil- to 90 days in order to file one consoli- ing. See paragraph (m) of this section. dated annual and termination report. (3) The Judge Advocate General or Combined annual and termination re- the Director, Judge Advocate Division ports must be filed within 30 days after (Headquarters Marine Corps), as appro- termination of employment but not priate, shall provide timely, written later than 30 July. No further report is notification and an SF–278, individ- required unless a reportable event oc- ually, to all flag and general officers curs between the dates of filing and whenever they are required to submit a termination of employment. new entrant, annual, or termination (l) Special instructions (SF–278). (1) The Financial Disclosure Report. Under Secretary of the Navy, the Chief (4) The Under Secretary of the Navy, of Naval Operations, and the Com- the Chief of Naval Operations, and the mandant of the Marine Corps shall en- Commandant of the Marine Corps shall sure that by 10 January of each year, ensure that agreements with other the directors of civilian personnel of- DOD components and Government fices provide to commanding officers agencies involving detailing of Depart- and heads of activities served by their ment of the Navy executive personnel offices a list of the names and address- contain a requirement that the other es of civilian naval executive personnel DOD component or Government agency assigned to their respective organiza- shall forward to the cognizant Navy tions who are required to file an annual deputy ethics official a copy of the de- Financial Disclosure Report (SF–278) tailed individual’s finally reviewed Fi- pursuant to paragraph (i) of this sec- nancial Disclosure Reports, including a tion. They shall similarly ensure that statement as to the resolution of any the directors of civilian personnel of- conflict or apparent conflict of inter- fices provide to commanding officers ests indicated. and heads of activities served by their (m) Penalty for failure to file SF–278. In offices the names and addresses of ci- addition to sanctions otherwise pro- vilian naval executive personnel as- vided by law or regulation, the Ethics signed to their respective organizations in Government Act of 1978 provides for who are required to file new entrant or a fine of up to $5,000 for anyone who termination Financial Disclosure Re- knowingly falsifies or willfully fails to ports pursuant to paragraphs (h) and (j) file an SF–278. of this section. This information shall (n) Availability of SF–278. Supplies of be provided immediately upon the ap- SF–278 are available from ethics coun- pointment of such personnel to a selors and GSA Supply Distribution naval-executive-personnel position or Facilities under Stock Number 7540–01– upon receipt of an SF–52 requesting ap- 070–8444. proval of the reitrement, resignation, (o) Confidential Statements of Affili- or removal of an individual from such a ations and Financial Interests (DD Form position. Copies of these lists shall also 1555)—(1) Personnel required to file. The be provided concurrently to the Assist- following naval personnel, except those ant General Counsel (Ethics). required to file SF–278, are required to

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submit initial and annual Confidential ‘‘expert’’ as those terms are defined in Statements of Affiliations and Finan- Chapter 304 of the Federal Personnel cial Interests (DD Form 1555): Manual; (i) Regular Navy and Marine Corps (B) Physicians, dentists, and allied officers frocked to 0–7, and Reserve medical specialists engaged only in Navy and Marine Corps officers frocked providing service to patients; to 0–7 serving on voluntary extended (C) Veterinarians providing only vet- active duty in excess of 130 days; erinary services; (ii) Commanding officers or heads of, (D) Lecturers participating only in and executive officers or deputy heads educational activities; of: (E) Chaplains performing only reli- (A) Navy shore installations with 500 gious services; or more military and civilian personnel (F) Individuals in the motion picture (including foreign national and indi- and television fields who are utilized rect-hire personnel regularly attached only as in DOD productions; but excluding personnel attached for (G) Members of selection panels for duty under instruction); and NROTC candidates; (B) All Marine Corps bases and air stations; (H) Reserve officers on active duty (iii) Civilian personnel classified at solely for training. GS–13 or above, or whose positions are (2) Time of submission—(i) Initial state- classified at a comparable rate of pay ment. Affected naval personnel shall under other authority, and military submit a DD Form 1555 to their appro- personnel in grades 0–5 and 0–6, when it priate supervisor within 30 days of as- is determined by the commanding offi- suming duties requiring the submission cer or head of the activity that the re- of such statements. The information sponsibilities of such personnel require shall be current as of the filing date. the exercise of judgment in making a Upon transfer or reassignment from Government decision or in taking Gov- one position to another for which the ernment action in regard to activities filing of a statement is required, indi- in which the final decision or action viduals shall submit a current state- may have a significant economic im- ment to the appropriate supervisor of pact on the interests of any non-federal their new position. entity. Included, among others, are (ii) Annual statements. Affected naval persons who, as part of their basic du- personnel shall submit a DD Form 1555 ties, sign, negotiate, recommend, or ap- to their appropriate supervisor by 31 prove contracts, or other procurement October of each year, with information actions and those who, as part of their current as of 30 September of that basic duties, are engaged in auditing year. Even though no changes have oc- activities, including supervising others curred since the last filing, a complete who are engaged in auditing activities statement is required. or participating in the development of (iii) Extension of filing deadline. When policies and procedures for performing required by reason of duty assignment, audits; infirmity, or other good cause, an ap- (iv) Other civilian and military per- propriate supervisor, with the concur- sonnel of lesser rank or grade, if their rence of the cognizant ethics counselor, commanding officer or head of activity may grant an extension of the filing determines that their responsibilities deadline, not to exceed 45 days. Any are comparable to those set forth in annual statement filed after 31 October subparagraph (o)(1)(iii) of this section; shall include an appropriate notation (v) Special Government employees, as to whether any extension of the fil- except those in the following cating deadline has been granted. egories (who may, in any case, be re- (p) Review and disposition of DD Form quired to submit statements when spe- 1555—(1) Review. Upon receipt of a Con- cifically requested to do so by their ap- fidential Statement of Affiliations and propriate supervisor): Financial Interests, the appropriate su- (A) Special Government employees, pervisor shall review the statement in other than members of advisory com- accordance with the standards set mittees, who are not a ‘‘consultant’’ or forth in paragraph (b) of this section,

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record his or her evaluation in the ap- ing naval personnel required to file propriate block on the form, and for- Confidential Statements by 30 Septem- ward it to the cognizant ethics coun- ber of each year, and shall furnish a DD selor for further review. If the ethics Form 1555 to them. Lists shall be main- counselor agrees with the supervisor’s tained to ensure that all statements evaluation, he or she shall note concur- have been completed and returned by rence on the statement and return it to 31 October, or as otherwise specified the appropriate supervisor for disposi- when extensions have been granted. tion in accordance with paragraph (r) Availability of DD Form 1555. Sup- (p)(2) below. If the ethics counselor dis- plies of DD Form 1555 are available agrees with the supervisor’s evalua- from the Commanding Officer, Naval tion, he or she shall forward a rec- Publications and Forms Center, 5801 ommendation for appropriate resolution to the reporting individual’s com- Tabor Avenue, Philadelphia, Penn- manding officer or head of activity for sylvania 19120, under Stock Number implementation. If the commanding of- 0102–LF–001–5550. ficer or head of activity disagrees with (s) Privacy Act considerations. Finan- the recommendation of the ethics cial Disclosure Reports (SF–278) and counselor and resolution of the matter Confidential Statements of Affiliations is not achieved, the commanding offi- and Financial Interests (DD Form 1555) cer or head of activity shall append his contain sensitive personal information. or her comments and recommendations Completed SF–278’s are releasable to to the record and forward the matter Government officers and employees to the cognizant deputy ethics official and to the public, but only upon sub- who shall render a final decision. Local mission of a completed Request to In- review and resolution of conflicts or spect or Receive Copies of SF–278, Fi- apparent conflicts of interest disclosed nancial Disclosure Report (OPM Form in annual statements shall be accom- 1401) to the deputy ethics official hav- plished by 30 November of each year ing custody of the report. Naval per- and within 30 days after filing in cases sonnel officially responsible within the where an extension has been granted chain of command for reviewing or ap- and in the case of initial reports. proving a given individual’s SF–278 (2) Disposition. Confidential State- need not submit such requests. Other- ments of Affiliations and Financial In- wise, care shall be exercised to ensure terests and a complete record of all ac- that completed SF–278’s and DD Forms tion taken thereon shall be retained for a period of six years in a central loca- 1555 are seen only by personnel on a tion within the command or activity to need-to-know basis in connection with which the reporting individual was as- their official duties. Adequate safe- signed at the time of filing, after which guards shall be utilized to prevent in- time they may be destroyed. advertent or unauthorized disclosure of (q) Review of positions and notification the completed forms and statements to file (DD Form 1555). Commanding offi- during review, transmittal, and stor- cers and heads of activities shall en- age. In addition, SECNAVINST 5211.5C sure that position descriptions of indi- prescribes other general restrictions viduals described in paragraphs and requirements applicable to the col- (o)(1)(iii) and (o)(1)(iv) of this section lection, use, and dissemination of these contain a statement that the incum- records, and contains Rules of Conduct bent must file a Confidential State- under the Privacy Act which are appli- ment of Affiliations and Financial In- cable to all naval personnel. terests. All new or revised position de- (t) Effect of disclosure. The reporting scriptions shall be reviewed to deter- of information or the filing of any re- mine those requiring such statements. port or statement of financial cir- Any individual may request review of a cumstances shall not be deemed to au- decision requiring submission of a thorize the receipt of income, gifts, statement by him or her through es- honoraria or reimbursements, the hold- tablished personnel of the Department. ing of assets, liabilities, or positions, Additionally, commanding officers and heads of activities shall notify in writ-

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or involvement in transactions other- (d) Content of notice. (1) Notice must wise prohibited by law, Executive include: order, or regulation. (i) A statement of allegations, and [50 FR 9010, Mar. 6, 1985; 50 FR 15892, Apr. 23, the basis thereof, sufficiently detailed 1985] to enable the former officer or employee to prepare a defense; § 721.17 Procedures for administrative (ii) Notification of the right to a enforcement of post employment re- hearing; strictions of 18 U.S.C. 207. (iii) The procedure for requesting a (a) Basic procedures. The administra- hearing; tive enforcement of restrictions on (iv) A statement to the effect that if post employment activities imposed by the former employee fails to request 18 U.S.C. 207 will be accomplished in such a hearing, the Department of the accordance with 5 CFR 737.27 and these Navy may, nevertheless, take discipli- procedures. nary action if the former employee is (b) Delegation of authority. Authority determined to have violated 18 U.S.C. to administer proceedings under these 207. provisions is delegated to the General (2) A copy of these Procedures for Ad- Counsel of the Navy with power to re- ministrative Enforcement shall be pro- delegate. vided with this notice. (c) Initiation of administrative discipli- (e) Request for a hearing. (1) Any nary hearing. (1) On receipt of informa- former employee who is notified of an tion regarding a possible violation of 18 alleged violation of 18 U.S.C. 207 pursu- U.S.C. 207, and after determining that ant to paragraph (c)(2) of this section such information is not frivolous, the may, within 20 days from the date of General Counsel expeditiously shall such notice, request a hearing by writ- provide such information, along with ing to the activity head who issued the any comments, to the Director, Office notice. of Government Ethics, and to the (2) If the former employee fails to re- Criminal Division, Department of Jus- quest a hearing in accordance with tice, and shall coordinate any inves- paragraph (c)(1) of this section, the ac- tigation or possible administrative dis- tivity head will notify the General ciplinary action with the Department Counsel who may, nevertheless, render of Justice. If that Department advises a final administrative decision in the that it does not intend to institute matter and, if appropriate, impose the criminal proceedings, such coordina- sanctions specified in paragraph (k) of tion shall no longer be required. this section. (2) Upon receipt of advice from the (f) Hearing examiner. (1) The presiding Department of Justice that it does not official shall be an individual to whom intend to institute criminal proceed- the General Counsel has delegated au- ings, in circumstances where it has thority to make an initial decision been determined, after appropriate re- (hereafter referred to as a ‘‘hearing ex- view, that there is reasonable cause to aminer’’). believe that a former Department of (2) A hearing examiner shall be an at- the Navy officer or employee (hereafter torney with not less than five years ex- referred to as a ‘‘former employee’’) perience in the practice of law subse- has violated 18 U.S.C. 207 (a), (b), or (c) quent to admission to the bar. or implementing regulations, the Gen- (3) A hearing examiner shall be im- eral Counsel will refer the case to the partial. An individual who has partici- head of the activity where the alleged pated in any manner in the decision to violation occurred. The activity head initiate proceedings may not serve as a may initiate an administrative dis- hearing examiner in those proceedings. ciplinary proceeding by providing the (g) Time, date, and place of hearing. (1) former employee with notice of the al- The hearing shall be held at a reason- leged violation. The privacy of former able time, date, and place. employees shall be protected as to alle- (2) The date of the hearing shall be gations made prior to a determination established with due regard to the of sufficient cause to initiate an ad- former employee’s need for adequate ministrative disciplinary proceeding. time to prepare a defense properly and

