[Title 32 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1997 Edition]
[From the U.S. Government Publishing Office]
32
National Defense
[[Page i]]
PARTS 700 TO 799
Revised as of July 1, 1997
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JULY 1, 1997
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1997
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 32:
Subtitle A--Department of Defense (Continued):
Chapter VI--Department of the Navy 5
Finding Aids:
Table of CFR Titles and Chapters.......................... 563
Alphabetical List of Agencies Appearing in the CFR........ 579
List of CFR Sections Affected............................. 589
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Cite this Code: CFR
To cite the regulations in this volume use title, part
and section number. Thus, 32 CFR 700.101 refers to
title 32, part 700, section 101.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
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To determine whether a Code volume has been amended since its
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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placed as close as possible to the applicable recordkeeping or reporting
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
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of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
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CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
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A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
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For a legal interpretation or explanation of any regulation in this
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Director,
Office of the Federal Register.
July 1, 1997.
[[Page vii]]
THIS TITLE
Title 32--National Defense is composed of six volumes. The parts in
these volumes are arranged in the following order: parts 1-190, parts
191-399, parts 400-629, parts 630-699, parts 700-799, and part 800 to
end. The contents of these volumes represent all current regulations
codified under this title of the CFR as of July 1, 1997.
The current regulations issued by the Department of Defense appear
in the volumes containing parts 1-190 and parts 191-399; those issued by
the Department of the Army appear in the volumes containing parts 400-
629 and parts 630-699; those issued by the Department of the Navy appear
in the volume containing parts 700-799, and those issued by the
Department of the Air Force, Defense Logistics Agency, Selective Service
System, Central Intelligence Agency, Information Security Oversight
Office, National Security Council, Office of Science and Technology
Policy, Office for Micronesian Status Negotiations, Office of the Vice
President of the United States, and Presidential Commission on the
Assignment of Women in the Armed Forces appear in the volume containing
parts 800 to end.
For this volume, Brian Swidal was Chief Editor. The Code of Federal
Regulations is published under the direction of Frances D. McDonald,
assisted by Alomha S. Morris.
[[Page viii]]
[[Page 1]]
TITLE 32--NATIONAL DEFENSE
(This book contains parts 700 to 799)
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SUBTITLE A--Department of Defense (Continued) Part
Chapter vi--Department of the Navy.......................... 700
[[Page 3]]
Subtitle A--Department of
Defense (Continued)
[[Page 5]]
CHAPTER VI--DEPARTMENT OF THE NAVY
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SUBCHAPTER A--UNITED STATES NAVY REGULATIONS AND OFFICIAL RECORDS
Part Page
700 United States Navy regulations.............. 9
701 Availability of Department of the Navy
records and publication of Department of
the Navy documents affecting the public. 39
705 Public affairs regulations.................. 121
SUBCHAPTER B--NAVIGATION
706 Certifications and exemptions under the
International Regulations for Preventing
Collisions at Sea, 1972................. 159
707 Special rules with respect to additional
station and signal lights............... 174
SUBCHAPTER C--PERSONNEL
716 Death gratuity.............................. 176
718 Missing Persons Act......................... 181
719 Regulations supplementing the manual for
courts-martial.......................... 184
720 Delivery of personnel; service of process
and subpoenas; production of official
records................................. 197
721 Standards of conduct........................ 214
722 Reporting procedures on defense related
employment.............................. 240
723 Board for Correction of Naval Records....... 243
724 Naval Discharge Review Board................ 249
725 Release of official information for
litigation purposes and testimony by
Department of the Navy personnel........ 283
726 Payments of amounts due mentally incompetent
members of the Naval service............ 297
727 Legal assistance............................ 299
728 Medical and dental care for eligible persons
at Navy medical department facilities... 304
732 Nonnaval medical and dental care............ 368
[[Page 6]]
733 Assistance to and support of dependents;
paternity complaints.................... 382
734 Garnishment of pay of Naval military and
civilian personnel for collection of
child support and alimony............... 387
735 Reporting births and deaths in cooperation
with other agencies..................... 389
SUBCHAPTER D--PROCUREMENT, PROPERTY, PATENTS, AND CONTRACTS
736 Disposition of property..................... 391
744 Policies and procedures for the protection
of proprietary rights in technical
information proposed for release to
foreign governments..................... 395
746 Licensing of government inventions in the
custody of the Department of the Navy... 396
SUBCHAPTER E--CLAIMS
750 General claims regulations.................. 402
751 Personnel claims regulations................ 426
752 Admiralty claims............................ 455
755 Claims for injuries to property under
Article 139 of the Uniform Code of
Military Justice........................ 458
756 Nonappropriated-fund claims regulations..... 461
757 Affirmative claims regulations.............. 463
SUBCHAPTER F--ISLANDS UNDER NAVY JURISDICTION
761 Naval Defensive Sea Areas; Naval Airspace
Reservations, areas under Navy
administration, and the Trust Territory
of the Pacific Islands.................. 472
762 Midway Islands Code......................... 484
763 Rules governing public access............... 501
SUBCHAPTER G--MISCELLANEOUS RULES
765 Rules applicable to the public.............. 504
766 Use of Department of the Navy aviation
facilities by civil aircraft............ 508
767-769 [Reserved]
770 Rules limiting public access to particular
installations........................... 518
771-774 [Reserved]
775 Procedures for implementing the National
Environmental Policy Act................ 529
776 Professional conduct of attorneys practicing
under the supervision of the judge
advocate general........................ 537
777-799 [Reserved]
[[Page 7]]
Cross References: Panama Canal: See 35 CFR
chapter I.
National Oceanic and Atmospheric
Administration, Department of Commerce:
See 15 CFR chapter IX.
Coast Guard, Department of Transportation:
See 33 CFR chapter I; 46 CFR chapter I.
Office of the Secretary of Defense: See 32
CFR chapter I.
Department of the Army: See 32 CFR chapter
V.
Navigation and Navigable Waters (Anchorage
Bridge, Danger Zone, Navigation, and Oil
Pollution Regulations, etc.): See 33 CFR
chapters I and II.
Selective Service System: See 32 CFR
chapter XVI.
Department of Veterans Affairs: See 38 CFR
chapter I.
[[Page 9]]
SUBCHAPTER A--UNITED STATES NAVY REGULATIONS AND OFFICIAL RECORDS
PART 700--UNITED STATES NAVY REGULATIONS--Table of Contents
Subpart A--The Department of the Navy
Sec.
700.101 Origin and authority.
700.102 Objectives.
700.103 Composition.
700.104 The principal parts of the Department of the Navy.
700.105 Definition of terms.
Subpart B--The Secretary of the Navy
700.201 Responsibilities of the Secretary of the Navy.
700.202 Succession to duties.
700.203 The Civilian Executive Assistants.
700.204 The staff assistants.
700.205 The Chief of Naval Research, The Judge Advocate General, The
Deputy Comptroller of the Navy.
700.206 Authority over organizational matters.
Subpart C--The Chief of Naval Operations
700.301 Senior Military Officer of the Department of the Navy.
700.302 Succession to duties.
700.303 Specific authority and duties of the Vice Chief of Naval
Operations.
700.304 Authority and responsibility.
700.305 Naval Vessel Register, classification of naval craft, and
status of ships and service craft.
700.306 The Chief of Naval Material.
700.307 The Chief of Naval Personnel and the Chief, Bureau of Medicine
and Surgery.