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the need to resolve expeditiously alle- decision, findings of fact or conclusions gations that may be damaging to his or of law that differ from those of the her reputation. hearing examiner shall be specified. (h) Hearing rights. The subject of the The decision of the General Counsel hearing shall have, at a minimum, the shall be deemed a final administrative following rights: determination. (1) To represent himself or herself, or (k) Administrative sanctions. The Gen- to be represented by counsel; eral Counsel may take appropriate dis- (2) To introduce and examine wit- ciplinary action in the case of any nesses, and to submit physical evi- former employee found in violation of dence; 18 U.S.C. 207 (a)–(c) or implementing (3) To confront and cross-examine regulations by: witnesses; (1) Prohibiting the former employee (4) To stipulate as to facts not in from making, on behalf of any other issue; person, except the United States, any (5) To present oral argument; and formal or informal appearance before, (6) To receive a transcript or record- or, with the intent to influence, any ing of the proceedings. oral or written communication to, the (i) Burden of proof. The Department Department of the Navy, its officers or of the Navy has the burden of proof. A employees, on any matter of business, violation is established only by a pre- for a period not to exceed five years. ponderance of the evidence. This may be enforced by directing (j) Decision. (1) Upon conclusion of present officers and employees of the the hearing, the hearing examiner shall Department to refuse to participate in make a determination exclusively upon any such appearance, or to accept any matters of record in the proceeding, such communication; and which determination shall be in the (2) Taking other appropriate discipli- form of a written decision. This deci- nary action. sion [hereafter referred to as the ‘‘ini- (l) Judicial review. Any person found tial decision’’] shall include all find- in violation, as described, may seek ju- ings of fact and conclusions of law rel- dicial review of the final administra- evant to the matters at issue, includ- tive determination. ing possibly mitigating circumstances. In cases where a violation is found to [50 FR 9014, Mar. 6, 1985; 50 FR 15892, Apr. 23, have occurred, the initial decision 1985] shall also include a recommendation as § 721.18 Bedrock standards of conduct to what measures would constitute ap- for Department of the Navy person- propriate action. The initial decision nel. shall be transmitted to the General Counsel, via the activity head, and a (a) To maintain public confidence in copy shall be mailed or otherwise fur- the integrity of the Department of the nished to the affected former em- Navy which is essential to the perform- ployee. ance of its mission, all naval personnel (2) Within 20 days following receipt of shall comply with the standards of con- a copy of the initial decision, the duct listed in this section. former employee may file an appeal (b) Avoid any action, whether or not with the General Counsel. An appeal specifically prohibited, which might re- shall be in writing, and shall set forth sult in or reasonably be expected to all errors of fact, or law, or both, to- create the appearance of: gether with the reasons therefor, al- (1) Using public office for private leged to exist in the initial decision. gain, (3) Upon review of the initial deci- (2) Giving preferential treatment to sion, and any appeal timely filed, the any person or entity, General Counsel shall issue a written (3) Impeding Government efficiency decision which shall be based solely or economy, upon the record of the proceedings, or (4) Losing complete independence or those portions thereof cited by the par- impartiality, ties to limit the issues. If the General (5) Making a Government decision Counsel modifies or reverses the initial outside official channels, or

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(6) Adversely affecting the confidence § 722.1 Purpose. of the public in the integrity of the This part 722 implements 50 U.S.C. Government. 1436 and part 166 of this title, which es- (c) Do not engage in any activity or tablish requirements and procedures acquire or retain any financial interest for annual filing and review of reports which results in a conflict between of Department of Defense (DoD) and de- your private interest and the public in- fense related employment (form DD terest of the United States related to 1787) submitted by: your duties. (a) Certain categories of civilian offi- (d) Do not engage in any activity cers and employees of the Department that might result in or reasonably be of Defense who were formerly em- expected to create the appearance of a ployed by defense prime contractors, conflict of interest. and (e) Do not accept gratuities from de- (b) Certain categories of former military officers and former DoD civilian fense contractors. officers and employees who were subse- (f) Do not use your official position quently employed by defense prime to influence any person to provide any contractors. private benefit. (g) Do not use inside information to § 722.2 Scope and effect. further a private gain. The provisions of this part apply to (h) Do not use your rank, title, or po- all Navy and Marine Corps activities, sition for commercial purposes. and to the Department of the Navy per- (i) Avoid outside employment or ac- sonnel and former or retired personnel tivity that is incompatible with your indicated in § 722.3, including personnel duties or may bring discredit to the of Navy or Marine Corps nonappro- Navy. priated fund activities. An individual (j) Never take or use Government who is required to file a report of DoD property or services for other than offi- and defense related employment (form cially approved purposes. DD 1787) and fails to do so for any rea- (k) Do not give gifts to your superi- son is subject under 50 U.S.C. 1436 to a ors or accept them from your subordi- penalty of six months imprisonment, a fine of $1,000, or both. nates. (Consult § 721.6 for situations considered to fall outside this rule.) § 722.3 Persons required to file form (l) Conduct no official business with DD 1787. persons whose participation in the (a) Criteria. The Department of the transaction would be in violation of Navy personnel and former or retired law. personnel indicated below shall file (m) Seek ways to promote efficiency form DD 1787 with the Secretary of the and economy in Government operation Navy, in the manner prescribed in and public confidence in its integrity. § 722.4, not later than January 15 following the close of any fiscal year in PART 722—REPORTING PROCE- which all the specified conditions DURES ON DEFENSE RELATED EM- occur. (1) Civilian personnel formerly employed PLOYMENT by defense prime contractors. A civilian officer or employee of the Department Sec. of the Navy, including a consultant or 722.1 Purpose. part-time employee, shall file form DD 722.2 Scope and effect. 1787, if: 722.3 Persons required to file form DD 1787. (i) He was employed during any part 722.4 Filing and review procedures. of the fiscal year by the Department of 722.5—722.6 [Reserved] the Navy or another DoD component at 722.7 Availability of forms. a salary rate at least equal to the mini- AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 166 and mum rate for grade GS–13; 5031; 50 U.S.C. 1436. (ii) At any time during the three- SOURCE: 41 FR 34745, Aug. 17, 1976, unless year period preceding the beginning of otherwise noted. the fiscal year, he was employed by or

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performed services for a defense prime (iii) The former or retired officer’s contractor, as defined in paragraph (b) extended active duty terminated not (2) of this § 722.3, at a salary rate of at more than three years prior to the be- least $15,000 per year; and ginning of the fiscal year. (A retired (iii) Such defense prime contractor military officer is subject to the re- received $10 million or more of nego- porting requirement, if otherwise ap- tiated defense contracts during the fis- plicable, even if his military retire- cal year. ment pay is waived). A Reserve officer, (2) Former civilian personnel subse- not on active duty who is not a ‘‘re- quently employed by defense prime con- tired officer’’ is a ‘‘former officer’’ for tractors. A former civilian officer or the purpose of form DD 1787 even employee of the Department of the though he currently holds a commis- Navy, including a consultant or part- sion in a Reserve component. time employee, shall file form DD 1787, (b) Definitions—(1) Employed or em- if: ployment is used in a broad sense in this (i) During any part of the fiscal year, part to include services performed, as a he was employed by or performed serv- consultant or otherwise, either for a ices for a defense prime contractor, as defense prime contractor or for a com- defined in paragraph (b)(2) of this ponent of the Department of the Navy § 722.3, at a salary rate of at least or DoD. This definition includes, $15,000 per year; among other services which might have (ii) Such defense prime contractor re- been performed for a defense prime ceived at least $10 million of nego- contractor, representing a contractor tiated defense contracts during the fis- at a hearing, trial, appeal, or other ac- cal year; tion in which the United States was a (iii) The employee’s last employment party and which involved services and with the Department of the Navy was materials provided or to be provided to terminated not more than three years DoD by such contractor, and represent- prior to the beginning of the fiscal ing a contractor in any transaction year; and with DoD involving services or mate- (iv) At any time during the three- rials provided or to be provided by such year period preceding the termination contractor to DoD. of his last employment by the Depart- (2) Defense prime contractor is used in ment of the Navy, he was paid at a rate this part to mean any individual, firm, at least equal to the minimum rate corporation, partnership, association, provided at the time for grade GS–13. or other legal entity that enters into a (3) Former military officers subsequently contract directly with DoD, or any employed by defense prime contractors. A component thereof, to furnish services former officer, including a retired offi- or materials, including construction, cer, of the Navy, Marine Corps, Naval to DoD or a component, and which is Reserve, or Marine Corps Reserve, who awarded $10 million or more of nego- served on extended active duty for at tiated defense contracts (as distin- least 10 years and was serving in the guished from contracts awarded by for- grade of lieutenant commander, major, mal advertising) during a given fiscal or above, at the time of retirement or year. The definition thus excludes sub- release from or termination of ex- contractors, and excludes prime con- tended active duty, shall file a form DD tractors that receive less than $10 mil- 1787, if: lion of negotiated defense contract (i) During any part of the fiscal year, awards in a fiscal year. Also, a subsidi- he was employed by or performed, serv- ary of a large corporation may be a ices for a defense prime contractor, as separate entity and contract directly defined in paragraph (b)(2) of this with DoD in its own name, in which § 722.3, at a salary rate of at least case the ‘‘defense prime contractor’’ $15,000 per year; would be the subsidiary corporation, (ii) Such defense prime contractor re- not the parent corporation. Therefore, ceived at least $10 million of nego- only the dollar amount of negotiated tiated defense contracts during the fis- contracts awarded by DoD components cal year; and to a subsidiary contracting in its own