700.308 Naval Inspector General.
700.309 Commander in Chief, U.S. Atlantic Fleet.
700.310 Commander in Chief, U.S. Pacific Fleet.
700.311 Commander in Chief, U.S. Naval Forces, Europe.
700.312 Commander, Military Sealift Command.
700.313 Commander, Naval Intelligence Command.
700.314 Commander, Naval Telecommunications Command.
700.315 Oceanographer of the Navy.
700.316 Commander, Naval Oceanography Command.
700.317 Commander, Naval Security Group Command.
700.318 Chief of Naval Education and Training.
700.319 Chief of Naval Reserve.
700.320 Commandants of Naval Districts.
700.321 President, Board of Inspection and Survey.
Subpart D--The Commandant of the Marine Corps
700.401 Senior officer of the Marine Corps.
700.402 Succession to duties.
700.403 Authority and responsibilities.
700.404 Specific responsibilities.
700.405 Composition of the Marine Corps.
700.406 Relationships between the Commandant of the Marine Corps and
the Chief of Naval Material.
700.407 Serving with the Army by order of the President.
Subpart E--The United States Coast Guard (When Operating As a Service of
the Navy)
700.501 Relationship and operation as a service in the Navy.
700.502 Commandant of the Coast Guard.
700.503 Duties and responsibilities.
Subpart F--Commanders in Chief and Other Commanders
700.601 Titles of commanders.
700.602 Responsibility and authority of a commander.
700.603 To announce assumption of command.
700.604 Readiness.
700.605 Observance of international law.
Subpart G--The Commanding Officer
700.701 Applicability.
700.702 Responsibility.
700.703 [Reserved]
700.704 Organization of commands.
700.705--700.708 [Reserved]
700.709 Unauthorized persons on board.
700.710 Control of passengers.
700.711 Authority over passengers.
700.712 [Reserved]
700.713 Person found under incriminating circumstances.
700.714 Rules for visits.
700.715 Dealers, tradesmen, and agents.
700.716 Marriages on board.
700.717 Postal matters.
700.718--700.719 [Reserved]
700.720 Deaths.
700.721 The American National Red Cross.
700.722--700.723 [Reserved]
700.724 Maintenance of Logs.
700.725 Status of Logs.
[[Page 10]]
700.726 Records.
700.727--700.728 [Reserved]
700.729 Delivery of personnel to civil authorities and service of
subpoena or other process.
700.730--700.732 [Reserved]
700.733 Responsibility of a master of an in-service ship of the
Military Sealift Command.
700.734 Relations with merchant seamen.
700.735 [Reserved]
700.736 Physical security.
700.737 Effectiveness for service.
700.738--700.739 [Reserved]
700.740 Search by foreign authorities.
700.741--700.746 [Reserved]
700.747 Status of boats.
700.748 [Reserved]
700.749 Work, facilities, supplies, or services for other Government
departments, State or local governments, foreign governments,
private parties, and morale, welfare, and recreational
activities.
700.750--700.751 [Reserved]
700.752 Responsibility for safety of ships and craft at a naval station
or shipyard.
700.753 Ships and craft in drydock.
700.754 Pilotage.
700.755 Safe navigation and regulations governing operation of ships
and aircraft.
700.756 Duties of the prospective commanding officer of a ship.
700.757 Authority of the commanding officer or prospective commanding
officer of a naval nuclear powered ship.
700.758 Inspection incident to commissioning of ships.
700.759--700.762 [Reserved]
700.763 Quarantine.
700.764 Customs and immigration inspections.
700.765 Environmental pollution.
700.766--700.767 [Reserved]
700.768 Care of ships, aircraft, vehicles, and their equipment.
Subpart H--Precedence, Authority, and Command
700.811 Exercise of authority.
700.812--700.816 [Reserved]
700.817 Authority of an officer who succeeds to command.
700.818--700.829 [Reserved]
700.830 Authority of a sentry.
700.831--700.833 [Reserved]
700.834 Orders to active service.
Subpart I--The Senior Officer Present
700.901 The senior officer present.
700.902 [Reserved]
700.903 Authority and responsibility.
700.904 Authority of senior officer of the Marine Corps present.
700.905--700.921 [Reserved]
700.922 Shore patrol.
700.923 Precautions for health.
700.924--700.934 [Reserved]
700.935 Exercise of power of consul.
700.936--700.939 [Reserved]
700.940 Granting of asylum and temporary refuge.
Subpart J--Rights and Responsibilities of Persons in the Department of
the Navy
700.1115 Control of official records.
700.1116 Disclosure and publication of information.
700.1117 Official records in civil courts.
700.1118--700.1119 [Reserved]
700.1120 Rules for preventing collisions, afloat and in the air.
700.1121--700.1132 [Reserved]
700.1133 Use of title for commercial enterprises.
700.1134--700.1142 [Reserved]
700.1143 Return of Government property on release from active service.
700.1144 Issue or loan of public property.
700.1145--700.1149 [Reserved]
700.1150 Alcoholic liquors.
700.1151 Responsibilities concerning marijuana, narcotics, and other
controlled substances.
700.1152--700.1160 [Reserved]
700.1161 Endorsement of commercial product or process.
Subpart K--Purpose and Force of Regulations within the Department of the
Navy
700.1201 Purpose and force of United States Navy Regulations.
700.1202 Issuances concerning matters over which control is exercised.
Authority: 10 U.S.C. 6011; 38 FR 7892, Mar. 26, 1973.
Source: 39 FR 7135, Feb. 25, 1974, unless otherwise noted.
Subpart A--The Department of the Navy
Sec. 700.101 Origin and authority.
(a) The naval affairs of the country began with the war for
independence, the American Revolution. On 13 October 1775, Congress
passed legislation forming a committee to purchase and arm two ships.
This in effect created the Continental Navy. Two battalions of Marines
were authorized on 10 November 1775. Under the Constitution, the First
Congress on 7 August 1789, assigned responsibility for the conduct of
naval affairs to the War Department.
[[Page 11]]
On 30 April 1798, the Congress established a separate Navy Department
with the Secretary of the Navy as its chief officer. On 11 July 1798,
the U.S. Marine Corps was established as a separate service, and in 1834
was made a part of the Department of the Navy.
(b) The National Security Act of 1947, as amended, is the
fundamental law governing the position of the Department of the Navy in
the organization for national defense. In 1949, the Act was amended to
establish the Department of Defense as an Executive Department, and to
establish the Departments of the Army, Navy and Air Force (formerly
established as Executive Departments by the 1947 Act) as military
departments within the Department of Defense.
(c) The responsibilities and authority of the Department of the Navy
are vested in the Secretary of the Navy, and are subject to his
reassignment and delegation. The Secretary is bound by the provisions of
law, the direction of the President and the Secretary of Defense, and,
along with all Government agencies, the regulations of certain
nondefense agencies in their respective areas of functional
responsibility.
Sec. 700.102 Objectives.
The fundamental objectives of the Department of the Navy, within the
Department of Defense, are
(a) To organize, train, equip, prepare, and maintain the readiness
of Navy and Marine Corps forces for the performance of military missions
as directed by the President or the Secretary of Defense, and
(b) To support Navy and Marine Corps forces, including the support
of such forces and the forces of other military departments, as directed
by the Secretary of Defense, which are assigned to unified or specified
commands. Support, as here used, includes administrative, personnel,
material and fiscal support, and technological support through research
and development.
Sec. 700.103 Composition.
The Department of the Navy is separately organized under the
Secretary of the Navy. It operates under the authority, direction, and
control of the Secretary of Defense. It is composed of the executive
part of the Department of the Navy; the Headquarters, United States
Marine Corps; the entire operating forces, including naval aviation, of
the United States Navy and of the United States Marine Corps, and the
reserve components of those operating forces; and all shore activities,
headquarters, forces, bases, installations, activities, and functions
under the control or supervision of the Secretary of the Navy. It
includes the United States Coast Guard when it is operating as a service
in the Navy.
Sec. 700.104 The principal parts of the Department of the Navy.
(a) Functionally, organizationally and geographically the Department
of the Navy has from practically the beginning of the Federal Government
under the Constitution consisted of three parts: The Operating Forces of
the Navy, the Navy Department, and the Shore Establishment.
(b) The operating forces of the Navy comprise the several fleets,
sea-going forces, sea-frontier forces, district forces, Fleet Marine
Forces, other assigned Marine Corps Forces, the Military Sealift
Command, and other forces and activities that may be assigned thereto by
the President or the Secretary of the Navy.
(c) The Navy Department refers to the central executive offices of
the Department of the Navy located at the seat of the government. The
Navy Department is organizationally comprised of the Office of the
Secretary of the Navy which includes his Civilian Executive Assistants,
Offices of his Assistants, and the headquarters organizations of the
Office of Naval Research, the Office of the Judge Advocate General, and
the Office of the Comptroller of the Navy; the Office of the Chief of
Naval Operations, the Headquarters, United States Marine Corps; and,
under the command of the Chief of Naval Operations, the Headquarters,
Naval Material Command, and the headquarters organizations of the Bureau
of Naval Personnel and the Bureau of Medicine and Surgery. In addition,
the Headquarters, United States Coast Guard, is included when the United
States Coast
[[Page 12]]
Guard is operating as a service in the Navy.
(d) The shore establishment is comprised of shore activities with
defined missions approved for establishment by the Secretary of the
Navy.
Sec. 700.105 Definition of terms.
The following definitions shall apply to the regulations in this
part:
(a) Command--(DOD). (1) The authority which a commander in the
military service lawfully exercises over his subordinates by virtue of
rank or assignment. Command includes the authority and responsibility
for effectively using available resources and for planning the
employment of, organizing, directing, coordinating, and controlling
military forces for the accomplishment of assigned missions. It also
includes responsibilities for health, welfare, morale, and discipline of
assigned personnel.
(2) An order given by a commander; that is, the will of the
commander expressed for the purpose of bringing about a particular
action.
(3) A unit or units, an organization, or an area under the command
of one individual.
(4) To dominate by a field of weaponfire or by observation from a
superior position.
(b) Superior. A commander or officer in command of a senior force,
unit, or organization in line of command. Also, a senior person in line
of command.
(c) Flag and general officers. Flag officer means an officer of the
Navy or Coast Guard above the grade of captain. General officers means
an officer of the Marine Corps, the Army, or the Air Force above the
grade of colonel.
(d) Person in the naval service. Means a person, male or female,
appointed or enlisted in, or inducted or conscripted into, the Navy or
the Marine Corps. Also, same meaning for member of the naval service.
(e) Persons in the Department of the Navy. All persons in the naval
service and civilians employed under the Department of the Navy.
(f) Ships. A classification of waterborne craft which comprises
generally the oceangoing vessels and craft of the Navy, and such other
water-borne craft as may be assigned this classification.
(g) Service craft. A classification of water-borne craft which
comprises generally the water-borne utilitarian craft not classified as
ships or boats.
(h) Boats. A classification of water-borne craft which comprises
generally the water-borne craft suitable primarily for shipboard and
similar use.
(i) Active status. A status of ships and service craft. Active
status ships or service craft are assigned to the active fleets and to
their supporting activities or are ships of the Military Sealift Command
which are titled in the United States or are operated under long-term
bareboat charter. Ships and service craft in active status are ``in
commission'' or ``in service.''
(j) Inactive status. A status of ships and service craft. Inactive
status ships and service craft are in reserve and not currently required
for duty in the active fleets or supporting forces. Ships and service
craft in inactive status are ``in commission, in reserve,'' or ``in
service, in reserve'' or ``out of commission, in reserve'' or ``out of
service, in reserve.''
(k) Special status. A status of ships and service craft. Ships and
service craft in special status shall include those units for which the
Navy is charged with certain responsibilities by reason of custody or
title, but which are not in the active or inactive status. Ships and
service craft in special status are ``in commission, special'' or ``in
service, special'' or ``out of commission, special'' or ``out of
service, special.''
(l) Vessel. Includes every description of watercraft or other
artificial contrivance used, or capable of being used, as a means of
transportation on water. (1 U.S.C. 3).
(m) Naval activity. A unit of the Department of the Navy, of
distinct identity, and established under an officer in command or in
charge.
(n) Naval station. A naval activity on shore, having a commanding
officer, and located in an area having fixed boundaries, within which
all persons are subject to naval jurisdiction and immediate authority of
the commanding officer.
[41 FR 18074, Apr. 30, 1976]
[[Page 13]]
Subpart B--The Secretary of the Navy
Sec. 700.201 Responsibilities of the Secretary of the Navy.
The Secretary of the Navy is the head of the Department of the Navy.
Under the direction, authority, and control of the Secretary of Defense,
the Secretary of the Navy is responsible for the policies and control of
the Department of the Navy, including its organization, administration,
operation, and efficiency.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80277, Dec. 4, 1980]
Sec. 700.202 Succession to duties.
(a) When there is a vacancy in the Office of the Secretary of the
Navy, or during the absence or disability of the Secretary, the Under
Secretary of the Navy, and, in the order prescribed by the Secretary of
the Navy, the Assistant Secretaries of the Navy succeed to the duties of
the Secretary. If the Secretary does not prescribe an order for
succession to the duties of that office, the Assistant Secretaries shall
succeed to those duties after the Under Secretary in the order in which
they took office as Assistant Secretaries.
(b) During the temporary absence of the above officials, the Chief
of Naval Operations or, in his absence, the Vice Chief of Naval
Operations succeeds to the duties of the Secretary.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80277, Dec. 4, 1980]
Sec. 700.203 The Civilian Executive Assistants.
(a) The Civilian Executive Assistants to the Secretary of the Navy
are the Under Secretary of the Navy, the Assistant Secretaries of the
Navy, the General Counsel of the Navy and the Deputy Under Secretary of
the Navy. It is the policy of the Secretary to assign Department-wide
responsibilities essential to the efficient administration of the
Department of the Navy to and among his Civilian Executive Assistants.
(b) The Civilian Executive Assistants, within their respective areas
of responsibility, are the principal advisers and assistants to the
Secretary on the administration of the affairs of the Department of the
Navy. In carrying out these duties, they shall do so in harmony with the
statutory position of the Chief of Naval Operations as ``the principal
naval adviser and naval executive to the Secretary on the conduct of
activities of the Department of the Navy'' and the responsibilities of
the Chief of Naval Operations and the Commandant of the Marine Corps as
set forth in these regulations. The Civilian Executive Assistants are
authorized and directed to act for the Secretary within their assigned
areas of responsibility.
(c) The Under Secretary of the Navy is designated as the deputy and
principal assistant to the Secretary of the Navy, and acts with full
authority of the Secretary in the general management of the Department
of the Navy, and supervision of offices and organizations as assigned by
the Secretary.
(d) The Assistant Secretary of the Navy (Financial Management) is
the Comptroller of the Navy, and is responsible for all matters related
to the financial management of the Department of the Navy, including
budgeting, accounting, disbursing, financing, progress and statistical
reporting, auditing, management information systems, automatic data
processing systems and equipment (less than integral to a weapons
system), and supervision of offices and organizations as assigned by the
Secretary. Under the Comptroller, the Deputy Comptroller of the Navy
shall, in addition to performing other duties assigned, serve as an
adviser and assistant to the Chief of Naval Operations and the
Commandant of the Marine Corps with respect to financial and budgetary
matters.
(e) The Assistant Secretary of the Navy (Manpower, Reserve Affairs
and Logistics) is responsible for the overall supervision of manpower
and reserve component affairs of the Department of the Navy, including
policy and administration of affairs related to military (active and
inactive) and civilian personnel; all stages of the acquisition of naval
ships funded by the appropriation ``Ships Construction, Navy''; all
Department of the Navy acquisition
[[Page 14]]
programs following full scale production decision (Milestone III); the
business, contractual, manpower, and logistic support aspects of the
Department of the Navy Acquisition programs, including policy and
administration of affairs related thereto; the maintenance, alteration,
supply, distribution, and disposal of material; all transportation
matters; the acquisition, construction, utilization, improvement
alteration, maintenance, and disposal of real estate and facilities,
including capital equipment utilities, housing, and public quarters;
printing and publications; labor relations with respect to contractors
with the Department of the Navy; industrial security; the Mutual Defense
Assistance Program, as related to the supplying of material, including
Foreign Military Sales; and supervision of offices and organizations as
assigned by the Secretary.