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name during a fiscal year would be con- quently employed by defense prime sidered in determining whether the contractors: The Commandant of the subsidiary’s employees or former em- Marine Corps (Code MSPA–3), Depart- ployees may be required to file form ment of the Navy, Washington, DC DD 1787. A list of the ‘‘defense prime 20380. contractors’’ meeting the criteria of (b) The Director of Civilian Man- this definition for the preceding fiscal power Management, Chief of Naval year is published each December (each Personnel, and Commandant of the Ma- September for fiscal years prior to FY rine Corps shall receive for the Sec- 1976) in the FEDERAL REGISTER, appear- retary of the Navy, as provided in para- ing as an amendment of 32 CFR 166.11. graph (a) of this section, all reports of Such a list will also be disseminated DoD and defense related employment annually to all naval activities by a (form DD 1787) submitted by personnel JAG Notice. and former personnel of the Depart- (3) Fiscal year means the period be- ment of the navy, and shall review ginning on July 1, 1975, and ending on each report in the manner prescribed in September 30, 1976, and, after the latter paragraph (d) of this section. Not later date, means a year beginning on Octo- than February 15 each year, they shall ber 1 and ending on September 30 of the forward to the Assistant Secretary of following year. It is designated by the the Navy (Manpower and Reserve Af- calendar year in which it ends—for ex- fairs) three copies of each form re- ample, FY 1977, begins on October 1, 1976 and ends on September 30, 1977. ceived by them, together with a listing of the names of individuals submitting (1 CFR 18.14, and part 21, Subpart B) the forms, segregated by the names of [41 FR 34745, Aug. 17, 1976, as amended at 45 the defense prime contractors for FR 8599, Feb. 8, 1980] which the individuals were employed or performed services. (RCS DD–M&RA(A) § 722.4 Filing and review procedures. 1051 (5370).) (a) Individuals required under § 722.3 (c) Not later than February 28 each to file reports of DoD and defense relat- year, the Assistant Secretary of the ed employment (form DD 1787) shall Navy (Manpower and Reserve Affairs) submit such reports, in triplicate, in shall forward to the Assistant Sec- the format prescribed in form DD 1787 retary of Defense (Manpower and Re- and the completion instruction which serve Affairs) three copies of each form accompany the form, not later than received pursuant to paragraph (b) of January 15 following the close of the this section, together with a composite fiscal year to which the report per- listing, in triplicate, of the names of tains. The reports shall be submitted individuals submitting the forms, seg- to the following officials: regated by the names of the defense (1) Active civilian personnel formerly prime contractors concerned. (RCS employed by defense prime contrac- DD–M&RA(A) 1051 (5370).) (Copies of tors: the Director of Civilian Manpower the completed forms and listings are Management (Administrative Office (01B)), Department of the Navy, Wash- later provided by the Assistant Sec- ington, DC 20390; retary of Defense (Manpower and Re- (2) Former civilian personnel subse- serve Affairs) to the Congress and are quently employed by defense prime filed for public inspection in the Office contractors: The Director of Civilian of the Secretary of Defense.) Manpower Management (Administra- (d) In conducting the review pre- tive Office (01B), Department of the scribed in paragraph (b) of this section, Navy, Washington, DC 20390; the Director of Civilian Manpower (3) Former or retired Navy or Naval Management, Chief of Naval Personnel Reserve officers subsequently em- and Commandant of the Marine Corps, ployed by defense prime contractors: as appropriate, shall determine wheth- The Chief of Naval Personnel (Pers–14), er: Department of the Navy, Washington, (1) Each form submitted is required DC 20370; under this part and 50 U.S.C. 1436; (4) Former or retired Marine Corps or (2) All required information has been Marine Corps Reserve officers subse- furnished; and

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(3) The information submitted indi- 723.10 Settlement of claims. cates an apparent violation of a con- 723.11 Miscellaneous provisions. flict-of-interests law or regulation AUTHORITY: 10 U.S.C. 1034, 1552. cited or provided in part 721 of this SOURCE: 62 FR 8166, Feb. 24, 1997, unless chapter. (For example, the fact that a otherwise noted. former officer became employed by a defense prime contractor after termi- § 723.1 General provisions. nating Government duties involving that contractor might indicate a pos- This part sets up procedures for cor- sible violation of 18 U.S.C. 207 or 208(A), rection of naval and marine records by or the fact that a retired Regular offi- the Secretary of the Navy acting cer represents a contractor in trans- through the Board for Correction of actions or negotiations with DoD com- Naval Records (BCNR or the Board) to ponents might indicate a possible vio- remedy error or injustice. It describes lation of 18 U.S.C. 281 or temporarily how to apply for correction of naval disentitle him from receiving military and marine records and how the BCNR retirement pay under 31 U.S.C. 801(c).) considers applications. It defines the (e) If, upon review of a form, it is de- Board’s authority to act on applica- termined that the form was not re- tions. It directs collecting and main- quired to be submitted or that all retaining information subject to the Pri- quired information has not been fur- vacy Act of 1974 authorized by 10 U.S.C. nished, appropriate corrective action 1034 and 1552. shall be taken. If it is determined that a conflict-of-interests violation may § 723.2 Establishment, function and ju- have been committed, the form will be risdiction of the Board. processed as provided in paragraph (b) (a) Establishment and composition. of this section, but a copy of the form Under 10 U.S.C. 1034 and 1552, the Board shall be forwarded, for such additional review, inquiry, advice, or further ac- for Correction of Naval Records is es- tion as may be warranted, to the Chief tablished by the Secretary of the Navy. of Naval Material if involving a pos- The Board consists of civilians of the sible violation in connection with the executive part of the Department of procurement, acquisitions, or disposal the Navy in such number, not less than of property within the purview of three, as may be appointed by the Sec- SECNAVINST 4385.1B; or to the Judge retary and who shall serve at the pleas- Advocate General in any other case. ure of the Secretary. Three members present shall constitute a quorum of §§ 722.5—722.6 [Reserved] the Board. The Secretary of the Navy will designate one member as Chair. In § 722.7 Availability of forms. the absence or incapacity of the Chair, Supplies of form DD 1787 are avail- an Acting Chair chosen by the Execu- able in the Forms and Publications tive Director shall act as Chair for all Segment of the Navy Supply System purposes. under Stock Number 0102–Lf–025–5090. (b) Function. The Board is not an investigative body. Its function is to con- PART 723—BOARD FOR sider applications properly before it for CORRECTION OF NAVAL RECORDS the purpose of determining the existence of error or injustice in the naval Sec. records of current and former members 723.1 General provisions. of the Navy and Marine Corps, to make 723.2 Establishment, function and jurisdiction of the Board. recommendations to the Secretary or 723.3 Application for correction. to take corrective action on the Sec- 723.4 Appearance before the board; notice; retary’s behalf when authorized. counsel; witnesses; access to records. (c) Jurisdiction. The Board shall have 723.5 Hearing. jurisdiction to review and determine 723.6 Action by the Board. 723.7 Action by the Secretary. all matters properly brought before it, 723.8 Staff action. consistent with existing law. 723.9 Reconsideration.

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§ 723.3 Application for correction. (5) The applicant has failed to file an (a) General requirements. (1) The appli- application within 3 years after discov- cation for correction must be submit- ery of the alleged error or injustice and ted on DD 149 (Application for Correc- has not provided a reason or reasons tion of Military Record) or exact fac- why the Board should find it in the in- simile thereof, and should be addressed terest of justice to excuse the failure to to: Board for Correction of Naval file the application within the pre- Records, Department of the Navy, 2 scribed 3-year period. Navy Annex, Washington, DC 20370– (d) Other proceedings not stayed. Fil- 5100. Forms and other explanatory ing an application with the Board shall matter may be obtained from the not operate as a stay of any other pro- Board upon request. ceedings being taken with respect to (2) Except as provided in paragraph the person involved. (a)(3) of this section, the application (e) Consideration of application. (1) shall be signed by the person request- Each application accepted for considering corrective action with respect to ation and all pertinent evidence of his/her record and will either be sworn record will be reviewed by a three to or will contain a provision to the ef- member panel sitting in executive ses- fect that the statements submitted in sion, to determine whether to author- the application are made with full ize a hearing, recommend that the knowledge of the penalty provided by records be corrected without a hearing, law for making a false statement or or to deny the application without a claim. (18 U.S.C. 287 and 1001) hearing. This determination will be (3) When the record in question is made by majority vote. that of a person who is incapable of (2) The Board may deny an applica- making application, or whose where- tion in executive session if it deter- abouts is unknown, or when such per- mines that the evidence of record fails son is deceased, the application may be to demonstrate the existence of prob- made by a spouse, parent, heir, or legal able material error or injustice. The representative. Proof of proper interest Board relies on a presumption of regu- shall be submitted with the applica- larity to support the official actions of tion. public officers and, in the absence of (b) Time limit for filing application. Ap- substantial evidence to the contrary, plications for correction of a record will presume that they have properly must be filed within 3 years after dis- discharged their official duties. Appli- covery of the alleged error or injustice. cants have the burden of overcoming Failure to file within the time pre- this presumption but the Board will scribed may be excused by the Board if not deny an application solely because it finds it would be in the interest of the record was made by or at the direc- justice to do so. If the application is filed more than 3 years after discovery tion of the President or the Secretary of the error or injustice, the applica- in connection with proceedings other tion must set forth the reason why the than proceedings of a board for the cor- Board should find it in the interest of rection of military or naval records. justice to excuse the failure to file the Denial of an application on the grounds application within the time prescribed. of insufficient evidence to demonstrate (c) Acceptance of applications. An ap- the existence of probable material plication will be accepted for consider- error or injustice is final subject to the ation unless: provisions for reconsideration con- (1) The Board lacks jurisdiction. tained in § 723.9. (2) The Board lacks authority to (3) When an original application or a grant effective relief. request for further consideration of a (3) The applicant has failed to comply previously denied application is denied with the filing requirements of para- without a hearing, the Board’s deter- graphs (a)(l), (a)(2), or (a)(3) of this sec- mination shall be made in writing and tion. include a brief statement of the (4) The applicant has failed to ex- grounds for denial. haust all available administrative rem- (4) The brief statement of the edies. grounds for denial shall include the

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reasons for the determination that re- (2) Upon receipt of the notice of hear- lief should not be granted, including ing, the applicant will notify the Board the applicant’s claims of constitu- in writing at least 15 days prior to the tional, statutory and/or regulatory vio- date set for hearing as to whether he/ lations that were rejected, together she will be present at the hearing and with all the essential facts upon which will indicate to the Board the name of the denial is based, including, if appli- counsel, if represented by counsel, and cable, factors required by regulation to the names of such witnesses as be considered for determination of the he/she intends to call. Cases in which character of and reason for discharge. the applicant notifies the Board that Further the Board shall make a deter- he/she does not desire to be present at mination as to the applicability of the the hearing will be considered in ac- provisions of the Military Whistle- cordance with § 723.5(b)(2). blower Protection Act (10 U.S.C. 1034) if (c) Counsel. As used in this part, the it is invoked by the applicant or rea- term ‘‘counsel’’ will be construed to in- sonably raised by the evidence. At- clude members in good standing of the tached to the statement shall be any federal bar or the bar of any state, ac- advisory opinion considered by the credited representatives of veterans’ Board which is not fully set out in the organizations recognized by the Sec- statement. The applicant will also be retary of Veterans Affairs under 38 advised of reconsideration procedures. U.S.C. 3402, or such other persons who, (5) The statement of the grounds for in the opinion of the Board, are consid- denial, together with all attachments, ered to be competent to present equi- shall be furnished promptly to the ap- tably and comprehensively the request plicant and counsel, who shall also be of the applicant for correction, unless informed that the name and final vote barred by law. Representation by coun- of each Board member will be furnished sel will be at no cost to the govern- or made available upon request. Classi- ment. fied or privileged material will not be (d) Witnesses. The applicant will be incorporated or attached to the Board permitted to present witnesses in statement; rather, unclassified or non- his/her behalf at hearings before the privileged summaries of such material Board. It will be the responsibility of will be so used and written expla- the applicant to notify his/her wit- nations for the substitution will be nesses and to arrange for their appear- provided to the applicant and counsel. ance at the time and place set for hearing. Appearance of witnesses will be at § 723.4 Appearance before the board; no cost to the government. notice; counsel; witnesses; access to (e) Access to records. (1) It is the re- records. sponsibility of the applicant to procure (a) General. In each case in which the such evidence not contained in the offi- Board determines a hearing is war- cial records of the Department of the ranted, the applicant will be entitled to Navy as he/she desires to present in appear before the Board either in per- support of his/her case. son or by counsel of his/her selection or (2) Classified or privileged informa- in person with counsel. Additional pro- tion may be released to applicants only visions apply to cases processed under by proper authorities in accordance the Military Whistleblower Protection with applicable regulations. Act (10 U.S.C. 1034). (3) Nothing in this part authorizes (b) Notice. (1) In each case in which a the furnishing of copies of official hearing is authorized, the Board’s staff records by the Board. Requests for cop- will transmit to the applicant a writ- ies of these records should be submit- ten notice stating the time and place of ted in accordance with applicable regu- hearing. The notice will be mailed to lations governing the release of infor- the applicant, at least 30 days prior to mation. The BCNR can provide a re- the date of hearing, except that an ear- questor with information regarding lier date may be set where the appli- procedures for requesting copies of cant waives his/her right to such notice these records from the appropriate re- in writing. tention agency.