(f) The Assistant Secretary of the Navy (Research, Engineering and
Systems) is responsible for all technical aspects of all stages of
Department of the Navy acquisition programs through the full-scale
production decision (Milestone III), including policy and administration
of affairs related thereto, with the exception of the acquisition of
naval ships funded by the appropriation `Ships Construction, Navy'; the
technical aspects of the maintenance or alteration of material; all
matters related to research, development, engineering, test, and
evaluation efforts within the Department of the Navy, including
management of the appropriation, `Research, Development, Test and
Evaluation, Navy'; oceanography; ocean engineering and closely related
matters; and supervision of offices and organizations as assigned by the
Secretary.
(g) The General Counsel of the Navy is responsible for providing
legal advice, counsel, and guidance to the Secretary and the other
Civilian Executive Assistants on any matter that they may direct or that
the General Counsel determines should be brought to their attention. The
General Counsel is also responsible for providing all necessary legal
advice, counsel, and guidance to the staffs of the Secretary and the
other Civilian Executive Assistants; the supervision of the Office of
the General Counsel; and such other duties as the Secretary may assign.
The responsibilities of the General Counsel are not intended to infringe
upon, or interfere with, the responsibilities of the Judge Advocate
General for the administration of military justice and such other
matters as may be assigned to that officer by statute or by the
Secretary.
(h) The Deputy Under Secretary of the Navy is responsible to the
Secretary or Under Secretary for acting as a focal point and coordinator
for the resolution of problems which require high-level special
attention. In addition, the Deputy Under Secretary is the major claimant
for funds and manpower supporting the Department of the Navy
Secretariat, Staff Offices, and the Department of the Navy General Gift
Fund. The Deputy Under Secretary is responsible for general over-sight,
policy and procedure formulation and coordination regarding
environmental matters affecting the Department of the Navy, with the
exception of occupational health and safety and employee working
conditions.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80277, Dec. 4, 1980]
Sec. 700.204 The staff assistants.
The Staff Assistants to the Secretary of the Navy are the Chief of
Information; the Chief of Legislative Affairs; the Director, Office of
Program Appraisal; and the heads of such other offices and boards as may
be established by law or by the Secretary for the purpose of assisting
the Secretary or one or more of the Civilian Executive Assistants in the
administration of the Department of the Navy. The foregoing shall
supervise all functions and activities internal to their offices and
assigned shore activities, if any, and shall be responsible to the
Secretary or to one of the Civilian Executive Assistants for the
utilization of resources by and the operating efficiency of all
activities under their supervision. The duties of the individual Staff
Assistants and their respective offices will be as provided by law or as
assigned by the Secretary.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980]
[[Page 15]]
Sec. 700.205 The Chief of Naval Research, The Judge Advocate General, The Deputy Comptroller of the Navy.
The Chief of Naval Research shall command the Office of Naval
Research and assigned shore activities. The Judge Advocate General shall
command the Office of the Judge Advocate General and assigned shore
activities. The Deputy Comptroller of the Navy shall command the Office
of the Comptroller of the Navy and assigned shore activities. Each of
them shall be responsible to the Secretary of the Navy or to one of the
Civilian Executive Assistants, as assigned, for the utilization of
resources by and the operating efficiency of all activities under their
respective commands. The duties of the Chief of Naval Research, the
Judge Advocate General, and the Comptroller of the Navy will be as
provided by law or as assigned by the Secretary.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980]
Sec. 700.206 Authority over organizational matters.
Subject to the approval of the Secretary of the Navy or guidance
hereafter furnished by him, the Civilian Executive Assistants, the Chief
of Naval Operations, the Commandant of the Marine Corps, the Chief of
Naval Research, the Judge Advocate General, the Deputy Comptroller of
the Navy, and the Staff Assistants are individually authorized to
organize, assign, and reassign responsibilities within their respective
commands or offices in the organization of the Department of the Navy,
including the establishment and disestablishment of such component
organizations as may be necessary, subject to the following:
(a) The authority to disestablish may not be exercised with respect
to any organizational component of the Department established by law.
(b) The Secretary retains the authority to approve the establishment
of and disestablishment of shore activities, which will be done in
accordance with procedures prescribed by the Secretary.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980]
Subpart C--The Chief of Naval Operations
Sec. 700.301 Senior Military Officer of the Department of the Navy.
(a) The Chief of Naval Operations is the senior military officer of
the Department of the Navy, and takes precedence above all other
officers of the naval service, except an officer of the naval service
who is serving as Chairman of the Joint Chiefs of Staff.
(b) The Chief of Naval Operations is the principal naval adviser to
the President and to the Secretary of the Navy on the conduct of war,
and the principal naval adviser and naval executive to the Secretary on
the conduct of the activities of the Department of the Navy.
(c) The Chief of Naval Operations is the Navy member of the Joint
Chiefs of Staff and is responsible, in coordination with the Commandant
of the Marine Corps, for keeping the Secretary of the Navy fully
informed on matters considered or acted upon by the Joint Chiefs of
Staff. In this capacity, he is responsible, under the President and the
Secretary of Defense, for duties external to the Department of the Navy,
as prescribed by law.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980]
Sec. 700.302 Succession to duties.
The Vice Chief of Naval Operations, and then the officers of the
Navy, eligible for command at sea, on duty in the office of the Chief of
Naval Operations in the order of their seniority, shall, unless
otherwise directed by the President, perform the duties of the Chief of
Naval Operations during his absence, or disability, or in the event of a
temporary vacancy in that office.
Sec. 700.303 Specific authority and duties of the Vice Chief of Naval Operations.
(a) The Vice Chief of Naval Operations has such authority and duties
with respect to the Department of the Navy as the Chief of Naval
Operations, with the approval of the Secretary of the Navy, may delegate
to or prescribe for him. Orders issued by the Vice Chief of Naval
Operations in performing such duties have the same force
[[Page 16]]
and effect as those issued by the Chief of Naval Operations.
(b) Orders issued by the Vice Chief of Naval Operations in
performing other duties have the same force and effect as those issued
by the Chief of Naval Operations.
Sec. 700.304 Authority and responsibility.
(a) Internal to the administration of the Department of the Navy,
the Chief of Naval Operations, under the direction of the Secretary of
the Navy, shall command the Operating Forces of the Navy. The Chief of
Naval Operations shall also command the Naval Material Command, the
Bureau of Naval Personnel, and the Bureau of Medicine and Surgery. In
addition, he shall command such shore activities as may be assigned to
him by the Secretary. He shall be responsible to the Secretary for the
utilization of resources by, and the operating efficiency of, all
commands and activities under his command.
(b) In addition, the Chief of Naval Operations has the following
specific responsibilities:
(1) To organize, train, equip, prepare, and maintain the readiness
of Navy forces, including those for assignment to unified or specified
commands for the performance of military missions as directed by the
President, the Secretary of Defense, or the Joint Chiefs of Staff. Naval
forces, when assigned to a unified or specified command, are under the
full operational command of the commander to whom they are assigned.
(2) To determine and direct the efforts necessary to fulfill current
and future requirements of the Navy (less Fleet Marine Forces and other
assigned Marine Corps forces) for manpower, material, weapons,
facilities, and services, including the determination of quantities,
military performance requirements, and times, places, and priorities of
need.
(3) To exercise leadership in maintaining a high degree of
competence among Navy officer and enlisted and civilian personnel in
necessary fields of specialization, through education, training, and
equal opportunities for personal advancement, and maintaining the morale
and motivation of Navy personnel and the prestige of a Navy career.
(4) To plan and provide health care for personnel of the naval
service and their dependents.
(5) To direct the organization, administration, training, and
support of the Naval Reserve.
(6) To inspect and investigate components of the Department of the
Navy to determine and maintain efficiency, discipline, readiness,
effectiveness, and economy, except in those areas where such
responsibility rests with the Commandant of the Marine Corps.
(7) To determine the needs of naval forces and activities for
research, development, test, and evaluation; to plan and provide for the
conduct of development, test, and evaluation which are adequate and
responsive to long-range objectives, immediate requirements, and fiscal
limitations; and to provide assistance to the Assistant Secretary of the
Navy (Research and Development) in the direction, review, and appraisal
of the overall Navy RDT&E Program to insure fulfillment of stated
requirements.
(8) To formulate Navy strategic plans and policies and participate
in the formulation of joint and combined strategic plans and policies
and related command relationships.
(9) To budget for commands, bureaus, and offices assigned to the
command of the Chief of Naval Operations, and other activities and
programs as assigned, except as may be otherwise directed by the
Secretary of the Navy.
(c) The Chief of Naval Operations, under the direction of the
Secretary of the Navy, shall (except for those areas wherein such
responsibility rests with the Commandant of the Marine Corps) exercise
overall authority throughout the Department of the Navy in matters
related to the effectiveness of the support of the Operating Forces of
the Navy, the coordination and direction of assigned Navy-wide programs
and functions including those assigned by higher authority, the
coordination of activities of the Department of the Navy in matters
concerning effectiveness, efficiency, and economy, and matters essential
to naval military administration, such as security, intelligence,
discipline, communications, and matters
[[Page 17]]
related to the customs and traditions of the naval service.
Sec. 700.305 Naval Vessel Register, classification of naval craft, and status of ships and service craft.
(a) The Chief of Naval Operations shall be responsible for the Naval
Vessel Register (except the Secretary of the Navy shall strike vessels
from the Register) and the assignment of classification for
administrative purposes to water-borne craft and the designation of
status for each ship and service craft. The classification of water-
borne craft and the status of ships and service craft are found in the
glossary.
(b) Commissioned vessels and craft shall be called ``United States
Ship ----'' or ``U.S.S. ----''.
(c) Civilian manned ships of the Military Sealift Command or other
commands designated ``active status, in service'' shall be called
``United States Naval Ship ----'' or ``U.S.N.S. ----''.
(d) Ships and service craft designated ``active status, in
service,'' except those described by paragraph c of this article, shall
be referred to by name, when assigned, classification, and hull number
(e.g., ``HIGHPOINT PCH-1'' or ``YOGN-8'').
(e) The Chief of Naval Operations shall designate hospital ships and
medical aircraft as he deems necessary. Such designation shall be in
compliance with the Geneva Convention for the Amelioration of the
Conditions of Wounded, Sick and Shipwrecked Members of the Armed Forces
at Sea of 12 August 1949 and he shall ensure compliance with the notice
provisions of that Convention.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980]
Sec. 700.306 The Chief of Naval Material.
The Chief of Naval Material, under the command of the Chief of Naval
Operations, shall command the Naval Material Command. In addition to the
tasks which may be assigned by the Chief of Naval Operations, he shall:
(a) Provide direct staff assistance to the Secretary of the Navy and
the Civilian Executive Assistants in matters pertaining to contracting,
procurement, production and exploratory development, laboratories
assigned to the Chief of Naval Material and to related matters. In these
areas, the Chief of Naval Material shall inform the Chief of Naval
Operations and, when appropriate, the Commandant of the Marine Corps in
matters of policy and significant actions.
(b) Be responsive directly to the Commandant of the Marine Corps in
providing necessary planning and programming data requirements and in
meeting those particular material support needs of the U.S. Marine Corps
which are required to be provided by the Naval Material Command.
(c) Provide the Commandant of the Marine Corps with timely advice
concerning training and technical requirements essential for the
operation and maintenance by Marine Corps personnel of new equipment
under development.
(1) Be responsive to the heads of other organizations in meeting
their material support needs which are provided by the Naval Material
Command.
(2) Provide guidance to Navy and Marine Corps Commands, as required,
on functional areas related to Naval Material Command acquisition and
logistics support responsibilities and other technical or professional
matters as appropriate.
Sec. 700.307 The Chief of Naval Personnel and the Chief, Bureau of Medicine and Surgery.
The Chief of Naval Personnel, under the command of the Chief of
Naval Operations, shall command the Bureau of Naval Personnel. The
Chief, Bureau of Medicine and Surgery, (who is also the Surgeon General
of the Navy), under the command of the Chief of Naval Operations, shall
command the Bureau of Medicine and Surgery. In addition to the tasks
which may be assigned by the Chief of Naval Operations, they shall:
(a) Be responsive directly to the Commandant of the Marine Corps in
meeting those particular needs of the United States Marine Corps which
are required to be provided by their respective bureaus.
(b) Be responsive to the heads of other organizations in meeting the
particular needs of such organizations which are provided by the Chief
of
[[Page 18]]
Naval Personnel and the Chief, Bureau of Medicine and Surgery.
Sec. 700.308 Naval Inspector General.
There is in the Office of the Chief of Naval Operations the Office
of the Naval Inspector General. The Naval Inspector General, when
directed, shall inquire into and report upon any matter which affects
the discipline or military efficiency of the Department of the Navy;
however, the Secretary of the Navy shall direct inquiry when such
matters are related to the Marine Corps. He shall make such inspections,
investigations, and reports as the Secretary of the Chief of Naval
Operations directs. The Naval Inspector General shall periodically
propose programs of inspections to the Chief of Naval Operations and
shall recommend additional inspections or investigations as may appear
appropriate.
Sec. 700.309 Commander in Chief; U.S. Atlantic Fleet.
(a) The Commander in Chief of U.S. Atlantic Fleet is a naval
commander in chief of the Operating Forces of the Navy under the command
of the Chief of Naval Operations. He shall command the U.S. Atlantic
Fleet and is responsible for the administration, training, maintenance,
support and readiness of the Atlantic Fleet including those forces
temporarily assigned to the operational command of other commanders.
(b) The Commander in Chief U.S. Atlantic Fleet is a naval component
commander of the unified command under the Commander in Chief, Atlantic.
(c) The organization of the Atlantic Fleet, the forces assigned and
their employment shall be as specified by the Chief of Naval Operations
except for the employment of forces assigned to the operational command
of unified and specified commanders.
Sec. 700.310 Commander in Chief, U.S. Pacific Fleet.
(a) The Commander in Chief U.S. Pacific Fleet is a naval commander
in chief of the Operating Forces of the Navy under the command of the
Chief of Naval Operations. He shall command the U.S. Pacific Fleet and
is responsible for the administration, training, maintenance, support
and readiness of the Pacific Fleet, including those forces temporarily
assigned to the operational command of other commanders.
(b) The Commander in Chief U.S. Pacific Fleet is a naval component
commander of the unified command under the Commander in Chief, Pacific.
(c) The organization of the Pacific Fleet, the forces assigned and
their employment shall be as specified by the Chief of Naval Operations
except for the employment of forces assigned to the operational command
of unified and specified commanders.
Sec. 700.311 Commander in Chief; U.S. Naval Forces, Europe.
(a) The Commander in Chief U.S. Naval Forces, Europe is a naval
commander in chief of the Operating Forces of the Navy under the command
of the Chief of Naval Operations. He shall represent the Chief of Naval
Operations for U.S. naval matters in the general areas of Europe, North
Africa, and the Middle East. He shall command those forces assigned by
the Chief of Naval Operations or by other naval commanders.
(b) The Commander in Chief U.S. Naval Forces, Europe is the naval
component commander of the unified command under the Commander in Chief,
U.S. European Command.