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§ 723.5 Hearing (2) Whenever, during the course of its review of an application, it appears to (a) Convening of board. The Board will the Board’s satisfaction that the facts convene, recess and adjourn at the call have not been fully and fairly disclosed of the Chair or Acting Chair. by the records or by the testimony and (b) Conduct of hearing. (1) The hearing other evidence before it, the Board may shall be conducted by the Chair or Act- require the applicant or military au- ing Chair, and shall be subject to his/ thorities to provide such further infor- her rulings so as to ensure a full and mation as it may consider essential to fair hearing. The Board shall not be a complete and impartial determina- limited by legal rules of evidence but tion of the facts and issues. shall maintain reasonable bounds of (3) Following a hearing, or where the competency, relevancy, and material- Board determines to recommend that ity. the record be corrected without a hear- (2) If the applicant, after being duly ing, the Board will make written find- notified, indicates to the Board that ings, conclusions and recommenda- he/she does not desire to be present or tions. If denial of relief is rec- to be represented by counsel at the ommended following a hearing, such hearing, the Board will consider the written findings and conclusions will case on the basis of all the material be- include a statement of the grounds for fore it, including, but not limited to, denial as described in § 723.3(e)(4). The the application for correction filed by name and final vote of each Board the applicant, any documentary evi- member will be recorded. A majority dence filed in support of such applica- vote of the members present on any tion, any brief submitted by or in be- matter before the Board will constitute half of the applicant, and all available the action of the Board and shall be so pertinent records. recorded. (3) If the applicant, after being duly (4) Where the Board deems it nec- notified, indicates to the Board that essary to submit comments or rec- he/she will be present or be represented ommendations to the Secretary as to by counsel at the hearing, and without matters arising from but not directly good cause and timely notice to the related to the issues of any case, such Board, the applicant or representative comments and recommendations shall fails to appear at the time and place be the subject of separate communica- set for the hearing or fails to provide tion. Additionally, in Military Whistle- the notice required by § 723.4(b)(2), the blower Protection Act cases, any rec- Board may consider the case in accord- ommendation by the Board to the Sec- ance with the provisions of paragraph retary that disciplinary or administra- (b)(2) of this section, or make such tive action be taken against any Navy other disposition of the case as is ap- official based on the Board’s deter- propriate under the circumstances. mination that the official took reprisal (4) All testimony before the Board action against the applicant will not be shall be given under oath or affirma- made part of the Board’s record of pro- tion. The proceedings of the Board and ceedings or furnished the applicant but the testimony given before it will be will be transmitted to the Secretary as recorded verbatim. a separate communication. (c) Continuance. The Board may con- (b) Minority report. In case of a dis- tinue a hearing on its own motion. A agreement between members of the request for continuance by or in behalf Board a minority report will be sub- of the applicant may be granted by the mitted, either as to the findings, con- Board if a continuance appears nec- clusions or recommendation, including essary to insure a full and fair hearing. the reasons therefor. (c) Record of proceedings. Following a § 723.6 Action by the Board. hearing, or where the Board determines (a) Deliberations, findings, conclusions, to recommend that the record be cor- and recommendations. (1) Only members rected without a hearing, a record of of the Board and its staff shall be proceedings will be prepared. Such present during the deliberations of the record shall indicate whether or not a Board. quorum was present, and the name and

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vote of each member present. The tion as he or she determines to be ap- record shall include the application for propriate, which may include the re- relief, a verbatim transcript of any tes- turn of the record to the Board for fur- timony, affidavits, papers and docu- ther consideration. Those cases re- ments considered by the Board, briefs turned for further consideration shall and written arguments, advisory opin- be accompanied by a brief statement ions, if any, minority reports, if any, setting out the reasons for such action the findings, conclusions and rec- along with any specific instructions. If ommendations of the Board, where ap- the Secretary’s decision is to deny re- propriate, and all other papers, docu- lief, such decision shall be in writing ments, and reports necessary to reflect and, unless he or she expressly adopts a true and complete history of the pro- in whole or in part the findings, con- ceedings. clusions and recommendations of the (d) Withdrawal. The Board may per- Board, or a minority report, shall in- mit an applicant to withdraw his/her clude a brief statement of the grounds application without prejudice at any for denial. See § 723.3(e)(4). time before its record of proceedings is (b) Military Whistleblower Protection forwarded to the Secretary. Act. The Secretary will ensure that de- (e) Delegation of authority to correct cisions in cases involving the Military certain naval records. (1) With respect to Whistleblower Protection Act are is- all petitions for relief properly before sued 180 days after receipt of the case it, the Board is authorized to take final and will, unless the full relief re- corrective action on behalf of the Sec- quested is granted, inform applicants retary, unless: of their right to request review of the (i) Comments by proper naval author- decision by the Secretary of Defense. ity are inconsistent with the Board’s Applicants will also be informed: recommendation; (1) Of the name and address of the of- (ii) The Board’s recommendation is ficial to whom the request for review not unanimous; or must be submitted. (iii) It is in the category of petitions (2) That the request for review must reserved for decision by the Secretary be submitted within 90 days after re- of the Navy. ceipt of the decision by the Secretary (2) The following categories of peti- of the Navy. tions for relief are reserved for decision (3) That the request for review must by the Secretary of the Navy: be in writing and include: (i) Petitions involving records pre- (i) The applicant’s name, address and viously reviewed or acted upon by the telephone number; Secretary wherein the operative facts (ii) A copy of the application to the remained substantially the same; Board and the final decision of the Sec- (ii) Petitions by former commis- retary of the Navy; and sioned officers or midshipmen to (iii) A statement of the specific rea- change the character of, and/or the reasons the applicant is not satisfied with son for, their discharge; or, the decision of the Secretary of the (iii) Such other petitions as, in the Navy. determination of Office of the Sec- (4) That the request must be based on retary or the Executive Director, war- the Board record; request for review rant Secretarial review. based on factual allegations or evi- (3) The Executive Director after en- dence not previously presented to the suring compliance with this section, Board will not be considered under this will announce final decisions on appli- paragraph but may be the basis for re- cations decided under this section. consideration by the Board under § 723.9. § 723.7 Action by the Secretary. (a) General. The record of proceed- § 723.8 Staff action. ings, except in cases finalized by the (a) Transmittal of final decisions grant- Board under the authority delegated in ing relief. (1) If the final decision of the § 723.6(e), and those denied by the Board Secretary is to grant the applicant’s without a hearing, will be forwarded to request for relief the record of proceed- the Secretary who will direct such ac- ings shall be returned to the Board for

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disposition. The Board shall transmit and material evidence or other matter the finalized record of proceedings to not previously considered by the proper naval authority for appropriate Board. New evidence is defined as evi- action. Similarly final decisions of the dence not previously considered by the Board granting the applicant’s request Board and not reasonably available to for relief under the authority delegated the applicant at the time of the pre- in § 723.6(e), shall also be forwarded to vious application. Evidence is material the proper naval authority for appro- if it is likely to have a substantial ef- priate action. fect on the outcome. All requests for (2) The Board shall transmit a copy further consideration will be initially of the record of proceedings to the screened by the Executive Director of proper naval authority for filing in the the Board to determine whether new applicant’s service record except where and material evidence or other matter the effect of such action would be to (including, but not limited to, any fac- nullify the relief granted. In such cases tual allegations or arguments why the no reference to the Board’s decision relief should be granted) has been sub- shall be made in the service record or mitted by the applicant. If such evi- files of the applicant and all copies of dence or other matter has been submit- the record of proceedings and any re- ted, the request shall be forwarded to lated papers shall be forwarded to the the Board for a decision. If no such evi- Board and retained in a file maintained dence or other matter has been submit- for this purpose. ted, the applicant will be informed that (3) The addressees of such decisions his/her request was not considered by shall report compliance therewith to the Board because it did not contain the Executive Director. new and material evidence or other (4) Upon receipt of the record of pro- matter. ceedings after final action by the Sec- retary, or by the Board acting under § 723.10 Settlement of claims. the authority contained in § 723.6(e), (a) Authority. (1) The Department of the Board shall communicate the deci- the Navy is authorized under 10 U.S.C. sion to the applicant. The applicant is 1552 to pay claims for amounts due to entitled, upon request, to receive a applicants as a result of corrections to copy of the Board’s findings, conclu- their naval records. sions and recommendations. (2) The Department of the Navy is (b) Transmittal of final decisions deny- not authorized to pay any claim here- ing relief. If the final decision of the tofore compensated by Congress Secretary or the Board is to deny re- through enactment of a private law, or lief, the following materials will be to pay any amount as compensation for made available to the applicant: any benefit to which the claimant (1) A statement of the findings, con- might subsequently become entitled clusions, and recommendations made under the laws and regulations admin- by the Board and the reasons therefor; istered by the Secretary of Veterans (2) Any advisory opinions considered Affairs. by the Board; (b) Application for settlement. (1) Set- (3) Any minority reports; and tlement and payment of claims shall be (4) Any material prepared by the Sec- made only upon a claim of the person retary as required in § 723.7. Moreover, whose record has been corrected or applicant shall also be informed that legal representative, heirs at law, or the name and final vote of each Board beneficiaries. Such claim for settle- member will be furnished or made ment and payment may be filed as a available upon request and that he/she separate part of the application for cor- may submit new and material evidence rection of the record. or other matter for further consider- (2) When the person whose record has ation. been corrected is deceased, and where no demand is presented by a duly ap- § 723.9 Reconsideration. pointed legal representative of the es- After final adjudication, further con- tate, payments otherwise due shall be sideration will be granted only upon made to the surviving spouse, heir or presentation by the applicant of new beneficiaries, in the order prescribed

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by the law applicable to that kind of (b) Indexing of decisions. (1) Docu- payment, or if there is no such law cov- ments sent to each applicant and coun- ering order of payment, in the order set sel in accordance with § 723.3(e)(5) and forth in 10 U.S.C. 2771; or as otherwise § 723.8(a)(4), together with the record of prescribed by the law applicable to the votes of Board members and all that kind of payment. other statements of findings, conclu- (3) Upon request, the applicant or ap- sions and recommendations made on plicants shall be required to furnish final determination of an application requisite information to determine by the Board or the Secretary will be their status as proper parties to the indexed and promptly made available claim for purposes of payment under for public inspection and copying at applicable provisions of law. the Armed Forces Discharge Review/ (c) Settlement. (1) Settlement of Correction Boards Reading Room lo- claims shall be upon the basis of the cated on the Concourse of the Penta- gon Building in Room 2E123, Washing- decision and recommendation of the ton, DC. Board, as approved by the Secretary or (2) All documents made available for his designee. Computation of the public inspection and copying shall be amounts due shall be made by the ap- indexed in a usable and concise form so propriate disbursing activity. In no as to enable the public to identify case will the amount found due exceed those cases similar in issue together the amount which would otherwise with the circumstances under and/or have been paid or have become due reasons for which the Board and/or Sec- under applicable laws had no error or retary have granted or denied relief. injustice occurred. Earnings received The index shall be published quarterly from civilian employment, self employ- and shall be available for public inspec- ment or any income protection plan for tion and distribution by sale at the such employment during any period for Reading Room located on the Con- which active duty pay and allowances course of the Pentagon Building in are payable will be deducted from the Room 2E123, Washington, DC. Inquiries settlement. To the extent authorized concerning the index or the Reading by law and regulation, amounts found Room may be addressed to the Chief, due may be reduced by the amount of Micromation Branch/Armed Forces any existing indebtedness to the Gov- Discharge Review/Correction Boards ernment arising from military service. Reading Room, Crystal Mall 4, 1941 Jef- (2) Prior to or at the time of pay- ferson Davis Highway, Arlington, Vir- ment, the person or persons to whom ginia 22202. payments are to be made shall be ad- (3) To the extent necessary to pre- vised by the disbursing activity of the vent a clearly unwarranted invasion of nature and amount of the various bene- personal privacy, identifying details of fits represented by the total settlement the applicant and other persons will be and shall be advised further that ac- deleted from the documents made ceptance of such settlement shall con- available for public inspection and stitute a complete release by the copying. Names, addresses, social secu- claimants involved of any claim rity numbers and military service against the United States on account numbers must be deleted. Deletions of of the correction of the record. other information which is privileged (d) Report of settlement. In every case or classified may be made only if a where payment is made, the amount of written statement of the basis for such such payment and the names of the deletion is made available for public payee or payees shall be reported to inspection. the Executive Director. PART 724—NAVAL DISCHARGE § 723.11 Miscellaneous provisions. REVIEW BOARD (a) Expenses. No expenses of any nature whatsoever voluntarily incurred Subpart A—Definitions by the applicant, counsel, witnesses, or Sec. by any other person in the applicant’s 724.101 Naval Service. behalf, will be paid by the Government. 724.102 Naval Discharge Review Board.

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724.103 NDRB panel. Subpart C—Director, Naval Council of Per- 724.104 NDRB Traveling Panel. sonnel Boards and President Naval 724.105 President of the NDRB. Discharge Review Board; Responsibil- 724.106 Presiding Officer, NDRB Panel. ities in Support of the Naval Discharge 724.107 Discharge. Review Board 724.108 Administrative discharge. 724.109 Types of administrative discharges. 724.301 Mission. 724.110 Reason/basis for administrative dis- 724.302 Functions: Director, Naval Council charge. of Personnel Boards. 724.111 Punitive discharge. 724.303 Functions: President, Naval Dis- 724.112 Clemency discharge. charge Review Board. 724.113 Appication. 724.304 Responsibility for Department of the 724.114 Applicant. Navy Suppport of the Naval Discharge 724.115 Next of kin. Review Board. 724.116 Council/representative. 724.305 Functions of the CMC and CNO. 724.117 Discharge review. 724.306 Functions of the Commander, Naval Medical Command. 724.118 Documentary discharge review. 724.307 Functions of the Commander, Naval 724.119 Personal appearance discharge re- Reserve Force. view. 724.120 National Capital Region (NCR). Subpart D—Principal Elements of the Navy 724.121 Decisional document. Department Discharge Review System 724.122 Recorder, NDRB Panel. 724.123 Complainant. 724.401 Applicants. 724.402 Naval Discharge Review Board. Subpart B—Authority/Policy for 724.403 President, Naval Discharge Review Departmental Discharge Review Board. 724.404 Director, Naval Council of Personnel 724.201 Authority. Boards. 724.202 Statutory/Directive Authority. 724.405 Commandant of the Marine Corps or 724.203 Broad objectives of naval discharge the Commander, Naval Military Person- review. nel Command. 724.204 Eligibility for naval discharge re- 724.406 Commander, Naval Medical Com- view. mand. 724.205 Authority for review of naval dis- 724.407 Commander, Naval Reserve Force. charges; jurisdictional limitations. 724.408 Secretary of the Navy. 724.206 Jurisdictional determinations. 724.207 Disposition of applications for dis- Subpart E—Procedural Rights of the Appli- charge review. cant and Administrative Actions Pre- 724.208 Implementation of NDRB decisions. liminary to Discharge Review 724.209 Evidence supporting applications. 724.210 Review action in instances of un- 724.501 Procedural rights of the applicant. available records. 724.502 Actions to be taken by the applicant 724.211 Regularity of government affairs. preliminary to discharge review. 724.212 Availability of records. 724.503 NDRB response to application for 724.213 Attendance of witnesses. discharge review. 724.214 Applicant’s expenses. 724.504 NDRB actions preliminary to dis- 724.215 Military representation. charge review. 724.216 Failure to appear at a hearing or respond to a scheduling notice. Subpart F—Naval Discharge Review Board 724.217 Limitation—Reconsiderations. Mission and Functions 724.218 Limitation—Continuance and Post- ponements. 724.601 General. 724.219 Withdrawal of application. 724.602 Mission. 724.220 Review on motion of the NDRB. 724.603 Functions. 724.221 Scheduling of discharge reviews. 724.222 Personal appearance discharge hear- Subpart G—Organization of the Naval ing sites. Discharge Review Board 724.223 NDRB support and augmentation by 724.701 Composition. regular and reserve activities. 724.702 Executive management. 724.224 Court-martial specifications; pre- 724.703 Legal counsel. sumptions concerning.

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Subpart H—Procedures of the Naval discharges of former members of the Discharge Review Board Naval Service.

724.801 Matters to be considered in dis- § 724.103 NDRB panel. charge review. 724.802 Applicant’s responsibilities. An element of the NDRB, consisting 724.803 The decisional document. of five members, authorized to review 724.804 Decision process. discharges. In plenary review session, 724.805 Response to items submitted as is- an NDRB panel acts with the authority sues by the applicant. delegated by the Secretary of the Navy 724.806 Decisional issues. to the Naval Discharge Review Board. 724.807 Record of NDRB proceedings. 724.808 Issuance of decisions following discharge review. § 724.104 NDRB Traveling Panel. 724.809 Final disposition of the record of An NDRB Panel that travels for the proceedings. purpose of conducting personal appear- 724.810 Availability of Naval Discharge Re- ances discharge review hearings at lo- view Board documents for public inspec- cations outside of the National Capital tion and copying. 724.811 Privacy Act information. Region (NCR). 724.812 Responsibilities of the Reading Room. § 724.105 President of the NDRB. 724.813 The recommendation of the NDRB A senior officer of the Naval Service president. designated by the Secretary of the 724.814 Secretarial Review Authority (SRA). Navy who is responsible for the direct 724.815 Complaints. supervision of the discharge review Subpart I—Standards for Discharge Review function within the Naval Service. (See subpart E). 724.901 Objective of discharge review. 724.902 Propriety of the discharge. § 724.106 Presiding Officer, NDRB 724.903 Equity of the discharge. Panel. The senior member of an NDRB APPENDICES TO PART 724 Panel shall normally be the Presiding APPENDIX A—POLICY STATEMENT BY THE SEC- Officer. He/she shall convene, recess RETARY OF DEFENSE—ADDRESSING CER- and adjourn the NDRB Panel as appro- TAIN CATEGORIES OF DISCHARGES priate. APPENDIX B—OATH OR AFFIRMATION TO BE ADMINISTERED TO DISCHARGE REVIEW BOARD MEMBERS § 724.107 Discharge. APPENDIX C—SAMPLES OF FORMATS EM- In the context of the review function PLOYED BY THE NAVAL DISCHARGE REVIEW prescribed by 10 U.S.C. 1553, a discharge BOARD or dismissal is a complete separation APPENDIX D—VETERANS’ BENEFITS from the Naval Service, other than one AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 1553. pursuant to the sentence of a general SOURCE: 50 FR 10943, Mar. 19, 1985, unless court-martial. By reason of usage, the otherwise noted. term ‘‘discharge’’ is predominantly applicable to the separation of enlisted Subpart A—Definitions personnel for any reason, and the term ‘‘dismissal’’ to the separation of offi- § 724.101 Naval Service. cers as a result of Secretarial or gen- The Naval Service is comprised of the eral court-martial action. In the con- uniformed members of the United text of the mission of the NDRB, the States Navy and the United States Ma- term ‘‘discharge’’ used here shall, for rine Corps, including active and inac- purpose of ease of expression, include tive reserve components. any complete separation from the naval service other than that pursuant § 724.102 Naval Discharge Review to the sentence of general court-mar- Board. tial. The term ‘‘discharge’’ also in- An administrative board, referred to cludes the type of discharge and the as the ‘‘NDRB’’ established by the Sec- reason/basis for that discharge, e.g., retary of the Navy pursuant to title 10 Other Than Honorable/Misconduct U.S.C., section 1553, for the review of (Civil Conviction).

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§ 724.108 Administrative discharge. ber is separated by reason of Selected A discharge upon expiration of enlist- Changes in Service Obligation, Conven- ment or required period of service, or ience of the Government, or Disability. prior thereto, in a manner prescribed (ii) With respect to administrative by the Commandant of the Marine matters outside the administrative Corps or the Commander, Naval Mili- separation system that require a char- tary Personnel Command, but specifi- acterization of service as Honorable or cally excluding separation by sentence General, an Entry Level Separation of a court-martial. shall be treated as the required characterization. In accordance with 1163 of § 724.109 Types of administrative dis- title 10, United States Code (1982), an charges. Entry Level Separation for a member (a) A determination reflecting a of a Reserve component separated from member’s military behavior and per- the Delayed Entry Program is under formance of duty during a specific pe- honorable conditions. riod of service. The three characteriza- tions are: [50 FR 10943, Mar. 19, 1985, as amended at 51 (1) Honorable. A separation from the FR 44909, Dec. 15, 1986] naval service with honor. The issuance of an Honorable Discharge is contin- § 724.110 Reason/basis for administra- gent upon proper military behavior and tive discharge. performance of duty. The terms ‘‘reason for discharge’’ and (2) Under Honorable Conditions (also ‘‘basis for discharge’’ have the same termed General Discharge). A separa- meaning. The first is a Navy term and tion from the naval service under hon- the second is a Marine Corps term. orable conditions. The issuance of a These terms identify why an adminis- discharge under honorable conditions trative discharge was issued, e.g., Con- is contingent upon military behavior venience of the Government, Mis- and performance of duty which is not sufficiently meritorious to warrant an conduct. Reasons/basis for discharge Honorable Discharge. are found in the Naval Military Person- (3) Under Other Than Honorable Condi- nel Manual and Marine Corps Separa- tions (formerly termed Undesirable Dis- tion and Retirement Manual as well as charge). A separation from the naval predecessor publications. service under conditions other than honorable. It is issued to terminate the § 724.111 Punitive discharge. service of a member of the naval serv- A discharge awarded by sentence of a ice for one or more of the reasons/basis court-martial. There are two types of listed in the Naval Military Personnel punitive discharges: Manual, Marine Corps Separation and (a) Bad conduct. A separation from Retirement Manual and their prede- the naval service under conditions cessor publications. other than honorable. It may be ef- (4) Entry Level Separation. (i) A sepa- fected only as a result of the approved ration initiated while a member is in sentence of a general or special court- entry level status will be described as martial. an Entry Level Separation except in the following circumstances: (b) Dishonorable. A separation from (a) When characterization under the naval service under dishonorable Other Than Honorable Conditions is conditions. It may be effected only as a authorized and is warranted by the cir- result of the approved sentence of a cumstances of the case; or general court-martial. (b) When characterization of service as Honorable is clearly warranted by § 724.112 Clemency discharge. the presence of unusual circumstances (a) The clemency discharge was cre- including personal conduct and per- ated by the President on September 16, formance of naval duty and is approved 1974, in his Proclamation 4313, ‘‘An- on a case-by-case basis by the Sec- nouncing a Program for the Return of retary of the Navy. This characterization will be considered when the mem-