Sec. 700.312 Commander, Military Sealift Command.
(a) The Commander, Military Sealift Command is a naval commander of
the Operating Forces of the Navy under the command of the Chief of Naval
Operations. He shall provide ocean transportation for personnel and
cargo of the Department of Defense (excluding that transported by units
of the fleet) in accordance with policies and procedures of the Single
Manager for Ocean Transportation (Secretary of the Navy) and the
Secretary of Defense. He shall also operate ships in support of
scientific projects and other programs for agencies or departments of
the United States.
(b) The Military Sealift Command shall operate and maintain
government owned ships and augment operational
[[Page 19]]
capability by shipping cargo and passengers on commercially operated
ships, chartering ships, and exercising operational control over ships
activated from National Defense Reserve Fleet to meet emergency needs.
Sec. 700.313 Commander, Naval Intelligence Command.
The Commander, Naval Intelligence Command, under the command of the
Chief of Naval Operations, shall be responsible for directing and
managing the activities of the Naval Intelligence Command to insure
fulfillment of the intelligence, counterintelligence, investigative, and
security requirements of the Department of the Navy.
Sec. 700.314 Commander, Naval Telecommunications Command.
The Commander, Naval Telecommunications Command, under the command
of the Chief of Naval Operations, shall exercise overall responsibility
throughout the Department of the Navy for the coordination of the
provision, operation, and maintenance of adequate and secure naval
communications.
[41 FR 18074, Apr. 30, 1976]
Sec. 700.315 Oceanographer of the Navy.
The Oceanographer of the Navy, within the Office of the Chief of
Naval Operations, performs functions relating to external interfaces
with national and international oceanographic organizations and bodies.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980]
Sec. 700.316 Commander, Naval Oceanography Command.
The Commander, Naval Oceanography Command, under the command of the
Chief of Naval Operations, shall be responsible for the management of
assigned oceanographic, mapping, charting, geodetic and meteorological
activities and efforts and shall provide technical guidance in such
matters throughout the Department of the Navy.
[45 FR 80278, Dec. 4, 1980]
Sec. 700.317 Commander, Naval Security Group Command.
The Commander, Naval Security Group Command, under the command of
the Chief of Naval Operations, shall be responsible for the provision,
operation, and maintenance of an adequate Naval Security Group and shall
perform cryptologic and related functions.
Sec. 700.318 Chief of Naval Education and Training.
The Chief of Naval Education and Training, under the command of the
Chief of Naval Operations, shall be responsible for the training of Navy
personnel, other than training assigned by the Chief of Naval Operations
to other authorities, and for the training of Marine Corps aviation
personnel.
[41 FR 18074, Apr. 30, 1976]
Sec. 700.319 Chief of Naval Reserve.
The Chief of Naval Reserve, under the command of the Chief of Naval
Operations, shall be responsible for the administration of Naval Reserve
programs, the management of Naval Reserve resources, and for logistic
support of the Marine Corps air program.
Sec. 700.320 Commandants of Naval Districts.
(a) The Commandants of Naval Districts, under the command of the
Chief of Naval Operations shall represent the Secretary of the Navy and
the Chief of Naval Operations in such matters as may be assigned; to
exercise area coordination authority and supervise and direct the
effective execution of assigned area coordination responsibilities over
all naval shore activities and personnel in the Naval Service in the
naval district; to exercise command of assigned naval shore activities;
to coordinate fleet support matters as assigned by Fleet Commanders in
Chief; and to coordinate public affairs matters throughout the naval
district and to perform such other functions as may be directed by the
Chief of Naval Operations.
[41 FR 18074, Apr. 30, 1976, and 45 FR 80278, Dec. 4, 1980]
[[Page 20]]
Sec. 700.321 President, Board of Inspection and Survey.
The President of the Board of Inspection and Survey, assisted by
such other officers and such permanent and semipermanent sub-boards as
may be designated by the Secretary of the Navy, shall:
(a) Conduct acceptance trials and inspections of all ships and
service craft prior to acceptance for naval service.
(b) Conduct acceptance trials and inspections on one or more
aircraft of each type or model prior to final acceptance for naval
service.
(c) Examine at least once every three years, if practicable, each
naval ship to determine its material condition and, if found unfit for
continued service, report to higher authority.
(d) Perform such other inspections and trials of naval ships,
service craft, and aircraft as may be directed by the Chief of Naval
Operations.
Subpart D--The Commandant of the Marine Corps
Sec. 700.401 Senior officer of the Marine Corps.
(a) The Commandant of the Marine Corps is the senior officer of the
United States Marine Corps.
(b) The Commandant of the Marine Corps is the Marine Corps member of
the Joint Chiefs of Staff and is responsible, in coordination with the
Chief of Naval Operations, for keeping the Secretary of the Navy fully
informed on matters considered or acted upon by the Joint Chiefs of
Staff. In this capacity, he is responsible, under the President and the
Secretary of Defense, for duties external to the Department of the Navy,
as prescribed by law.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80278, Dec. 4, 1980]
Sec. 700.402 Succession to duties.
The Assistant Commandant of the Marine Corps, and then the officers
of the Marine Corps, not restricted in the performance of duty, on duty
at the headquarters of the Marine Corps in the order of their seniority,
shall, unless otherwise directed by the President, perform the duties of
the Commandant of the Marine Corps during his absence, disability, or in
the event of a temporary vacancy in that office.
Sec. 700.403 Authority and responsibilities.
(a) The Commandant of the Marine Corps, under the direction of the
Secretary of the Navy, shall command the United States Marine Corps,
which shall include Headquarters, United States Marine Corps; the
Operating Forces of the Marine Corps; Marine Corps Supporting
Establishments and the Marine Corps Reserve.
(b) The Commandant of the Marine Corps advises the Secretary of the
Navy on matters pertaining to the Marine Corps. He is directly
responsible to the Secretary for the administration, discipline,
internal organization, training, requirements, efficiency, and readiness
of the Marine Corps; for the operation of the Marine Corps material
support system; and the total performance of the Marine Corps. He shall
command such shore activities as may be assigned by the Secretary, and
is responsible to the Secretary for the utilization of resources by and
the operating efficiency of all activities under his command. When
performing these functions, the Commandant is not a part of the command
structure of the Chief of Naval Operations. There must, however, be a
close cooperative relationship between the Chief of Naval Operations, as
the senior military officer of the Department of the Navy, and the
Commandant, as the one having command responsibility over the Marine
Corps.
(c) The Commandant of the Marine Corps is directly responsible to
the Chief of Naval Operations for the organization, training, and
readiness of those elements of the Operating Forces of the Marine Corps
assigned to the Operating Forces of the Navy. Such Marine Corps forces,
when so assigned, are subject to the command exercised by the Chief of
Naval Operations over the Operating Forces of the Navy. Likewise,
members or organizations of the Navy, when assigned to the Marine Corps,
are subject to the command of the Commandant of the Marine Corps.
[[Page 21]]
Sec. 700.404 Specific responsibilities.
In addition, the Commandant of the Marine Corps has the following
specific responsibilities:
(a) To plan for and determine the support needs of the Marine Corps
for equipment, weapons or weapons systems, materials, supplies,
facilities, maintenance, and supporting services. This responsibility
includes the determination of Marine Corps characteristics of equipment
and material to be procured or developed, and the training required to
prepare Marine Corps personnel for combat. It also includes the
operation of the Marine Corps Material Support System.
(b) To budget for the Marine Corps, except as may be otherwise
directed by the Secretary of the Navy.
(c) To develop, in coordination with other military services, the
doctrines, tactics, and equipment employed by landing forces in
amphibious operations.
(d) To formulate Marine Corps strategic plans and policies and
participate in the formulation of joint and combined strategic plans and
policies and related command relationships.
(e) To plan for and determine the present and future needs, both
quantitative and qualitative, for personnel, including reserve personnel
and civilian personnel, of the United States Marine Corps. This includes
responsibility for leadership in maintaining a high degree of competence
among Marine Corps officers and enlisted personnel and Marine Corps
civilian personnel in necessary fields of specialization through
education, training, and equal opportunities for personal advancement;
and for leadership in maintaining the morale and motivation of Marine
Corps personnel and the prestige of a career in the Marine Corps.
(f) To plan for and determine development requirements of the Marine
Corps. To provide for the development, test, and evaluation of new
weapon systems and equipment, to ensure that such are adequate and
responsive to immediate and long-range objectives and are within
available resources. To provide direct staff assistance to the Assistant
Secretary of the Navy (Research and Development) in the direction,
review, and appraisal of the overall USMC RDT&E Program.
(g) To plan for and determine the needs for health care for
personnel of the Marine Corps and their dependents.
Sec. 700.405 Composition of the Marine Corps.
(a) The major components of the regular establishment of the Marine
Corps consist principally of the Headquarters of the Marine Corps, the
Operating Forces, and the Supporting Establishment. In addition, there
is another element of the Marine Corps, the Marine Corps Reserve.
(b) The Operating Forces of the Marine Corps include the Fleet
Marine Forces, detachments afloat, and security forces. There are two
Fleet Marine Forces: Fleet Marine Force, Atlantic, and Fleet Marine
Force, Pacific. These Fleet Marine Forces are assigned to, and are
integral to, the U.S. fleets as part of the Operating Forces of the
Navy.
(c) The Supporting Establishment includes those Marine Corps
facilities, such as Marine Corps schools, recruit depots, supply
installations, bases, barracks, air stations and other miscellaneous
small activities which train, maintain, and support the Operating Forces
of the Marine Corps.
(d) The Marine Corps Reserve has as its mission to provide a trained
force of qualified officers and enlisted personnel to be available for
active duty in the U.S. Marine Corps in time of war or national
emergency.
Sec. 700.406 Relationships between the Commandant of the Marine Corps and the Chief of Naval Material.
Formal operating relationships with respect to the efforts of
determining needs and providing support between the Commandant of the
Marine Corps and his organization and the Chief of Naval Material and
his organization shall be governed by the following principles:
(a) The Commandant of the Marine Corps shall express to the Chief of
Naval Material those Marine Corps material needs which are to be
provided by the Naval Material Command. With respect to the development
of material items, the Commandant of the Marine
[[Page 22]]
Corps shall specify the military performance required to meet Marine
Corps needs.
(b) The Chief of Naval Material shall advise the Commandant of the
Marine Corps as to the economic and technological feasibility of meeting
such needs, and shall keep the Commandant informed of new capabilities
to meet the needs of the Marine Corps which may or may not have been
previously expressed. With respect to the development of material items,
the Chief of Naval Material shall determine the technical effort
necessary to satisfy the needs of the Marine Corps.
(c) The Commandant of the Marine Corps shall select the work to be
done to satisfy the needs of the Marine Corps, based upon feasibility
data and current estimates of the worth of a particular need in relation
to other desirable needs, including, where necessary, the curtailment or
cancellation of work already in progress in favor of work which offers
greater promise or greater military worth.
(d) The Chief of Naval Material shall exercise appropriate
supervision over accomplishment of the work selected, and shall insure
that resources available to him are efficiently utilized in meeting
Marine Corps needs.
(e) Work being accomplished shall be reviewed concurrently by the
Commandant of the Marine Corps from the viewpoint of readiness and
military worth, and by the Chief of Naval Material from the viewpoint of
progress and the efficient utilization of resources available to him.
Sec. 700.407 Serving with the Army by order of the President.
(a) When Marine Corps units are, by order of the President, detached
for service with the Army, the Commandant of the Marine Corps is, for
the time that the Marine Corps units are thus detached and for the
purposes of administering the affairs of such units, responsible to the
Secretary of the Army. The Commandant of the Marine Corps shall retain
such control and jurisdiction over said detached forces as will enable
him to make the necessary transfers of officers and men from and to the
commands, and to exercise general supervision over all expenditures and
supplies needed for the support of the Marine Corps forces so detached.
He shall be responsible to the Secretary of the Army for the general
efficiency and discipline of such units of the Marine Corps as are
detached for service with the Army.
(b) Official correspondence which relates exclusively to the routine
business of the Marine Corps and does not involve questions of
administrative responsibility under the supervision of the commanding
officer of the combined forces, and which is not a matter of a military
nature pertaining to an individual requiring the action of said
commanding officer, shall be forwarded direct between the Headquarters
of the Marine Corps and the senior Marine officer serving with the
detached forces.
(c) All official correspondence regarding the personnel of the
Marine Corps units on duty with the Army shall be addressed to the
proper representative of the Marine Corps and forwarded via the Adjutant
General of the Army.
Subpart E--The United States Coast Guard (When Operating As a Service of
the Navy)
Sec. 700.501 Relationship and operation as a service in the Navy.
(a) Upon declaration of war or when the President directs, the Coast
Guard shall operate as a service in the Navy, and shall be subject to
the orders of the Secretary of the Navy. While so operating as a service
in the Navy and to the extent practicable Coast Guard operations shall
be integrated and uniform with Navy operations.
(b) Whenever the Coast Guard operates as a service in the Navy:
(1) Applicable appropriations of the Coast Guard to cover expenses
shall be available for transfer to the Department of the Navy and
supplemented, as required, from applicable appropriations of the
Department of the Navy.
(2) Personnel of the Coast Guard shall be eligible to receive
gratuities, medals, and other insignia of honor on the same basis as
personnel in the naval service or serving in any capacity with the Navy.
[[Page 23]]
Sec. 700.502 Commandant of the Coast Guard.
(a) The Commandant of the Coast Guard is the senior officer of the
United States Coast Guard.
(b) When reporting in accordance with section 3, title 14 U.S.C., to
the Secretary of the Navy, the Commandant of the Coast Guard will
further report to the Chief of Naval Operations for military functions.
The Chief of Naval Operations shall represent the Coast Guard as a
member of the Joint Chiefs of Staff.
Sec. 700.503 Duties and responsibilities.
In exercising command over the Coast Guard while operating as a
service of the Navy, the Commandant shall:
(a) Organize, train, prepare and maintain the readiness of the Coast
Guard to function as a specialized service in the Navy for the
performance of military missions, as directed.
(b) Plan for and determine the present and future needs of the Coast
Guard, both quantitative and qualitative, for personnel, including
reserve personnel.
(c) Budget for the Coast Guard, except as may be otherwise directed
by the Secretary of the Navy.
(d) Plan for and determine the support needs of the Coast Guard for
equipment, materials, weapons or weapons systems, supplies, facilities,
maintenance, and supporting services.
(e) Exercise essential military administration of the Coast Guard.
This includes, but is not limited to, such matters as security,
discipline, intelligence, communications, personnel records and
accounting conforming, as practicable, to Navy procedures.
(f) Enforce or assist in enforcing Federal laws on the high seas and
on waters subject to the jurisdiction of the United States.
(g) Administer, promulgate and enforce regulations for the promotion
of safety of life and property on the high seas and on waters subject to
the jurisdiction of the United States. This applies to those matters not
specifically delegated by law to some other executive department.
(h) Develop, establish, maintain and operate, with due regard to the
requirements of national defense, aids to maritime navigation, ice
breaking facilities, and rescue facilities for the promotion of safety
on and over the high seas and waters subject to the jurisdiction of the
United States.
(i) Engage in oceanographic research on the high seas and in waters
subject to the jurisdiction of the United States in coordination with
the Office of the Oceanographer of the Navy.