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Vietnam Era Draft Evaders and Mili- (b) Whose case is considered on the tary Deserters.’’ Upon issuance to indi- NDRB’s own motion. viduals who have an undesirable discharge or a punitive discharge, a clem- § 724.115 Next of kin. ency discharge serves as a written tes- The person or persons in the highest timonial to the fact that the individual category of priority as determined by has satisfied the requirements of the the following list (categories appear in President’s program, and has fully descending order of priority): Surviv- earned his/her return to the main- ing legal spouse; children (whether by stream of American society in accord- current or prior marriage) age 18 years ance with that program. or older in descending precedence by (b) The clemency discharge is a neu- age; father or mother, unless by court tral discharge, neither honorable nor order custody has been vested in an- less than honorable. It does not effect a other (adoptive parent takes prece- change in the characterization of the dence over natural parent); siblings individual’s military service as havng (whole or half) age 18 years or older in been under other than honorable condi- descending precedence by age; grand- tion, nor does it serves to change, seal, father or grandmother; any other rel- erase or in any way modify the individ- ative (precedence to be determined in ual’s past military record. Therefore, if accordance with the civil law of de- the underlying discharge was issued as scent of the deceased former member’s a result of a general court-martial, the state of domicile at time of death). issuance of a Clemency Discharge does not subject the underlying character- § 724.116 Council/representative. ization to review under 10 U.S.C. 1553. An individual or agency designated Clemency discharges are issued by the by the applicant who agrees to rep- Commander, Naval Military Personnel resent the applicant in a case before Command or the Commandant of the the NDRB. It includes, but is not lim- Marine Corps when an individual has ited to: a lawyer who is a member of met the requirements of the Presi- the bar of a Federal Court or of the dential Proclamation. highest court of a State; an accredited representative designated by an organi- § 724.113 Application. zation recognized by the Administrator In the context of this Manual, a writ- of Veterans Affairs; a representative ten application to the NDRB for the re- from a State agency concerned with view of a discharge submitted by a veterans affairs; or a representative former member of the naval service or, from private organizations or local where a former member is deceased or Government agencies. incompetent, by spouse, next of kin or legal representative. Department of § 724.117 Discharge review. Defense Form 293 must be used for the A nonadversary administrative re- application. appraisal at the level of the Navy De- partment of discharges from the naval § 724.114 Applicant. service. The object of the reappraisal is A former member of the naval serv- to determine whether the discharge ice who has been discharged adminis- should be changed, and if so, the nature tratively in accordance with the direc- of the change. This reappraisal in- tives of the naval service or by sen- cludes the type and reason/basis for tence of a special court-martial under separation, the procedures followed in title 10 U.S.C. 801 et seq. (Uniform Code accomplishing separation, and the of Military Justice) and, in accordance characterization of service. This term with statutory and regulatory provi- includes determinations made under sions: the provisions of 38 U.S.C. 3103(2). (a) Whose case is considered by the NDRB at the request of the former § 724.118 Documentary discharge re- member, of, if authorized under view. § 724.113, the surviving spouse, next-of- A formal session of the NDRB con- kin or legal representative, or vened for the purpose of reviewing, on

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the basis of documentary data, an ap- CFR Part 70 with respect to the plicant’s discharge. The Documentary decisional document issued in the data shall include the application to- former member’s own case; or a former gether with all information accom- member of the Armed Forces (or the panying that application, available former member’s counsel) who submits service and medical records, and any a complaint under reference (b) stating other information considered relevant that correction of the decisional docu- by the NDRB. ment will assist the former member in preparing for an administrative or judi- § 724.119 Personal appearance discharge review. cial proceeding in which the former member’s own discharge will be at A formal session of the NDRB con- issue. vened for the purpose of reviewing an applicant’s discharge on the basis of a personal appearance, as well as docu- Subpart B—Authority/Policy for mentary data. The personal appearance Departmental Discharge Review may be by the applicant or by a representative of the applicant, or both. § 724.201 Authority. The Naval Discharge Review Board, § 724.120 National Capital Region established pursuant to 10 U.S.C. 1553, (NCR). is a component of the Naval Council of The District of Columbia; Prince Personnel Boards. By SECNAVINST Georges and Montgomery Counties in 5430.7L, the Assistant Secretary of the Maryland; Arlington, Fairfax, Navy (Manpower and Reserve Affairs) Loudoun, and Prince William Counties is authorized and directed to act for in Virginia; and all cities and towns in- the Secretary of the Navy within his cluded within the outer boundaries of assigned area of responsibility and ex- the foregoing counties. ercises oversight over the Naval Coun- cil of Personnel Boards. SECNAVINST § 724.121 Decisional document. 5420.135C of July 15, 1983 states the or- The written recordation of the appli- ganization, mission, duties and respon- cant’s summary of service, the issue or sibilities of the Naval Council of Per- issues presented together with any evi- sonnel Boards to include the Naval Dis- dence offered in support of the applica- charge Review Board. The Chief of tion, the NDRB’s response to the issue Naval Operations established the Office or issues, the votes of the members of of Naval Disability Evaluation and the panel, and any recommendations or Navy Council of Personnel Boards on 1 responses by the President of the October 1976 (OPNAVNOTE 5450 Ser NDRB or the Secretarial Reviewing 09B26/535376 of 9 Sep 1976 (Canc frp: Apr Authority (SRA). The decisional docu- 77)). The Chief of Naval Operations ap- ment is promulgated by the ‘‘en bloc proved the change in name of the Of- letter’’. fice of Naval Disability Evaluation and § 724.122 Recorder, NDRB Panel. Navy Council of Personnel Boards to Naval Council of Personnel Boards on 1 A panel member responsible for brief- February 1977 (OPNAVNOTE 5450 Ser ing an applicant’s case from the docu- 09B26/32648 of 24 Jan 1977 (Canc frp: Jul mentary evidence available prior to a 77)) with the following mission state- discharge review, presenting the brief ment: to the panel considering the application, performing other designated func- To administer and supervise assigned tions during personal appearance dis- boards and councils. charge hearings, and drafting the decisional document subsequent to the § 724.202 Statutory/Directive Author- hearing. ity. The NDRB, in its conduct of dis- § 724.123 Complainant. charge review, shall be guided by the A former member of the Armed applicable statutes, regulations, and Forces (or the former member’s coun- manuals and directives of the Depart- sel) who submits a complaint under 32 ment of the Navy, and other written

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public expressions of policy by com- a case completed or in process on or be- petent authority: fore July 7, 1971. (See appendix B). (a) 10 U.S.C. 1553, Review of discharge (e) 32 CFR part 41. This prescribes pol- or dismissal: icy, standards and procedures which (1) ‘‘The Secretary concerned shall, govern the administrative separation after consulting the Administrator of of enlisted persons from the Armed Veterans’ Affairs, establish a board of Forces. review, consisting of five members, to review the discharge or dismissal § 724.203 Broad objectives of naval dis- (other than a discharge or dismissal by charge review. sentence of a general court-martial) of Naval discharge review shall have as any former member of an armed force its broad objectives: under the jurisdiction of his depart- (a) The furtherance of good order and ment upon its own motion or upon the discipline. request of the former member or, if he (b) The correction of injustice or in- is dead, his surviving spouse, next of equity in the discharge issued. kin, or legal representative. A motion (c) The correction of administrative or request for review must be made or clerical errors. within 15 years after the date of the discharge or dismissal.’’ § 724.204 Eligibility for naval dis- (2) A board established under this charge review. section may, subject to review by the Any former member of the Naval Secretary concerned, change a dis- Service, eligible for review under ref- charge or dismissal, or issue a new dis- erence (a) or surviving spouse, next of charge, to reflect its findings. kin or legal representative, shall upon (3) A review by the board established submission of an application be af- under this section shall be based on the forded a review of the member’s dis- records of the armed forces concerned charge from the Naval Service as pro- and such other evidence as may be pre- vided in §§ 724.205 and 724.206. Discharge sented to the board. A witness may review may also be initiated on the present evidence to the board in person motion of the NDRB (See § 724.220). or by affidavit. A person who requests a review under this section may appear § 724.205 Authority for review of naval before the board in person or by coun- discharges; jurisdictional limitations. sel or an accredited representative or an organization recognized by the Ad- (a) The Board shall have no authority ministrator of Veterans’ Affairs under to: title 38 U.S.C. 3401 et seq.’’. (1) Review a discharge or dismissal (b) Pub. L. 95–126. See appendix D. resulting from a general court-martial; (c) 32 CFR part 70. This provides for (2) Alter the judgment of a court- uniform standards and procedures for martial, except the discharge or dis- review of discharges from the military missal awarded may be changed for services of the Department of Defense. purposes of clemency; The provisions of 32 CFR part 70 are in- (3) Revoke any discharge or dismis- corporated in this Manual. sal; (d) The Secretary of Defense memo- (4) Reinstate a person in the naval randa dated August 13, 1971 and April 28, service; 1972 (NOTAL). These directed a review (5) Recall a former member to active for recharacterization of (1) adminis- duty; trative discharges under other than (6) Change a reenlistment code; honorable conditions issued solely on (7) Make recommendations for reen- the basis of personal use of drugs or listment to permit entry in the naval possession of drugs for the purpose of service or any other branch of the such use, and (2) punitive discharges Armed Forces; and dismissals issued solely for convic- (8) Cancel or void enlistment con- tion of personal use of drugs and pos- tracts; or session for the purpose of such use for (9) Change the reason for discharge those discharges executed as a result of from or to a physical disability

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(b) Review of naval discharges shall § 724.209 Evidence supporting applica- not be undertaken in instances where tions. the elapsed time between the date of In the absence of law, evidence or discharge and the date of receipt of ap- policy to the contrary, naval dis- plication for review exceeds fifteen charges shall be considered just, equi- years. table and proper as issued. When hearings are scheduled, applicants must be § 724.206 Jurisdictional determina- prepared to present their case at the tions. scheduled time. In the absence of any The determination as to whether the other evidence, naval discharge review NDRB has jurisdiction in any case shall be undertaken by examination of shall be predicated on the policy stated available service and health records of in § 724.205. Decisions shall be made by the applicant. Normally, the respon- administrative action without referral sibility for presenting evidence from outside available service and health to the NDRB. Normally, they shall be records shall rest with the applicant. made by the Executive Secretary of the Applications in which elements of rel- NDRB, or they may be referred to the evant information are obviously omit- President, NDRB. ted will be returned for completion and resubmission. § 724.207 Disposition of applications for discharge review. § 724.210 Review action in instances of One of three dispositions will be unavailable records. made of an application for review of a (a) In the event that Department of discharge: the Navy personnel or health records (a) The application may be rejected associated with a requested review of for reason of: discharge are not located at the custo- (1) Absence of jurisdiction; dial activity, the following action shall (2) Previous review on the same evi- be taken by the NDRB prior to consideration of the request for discharge re- dence; or view. (b) The application may be with- (1) A certification that the records drawn by the applicant; or are unavailable shall be obtained from (c) The application may be accepted the custodial activity. and the discharge reviewed by the (2) The applicant shall be notified of NDRB, resulting in, the situation and requested to provide (1) Change to the discharge, or such information and documents as (2) No change. may be desired in support of the request for discharge review. A period of § 724.208 Implementation of NDRB de- not less than 30 days shall be allowed cisions. for such documents to be submitted. At The Commandant of the Marine the expiration of this time period, the Corps and the Chief of Naval Oper- review may be conducted with informa- ations are responsible for implement- tion available to the NDRB. ing Naval Discharge Review Board de- (3) The presumption of regularity in cisions within their respective services. the conduct of government affairs may be applicable in instances of unavail- The Commandant of the Marine Corps able records depending on the cir- shall be notified of decisions in each cumstances of the case. (See § 724.211) discharge review case and shall imple- (b) [Reserved] ment the decisions within the Marine Corps. The Commander, Naval Military § 724.211 Regularity of government af- Personnel Command, acting for the fairs. Chief of Naval Operations and Chief of There is a presumption of regularity Naval Personnel, shall be notified of in the conduct of governmental affairs. decisions in each discharge review case This presumption can be applied in any and shall implement the decisions review unless there is substantial cred- within the Navy. ible evidence to rebut the presumption.

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§ 724.212 Availability of records. fied and requested to provide such in- (a) Before applying for discharge re- formation and documents as may be view, potential applicants or their des- desired in support of the request for ignated representatives may obtain discharge review. A period of not less copies of their military personnel than 60 days shall be allowed for such records by submitting a General Serv- documents to be submitted. At the ex- ices Administration Standard Form piration of this period, the review may 180, ‘‘Request Pertaining to Military be conducted with information avail- Records,’’ to the National Personnel able to the NDRB. Records Center (NPRC), 9700 Page Bou- (d) The NDRB may take steps to ob- levard, St. Louis, MO 63132. Once the tain additional evidence that is rel- application for discharge review (DD evant to the discharge under consider- Form 293) is submitted, an applicant’s ation beyond that found in the official military records are forwarded to the military records or submitted by the NDRB where they cannot be repro- applicant, if a review of available evi- duced. Submission of a request for an dence suggests that it would be incom- applicant’s military records, including plete without the additional informa- a request under the Freedom of Infor- tion, or when the applicant presents mation Act (5 U.S.C. 552) or Privacy testimony or documents that require Act (5 U.S.C. 552a) after the DD Form additional information to evaluate 293 has been submitted, shall result properly. Such information shall be automatically in the temporary sus- made available to the applicant, upon pension of processing of the application request, with appropriate modifica- for discharge review until the re- tions regarding classified material. quested records are sent to an appro- (1) In any case heard on request of an priate location for copying, are copied, applicant, the NDRB shall provide the and are returned to the headquarters of applicant and counsel or representa- the NDRB. Processing of the applica- tive, if any, at a reasonable time before tion shall then be resumed at whatever initiating the decision process, a notice stage of the discharge review process is of the availability of all regulations practicable. Applicants are encouraged and documents to be considered in the to submit any request for their military records before applying for dis- discharge review, except for documents charge review rather than after sub- in the official personnel or medical mitting DD Form 293 to avoid delays in records and any documents submitted processing of applications and schedul- by the applicant. The NDRB shall also ing of reviews. Applicants and their notify the applicant or counsel or rep- counsel may also examine their mili- resentative: (a) of the right to examine tary personnel records at the site of such documents or to be provided with their scheduled review before the hear- copies of the documents upon request; ing. The NDRB shall notify applicants (b) of the date by which such requests of the dates the records are available must be received; and (c) of the oppor- for examination in their standard tunity to respond within a reasonable scheduling information. period of time to be set by the NDRB. (b) If the NDRB is not authorized to (2) When necessary to acquaint the provide copies of documents that are applicant with the substance of a clas- under the cognizance of another gov- sified document, the classifying au- ernment department, office, or activ- thority, on the request of the NDRB, ity, applications for such information shall prepare a summary of or an ex- must be made by the applicant to the tract from the document, deleting all cognizant authority. The NDRB shall references to sources of information advise the applicant of the mailing ad- and other matters, the disclosure of dress of the government department, which, in the opinion of the classifying office, or activity to which the request authority, would be detrimental to the should be submitted. national security interests of the Unit- (c) If the official records relevant to ed States. Should preparation of such the discharge review are not available summary be deemed impracticable by at the agency having custody of the the classifying authority, information records, the applicant shall be so noti- from the classified source shall not be

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considered by the NDRB in its review prior, timely request for a continu- of the case. ation, postponement, or withdrawal. (e) Regulations of a military depart- (b) In such cases, the applicant shall ment may be obtained at many instal- be deemed to have waived the right to lations under the jurisdiction of the a hearing, and the NDRB shall com- Military Department concerned or by plete its review of the discharge. Fur- writing to the following address: DA ther request for a hearing shall not be Military Review Boards Agency, Atten- granted unless the applicant can dem- tion: SFBA (Reading Room), Room onstrate that the failure to appear or 1E520, The Pentagon, Washington, DC respond was due to circumstances be- 20310. yond the applicant’s control.

§ 724.213 Attendance of witnesses. § 724.217 Limitation—Reconsider- Arrangement for attendance of wit- ations. nesses testifying in behalf of the appli- A discharge review shall not be sub- cant at discharge review hearings is ject to reconsideration except: the responsibility of the applicant. The (a) When the only previous consider- NDRB is not authorized to subpoena or ation of the case was on the motion of otherwise require their presence. the NDRB; (b) When the original discharge re- § 724.214 Applicant’s expenses. view did not involve a personal hearing Unless otherwise specified by law or and a hearing is now desired, and the regulation, expenses incurred by the provisions of § 724.216 do not apply; applicant, witnesses, or counsel/rep- (c) When changes in discharge policy resentative will not be paid by the De- are announced after an earlier review partment of Defense. The NDRB is not of an applicant’s discharge, and the authorized to issue orders or other new policy is made expressly retro- process to enable the applicant to ap- active; pear in person. (d) When the NDRB determines that policies and procedures under which § 724.215 Military representation. the applicant was discharged differ in Military officers, except those acting material respects from policies and pursuant to specific detailing by appro- procedures currently applicable on a priate authorities desiring to act for or service-wide basis to discharges of the on behalf of an applicant in the presen- type under consideration, provided tation of a case before an NDRB Panel that such changes in policies or proce- are advised to consult legal counsel be- dures represent a substantial enhance- fore undertaking such representation. ment of the rights afforded an appli- Such representation may be prohibited cant in such proceedings; by 18 U.S.C. 205. (e) When an individual is to be represented by counsel or representative, § 724.216 Failure to appear at a hear- and was not so represented in any pre- ing or respond to a scheduling no- vious consideration of the case by the tice. NDRB; (a) Except as otherwise authorized by (f) When the case was not previously the Secretary concerned, further op- considered under uniform standards portunity for a hearing shall not be published pursuant to Pub. L. 95–126 made available in the following cir- and such application is made within 15 cumstances to an applicant who has re- years after the date of discharge; or quested a hearing: (g) On the basis of presentation of (1) When the applicant has been sent new, substantial, relevant evidence not a letter containing the month and loca- available to the applicant at the time tion of a proposed hearing and fails to of the original review. The decision make a timely response; or whether evidence offered by an appli- (2) When the applicant, after being cant in support of a request for recon- notified by letter of the time and place sideration is in fact new, substantial, of the hearing, fails to appear at the relevant, and was not available to the appointed time, either in person or by applicant at the time of the original representative, without having made a review will be based on a comparison of

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such evidence with the evidence con- place. This notice shall normally be sidered in the previous discharge re- mailed thirty to sixty days prior to the view. If this comparison shows that the date of the hearing. If the applicant evidence submitted would have had a elects, this time limit may be waived probable effect on matters concerning and an earlier date set. the propriety or equity of the dis- (c) When an applicant requests a doc- charge, the request for reconsideration umentary review, the NDRB shall un- shall be granted. dertake the review as soon as practicable. Normally, documentary re- § 724.218 Limitation—Continuance and views shall be conducted in the order in Postponements. which they are received. (a) A continuance of a discharge review hearing may be authorized by the § 724.222 Personal appearance dis- President of the NDRB or presiding of- charge hearing sites. ficer of the panel concerned, provided (a) The NDRB shall be permanently that such continuance is of reasonable located, together with its administra- duration and is essential to achieving a tive staff, in the NCR. The NDRB shall full and fair hearing. When a proposal routinely conduct personal appearance for continuance is indefinite, the pend- discharge reviews and documentary re- ing application shall be returned to the views at this, its permanent office. applicant with the option to resubmit (b) In addition, as permitted by avail- when the case is fully ready for review. (b) Postponements of scheduled re- able resources, NDRB Panels shall views normally shall not be permitted travel to other selected sites within other than for demonstrated good and the contiguous 48 states for the pur- sufficient reason set forth by the appli- pose of conducting reviews. The selec- cant in a timely manner or for the con- tion of sites and frequency of visits venience of the government. shall be predicated on the number of requests pending within a region and § 724.219 Withdrawal of application. the availability of resources. An applicant shall be permitted to § 724.223 NDRB support and aug- withdraw an application without preju- mentation by regular and reserve dice at any time before the scheduled activities. review, except that failure to appear for a scheduled hearing shall not be (a) When an NDRB Panel travels for construed or accepted as a withdrawal. the purpose of conducting hearings, it shall normally select Navy or Marine § 724.220 Review on motion of the Corps installations in the area visited NDRB. as review sites. Reviews of Naval discharges may be (b) The NDRB Traveling Board shall initiated by the NDRB on its own mo- normally consist of members from the tion (10 U.S.C. 1553) which includes re- NCPB and augmentees from regular views requested by the Veterans Ad- and reserve Navy and Marine Corps ministration under 38 U.S.C. 101, 3103 as sources, as required. amended by Pub. L. 95–126 of October 8, (c) Navy and Marine Corps activities 1977 (See Pub. L. 98–209). in the geographical vicinity of selected review sites shall provide administra- § 724.221 Scheduling of discharge re- tive support and augmentation to an views. NDRB Panel during its visit where (a) If an applicant requests a personal such assistance can be undertaken appearance discharge review, or to be without interference with mission ac- represented in absentia, the NDRB complishment. The NDRB shall coordi- shall provide a hearing in the NCR or nate requests for augmentees and ad- at another site within the forty-eight ministrative support through Com- contiguous states. mandant of the Marine Corps or the (b) The NDRB shall subsequently no- Chief of Naval Reserve, as appropriate. tify the applicant and representative (d) The administrative staff of the (if any) in writing of the proposed per- NCPB shall undertake all arrange- sonal appearance hearing time and ments for NDRB Traveling Panel visits

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and shall process associated review stated in the charge sheet; or that the documents. applicant/accused admitted guilt of the offense(s), then the presumption is § 724.224 Court-martial specifications, strengthened. In accordance with para- presumption concerning. graph B12f of enclosure (3) to 32 CFR (a) Relevant and material facts stat- part 70 the presumption may be rebut- ed in a court-martial specification, ted by ‘‘substantial credible evidence.’’ shall be presumed by the NDRB Panel as established facts. With respect to a discharge or dismissal adjudged by a Subpart C—Director, Naval Coun- court-martial case tried under the Uni- cil of Personnel Boards and form Code of Military Justice, the ac- President Naval Discharge Re- tion may extend only to change in the view Board; Responsibilities in discharge or dismissal for purposes of Support of the Naval Dis- clemency. This policy only applies to charge Review Board cases filed with the discharge review board after December 6, 1983. § 724.301 Mission. (b) Relevant and material facts stated in a court-martial specification, in To administer and supervise assigned the face of which the applicant re- boards and councils within the Depart- quested a discharge for the good of the ment of the Navy. service to avoid trial by court-martial, shall be considered in accordance with § 724.302 Functions: Director, Naval the following: Council of Personnel Boards. (1) If the applicant/accused was re- (a) Make recommendations to the quired to admit the facts contained in Secretary of the Navy regarding orga- the charge sheet, or if the discharge nization, tasking and resources of the authority was required to find that the NDRB and its associated administra- stated facts were true, then the NDRB tive support. can presume the truth of such facts, (b) Submit recommendations to the unless there is a substantial credible Secretary of the Navy regarding policy evidence to rebut this presumption; or and procedures for discharge review. (2) If the discharge in lieu of court- (c) Provide administrative and cleri- martial only required a valid preferral, cal support for NDRB. the NDRB may presume that the signer (d) Inform the Secretary of the Navy either had personal knowledge of, or had investigated the matters set forth, of matters of interest to him. and that the charges were true in fact (e) Maintain a system of records, in- to the best of the signer’s knowledge cluding as a minimum: and belief.1 The weight to be given this (1) Records specified for the NDRB as presumption in determining whether stipulated in the procedures prescribed the facts stated in the charge sheet are in subpart H of this Manual. true is a matter to be determined by (2) Records required for the adminis- the NDRB. To the extent that the dis- tration of military and civilian person- charge proceeding reflects an official nel. determination that the facts stated in (3) Files of correspondence received the charge sheet are true; that the ap- and issued. plicant/accused admitted the facts (f) Establish billet/position assignment criteria for the NDRB. 1 Charges may be preferred by any person (g) Propose to the Secretary of the subject to the Uniform Code of Military Jus- Navy, changes to this instruction. tice. The charges must be signed and sworn to before a commissioned officer authorized (h) Issue requisite precepts and re- to administer oaths, and shall state that the move or add members to the NDRB signer has personal knowledge of, or has in- from personnel detailed to serve on the vestigated the matters set forth therein; and Naval Council of Personnel Boards, or that the charges are true in fact to the best from personnel otherwise made avail- of the signer’s knowledge and belief. 10 U.S.C. 830 (1976) (Art. 30 Uniform Code of able. Military Justice).

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§ 724.303 Functions: President, Naval § 724.305 Functions of the CMC and Discharge Review Board. CNO. (a) Exercise primary cognizance In the case of Navy, CNMPC, under within the Department of the Navy for the CNP, shall discharge responsibil- matters relating to discharge review. ities of the CNO. (b) Supervise and direct the activi- (a) Provide and facilitate access by ties of the NDRB. the NDRB to service/health records and (c) Maintain appropriate liaison with other data associated with performance discharge review activities in other of duty of applicants. services (use Army Discharge Review (b) Advise the NDRB of developments Board as focal point for service coordi- in personnel management which may have a bearing on discharge review nation). judgments. (d) Maintain coordination with the (c) Implement the discharge review Commandant of the Marine Corps decisions of the NDRB and those of (Code M) and the Commander, Naval higher authority within respective Military Personnel Command in mat- areas of cognizance. ters associated with discharge review. (d) Include the record of NDRB pro- (e) In conformance with ceedings as a permanent part of the SECNAVINST 5211.5C, protect the pri- service record of the applicant in each vacy of individuals in connection with case. discharge review. (e) Where appropriate, recommend (f) Assure that NDRB functions are cases for the NDRB to review on its administered in accordance with the own motion. appropriate Secretary of the Navy in- (f) Provide qualified personnel as structions dealing with privacy and ac- NDRB members, recorders and admin- cess to information. istrative staff. (g) Convene the NDRB as authorized (g) Establish administrative proce- by the Secretary of the Navy. dures to ensure that if a member is sep- (h) Direct the movement of the arated from the Navy or the Marine NDRB Traveling Panel(s) on the basis Corps under other than fully honorable of regional hearing requests. conditions, the member is advised of: (i) Monitor the performance of the (1) The right to a review of his or her naval discharge review system. Make discharge under provisions of 10 U.S.C. recommendations for changes and im- 1553, and provements. Take action to avoid (2) The procedures for applying for delays in processing of individual dis- such a review. charge review actions. (h) Provide Navy and Marine Corps units and activities with information (j) Provide NDRB inputs for the on the mission of the Naval Discharge maintenance of a public reading file Review Board through entries in appro- and maintain associated NDRB indexes priate personnel administration direc- updated quarterly. tives.

§ 724.304 Responsibility for Depart- § 724.306 Functions of the Commander, ment of the Navy support of the Naval Medical Command. Naval Discharge Review Board. Under the CNO the The Commandant of the Marine COMNAVMEDCOM shall facilitate, as Corps; Commander, Naval Military required, access by the NDRB to health Personnel Command; Commander, records of applicants. Naval Reserve Force; Commander, Naval Medical Command; and chiefs of § 724.307 Functions of the Commander, other bureaus and offices of the De- Naval Reserve Force. partment of the Navy shall provide In the case of Navy, the support, as requested, to the Naval dis- COMNAVRESFOR shall discharge the charge review process. responsibilities of the CNO—

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(a) Upon request and within available Subpart E—Procedural Rights of resources, provide qualified inactive the Applicant and Administra- duty reservists to serve as members of tive Actions Preliminary to Dis- the NDRB. (b) Upon request, provide appropriate charge Review accommodations to the NDRB Travel- § 724.501 Procedural rights of the ap- ing Panels for purposes of conducting plicant. reviews at Naval and Marine Corps Re- serve Centers and aviation facilities. Each applicant has the following procedural rights: (a) Within 15 years after the date of Subpart D—Principal Elements of discharge, to make a written request the Navy Department Dis- for review of the applicant’s discharge charge Review System if the discharge was other than the result of a general court-martial. The re- § 724.401 Applicants. quest may include such other state- As defined in § 724.114. ments, affidavits, or documentation as desired. § 724.402 Naval Discharge Review (b) To have that review conducted by Board. the NDRB either in the NCR or other As defined in § 724.102. designated location, when a personal appearance discharge review is desired. § 724.403 President, Naval Discharge (c) To appear before the NDRB in per- Review Board. son, with or without counsel/represent- Supervises the Naval Discharge Re- ative; with counsel/representative con- view Board. (See subpart C). currence, to have counsel/representative present the applicant’s case in the § 724.404 Director, Naval Council of absence of the applicant; or to have the Personnel Boards. review conducted based on records and Exercises adminstrative control and any additional documentation submit- oversight of the Naval discharge review ted by the applicant or counsel/rep- process. (See subpart C). resentative. (d) To request copies of any docu- § 724.405 Commandant of the Marine ments or other evidence to be consid- Corps or the Commander, Naval ered by the NDRB in the review of the Military Personnel Command. applicant’s discharge or dismissal Personnel managers of the Marine other than the documents or evidence Corps and the Navy; responsible for contained in the official record or sub- providing limited support to the Naval mitted by the applicant prior to the Discharge Review Board and for imple- conduct of the formal review and to be mentation of departmental discharge afforded an opportunity to examine review decisions. (See subpart C). such other documents or evidence or to be provided with copies of them. § 724.406 Commander, Naval Medical (e) To withdrawn the request for dis- Command. charge review without prejudice at any Custodian of Navy and Marine Corps time prior to the scheduled review, ex- health records. (See subpart C). cept that failure to appear for a scheduled hearing shall not be construed or § 724.407 Commander, Naval Reserve accepted as a withdrawal. Force. (f) To request a continuance of the Manages Naval Reserve resources. review when the continuance is of a Responsible for providing limited sup- reasonable duration and essential to port to the Naval Discharge Review achieving a full and fair hearing. The Board. (See subpart C). request must indicate the reason why the continuance is required. § 724.408 Secretary of the Navy. (g) To request postponement of the The final authority within the De- discharge review for good and suffi- partment of the Navy in discharge re- cient reason set forth in a timely man- view. ner.

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(h) To request reconsideration of the ized individual as discussed in § 724.113 discharge review under the conditions of this Manual. set forth in § 724.217. (b) The application is to be accom- (i) To have access to the information panied by: to be considered by the NDRB prior to (1) A copy of the certificate of dis- the actual review of the applicant’s charge, if available; case. (2) A copy of the Armed Forces of the (j) To have the applicant’s right to United States Report of Transfer or privacy protected in any review con- Discharge (DD–214), if available; ducted by the NDRB. (3) Certification of death, incom- (k) When appearing personally before petency and evidence of relationship in the NDRB: applicable cases (§ 724.113); (1) To introduce witnesses, docu- (4) Other statements, affidavits, ments, and sworn or unsworn testi- depositions, documents and informa- mony. tion desired by the applicant to be con- (2) To present oral or written argu- sidered by the NDRB. ments personally or through counsel/ (c) Correspondence relating to review representative. of naval discharges should be addressed (l) To submit documents, affidavits, to: briefs or arguments in writing. When Naval Discharge Review Board, Suite 905— the counsel/representative appears in 801 North Randolph Street, Arlington, VA person before the NDRB, arguments 22203 may be presented orally. (d) NDRB telephone number is (202) (m) To state clearly and specifically 696–4881. the issue or issues which the applicant desires the NDRB to answer in writing. § 724.503 NDRB response to applica- These must be presented in writing on tion for discharge review. DD Form 293 by the applicant or coun- (a) The NDRB shall acknowledge re- sel/representative. ceipt of the application. (n) To have the applicant’s discharge (b) In the event a documentary re- reviewed under the standards of equity view is requested, the applicant shall and propriety outlined in subpart I. normally receive no further commu- (o) To be provided with a written de- nication from the NDRB until notified cision on the applicant’s review. of the decision in the case. (p) If the case is to be forwarded for (c) In the event a personal appear- Secretarial review, to present a timely ance discharge review is requested, the statement rebutting any findings, con- applicant shall be notified of the pro- clusions, or reasons of the NDRB or the posed time and place of this review and President, NDRB, which are alleged to shall be advised of the availability of be erroneous on the facts, against the the official documents to be considered substantial weight of the evidence, or by the NDRB. contrary to law or governing regula- (d) A copy of NDRB correspondence tion, prior to that Secretarial review. to an applicant shall be sent to the representative of record, if any. § 724.502 Actions to be taken by the applicant preliminary to discharge § 724.504 NDRB actions preliminary to review. discharge review. (a) Application for Review of Discharge (a) When each application for dis- or Dismissal from the Armed Forces of the charge review is received by the NDRB, United States, DD Form 293 must be the service record and health record of used in requesting a discharge review. the applicant will be requested from DD Form 293 is available at most mili- the appropriate record custodian. tary installations and regional offices (b) Upon receipt, each record of serv- of the Veterans Administration. This ice will be reviewed to determine form is to be signed personally by the whether or not the applicant appears applicant. In the event the discharged to have been discharged under cir- individual is deceased or incompetent, cumstances which might act as a bar the form must be signed by an author- to Veterans’ Administration benefits

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under 38 U.S.C. 3103. These cir- cated on the number of pending appli- cumstances of discharge are: cations accumulated from a given geo- (1) Discharge or dismissal by reason graphical area and the resources avail- of the sentence of a general court-mar- able to support distant personal ap- tial. pearance reviews. The NDRB does not (2) Discharge as a conscientious ob- maintain facilities other than at its jector who refused to perform military NCR offices. The primary sites of NCR duty, to wear the uniform or otherwise are: Chicago, IL; Dallas, TX; and San to comply with lawful orders of com- Francisco, CA. petent military authority. (3) Discharge as a deserter. § 724.602 Mission. (4) Discharge on the basis, or as part To decide, in accordance with stand- of the basis, of an absence without au- ards of naval law and discipline and the thority from active duty for a continu- standards for discharge review set ous period of at least 180 days, if such forth in subpart I, whether a discharge discharge was under conditions other or dismissal from the naval service is than honorable. Additionally, such ab- proper and equitable, or whether it sence is computed without regard to should be changed. the applicant’s normal or adjusted expiration of term of service. § 724.603 Functions. (5) Discharge or dismissal of an officer based on acceptance of the officer’s (a) Meet as frequently as necessary resignation for the good of the service. to provide expeditious review of naval (6) Discharge, on his/her own applica- discharges. tion, during a period of hostilities, as (b) Meet at locations within the 48 an alien. contiguous states as determined appro- (c) If it appears that the applicant priate on the basis of the number of was discharged under one or more of discharge review applications received the circumstances outlined in from various geographical areas and of § 724.504b, a written notification will be available resources and facilities. sent which informs the applicant that: (c) Review applications for review of (1) An initial service record review discharges. reveals that the discharge may have (d) In consonance with directives of been awarded under circumstances higher authority and the policies set which make the applicant ineligible for forth in this Manual, grant or deny receipt of VA benefits regardless of any change of discharges. action taken by the NDRB. (e) Promulgate decisions in a timely (2) Separate action by the Board for manner. Correction of Naval Records (BCNR) (f) Maintain a system of records. and/or the VA, in case of 180 days con- (g) Maintain liaison in discharge re- secutive UA disqualification, may con- view matters with: fer eligibility for VA benefits. Instruc- (1) General Counsel of the Navy. tions for making application to the (2) Commandant of the Marine Corps. BCNR and for contacting the VA are (3) Chief of Naval Operations. provided. (i) Commander, Naval Reserve Force. (ii) Commander, Naval Medical Com- Subpart F—Naval Discharge Re- mand. view Board Mission and Func- (iii) Commander, Naval Military Per- tions sonnel Command, under the Chief of Naval Personnel. § 724.601 General. (4) Judge Advocate General of the The NDRB is a component of the Navy. Naval Council of Personnel Boards and (5) Veterans’ service organizations. has its offices located in the NCR. The (6) Discharge review boards of the NDRB conducts documentary reviews other services, using the Army Dis- and personal appearance reviews in the charge Review Board as the focal point NCR and, on a traveling basis, at se- for service coordination. lected sites within the 48 contiguous (h) Protect the privacy of individuals states. Regional site selection is predi- whose records are reviewed.

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