(j) Continue in effect under the Secretary of the Navy those other
functions, powers and duties vested in him by appropriate orders and
regulations of the Secretary of Transportation on the day prior to the
effective date of transfer of the Coast Guard to the Department of the
Navy until specifically modified or terminated by the Secretary of the
Navy.
Subpart F--Commanders in Chief and Other Commanders
Sec. 700.601 Titles of commanders.
(a) The commander of a principal organization of the Operating
Forces of the Navy, as determined by the Chief of Naval Operations, or
the officer who has succeeded to such command as provided elsewhere in
these regulations, shall have the title ``Commander in Chief.'' The name
of the organization under his command shall be added to form his
official title.
(b) The commander of each other organization of units of the
Operating Forces of the Navy, or organization of units of shore
activities, shall have the title ``Commander,'' ``Commandant,''
``Commanding General,'' or other appropriate title. The name of the
organization under his command shall be added to form his official
title.
Sec. 700.602 Responsibility and authority of a commander.
(a) A commander shall be responsible for the satisfactory
accomplishment of the mission and duties assigned to his command. His
authority shall be commensurate with his responsibilities. Normally, he
shall exercise authority through his immediate subordinate commanders;
but he may communicate directly with any of his subordinates.
(b) A commander shall insure that subordinate commands are fully
aware of the importance of strong, dynamic
[[Page 24]]
leadership and its relationship to the overall efficiency and readiness
of naval forces. A commander shall exercise positive leadership and
actively develop the highest qualities of leadership in persons with
positions of authority and responsibility throughout his command.
(c) Subject to orders of higher authority, a commander shall issue
such regulations and instructions as may be necessary for the proper
administration and operation of his command.
(d) A commander shall hold the same relationship to his flagship, or
to a shore activity of his command in which his headquarters may be
located, in regard to its internal administration and discipline, as to
any other ship or shore activity of his command.
Sec. 700.603 To announce assumption of command.
Upon assuming command, a commander shall so advise appropriate
superiors, and the units of his command. When appropriate to his command
he shall also advise the senior commanders of other United States armed
services and officials of other Federal agencies and foreign governments
located within the area encompassed by his command, concerning his
assumption of command.
Sec. 700.604 Readiness.
A commander shall take all practicable steps to maintain his command
in a state of readiness to perform its mission. In conformity with the
orders and policies of higher authority, he shall:
(a) Organize the forces and resources under his command and assign
duties to his principal subordinate commanders.
(b) Prepare plans for the employment of his forces to meet existing
and foreseeable situations.
(c) Collaborate with the commanders of other United States armed
services and with appropriate officials of other Federal agencies and
foreign governments located within the area encompassed by his command.
(d) Maintain effective intelligence and keep himself informed of the
political and military aspects of the national and international
situation.
(e) Make, or cause to be made, such inspections as necessary to
ensure the readiness, effectiveness, and efficiency of the components of
his command.
Sec. 700.605 Observance of international law.
At all times a commander shall observe, and require his command to
observe, the principles of international law. Where necessary to
fulfillment of this responsibility, a departure from other provisions of
Navy Regulations is authorized.
Subpart G--The Commanding Officer
Sec. 700.701 Applicability.
In addition to commanding officers, the provisions of this chapter
shall apply, where pertinent, to aircraft commanders, officers in charge
(including warrant officers and petty officers when so detailed) and
those persons standing the command duty.
Sec. 700.702 Responsibility.
(a) The responsibility of the commanding officer for his command is
absolute, except when, and to the extent, relieved therefrom by
competent authority, or as provided otherwise in these regulations. The
authority of the commanding officer is commensurate with his
responsibility. While he may, at his discretion, and when not contrary
to law or regulations, delegate authority to his subordinates for the
execution of details, such delegation of authority shall in no way
relieve the commanding officer of his continued responsibility for the
safety, well-being, and efficiency of his entire command.
(b) A commanding officer who departs from his orders or
instructions, or takes official action which is not in accordance with
such orders or instructions, does so upon his own responsibility and
shall report immediately the circumstances to the officer from whom the
prior orders or instructions were received.
(c) The commanding officer shall be responsible for economy within
his command. To this end he shall require from his subordinates a rigid
compliance with the regulations governing
[[Page 25]]
the receipt, accounting, and expenditure of public money and materials,
and the implementation of improved management techniques and procedures.
(d) The commanding officer and his subordinates shall exercise
leadership through personal example, moral responsibility, and judicious
attention to the welfare of persons under their control or supervision.
Such leadership shall be exercised in order to achieve a positive,
dominant influence on the performance of persons in the Department of
the Navy.
Sec. 700.703 [Reserved]
Sec. 700.704 Organization of commands.
All commands and other activities of the Department of the Navy
shall be organized and administered in accordance with law, the Navy
Regulations, and the orders of competent authority, and all orders and
instructions of the commanding officer shall be in accordance therewith.
Secs. 700.705--700.708 [Reserved]
Sec. 700.709 Unauthorized persons on board.
The commanding officer shall satisfy himself that there is no
unauthorized person on board before proceeding to sea or commencing a
flight.
Sec. 700.710 Control of passengers.
(a) Control of passage in and protracted visits to aircraft and
ships of the Navy by all persons, within or without the Department of
the Navy, shall be exercised by the Chief of Naval Operations.
(b) Nothing in this article shall be interpreted as prohibiting the
senior officer present from authorizing the passage in ships and
aircraft of the Navy by such persons as he judges necessary in the
public interest or in the interest of humanity. The senior officer
present shall report the circumstances to the Chief of Naval Operations
when he gives such authorization.
Sec. 700.711 Authority over passengers.
Except as otherwise provided in these regulations or in orders from
competent authority, all passengers in a ship or aircraft of the naval
service are subject to the authority of the commanding officer and shall
conform to the internal regulations and routine of the ship or aircraft.
The commanding officer of such ship or aircraft shall take no
disciplinary action against a passenger not in the naval service, other
than that authorized by law; but he may, when he deems such action to be
necessary for the safety of the ship or aircraft or of any persons
embarked, subject a passenger not in the naval service to such restraint
as the circumstances require until such time as delivery to the proper
authorities is possible. A report of the matter shall be made to an
appropriate superior of the passenger.
Sec. 700.712 [Reserved]
Sec. 700.713 Person found under incriminating circumstances.
(a) The commanding officer shall keep under restraint or
surveillance, as necessary, any person not in the armed services of the
United States who is found under incriminating or irregular
circumstances within the command, and shall immediately initiate an
investigation.
(b) Should an investigation indicate that such person is not a
fugitive from justice or has not committed or attempted to commit an
offense, he shall be released at the earliest opportunity, except:
(1) If not a citizen of the United States, and the place of release
is under the jurisdiction of the United States, the nearest federal
immigration authorities shall be notified as to the time and place of
release sufficiently in advance to permit them to take such steps as
they deem appropriate.
(2) Such persons shall not be released in territory not under the
jurisdiction of the United States without first obtaining the consent of
the proper foreign authorities, except where the investigation shows
that he entered the command from territory of the foreign state, or that
he is a citizen or subject of that state.
[[Page 26]]
(c) If the investigation indicates that such person has committed or
attempted to commit an offense punishable under the authority of the
commanding officer, the latter shall take such action as he deems
necessary.
(d) If the investigation indicates that such a person is a fugitive
from justice, or has committed or attempted to commit an offense which
requires actions beyond the authority of the commanding officer, he
shall, at the first opportunity, deliver such person, with full
descriptive data, fingerprints, and a statement of the circumstances to
the proper civil authorities.
(e) A report shall be made promptly to the Secretary of the Navy, in
all cases under paragraph 4 of this article, and in other cases where
appropriate.
[39 FR 7135, Feb. 25, 1974, as amended at 41 FR 21775, May 28, 1976]
Sec. 700.714 Rules for visits.
(a) Commanding officers are responsible for the control of visitors
to their commands and shall comply with the relevant provisions of the
Department of the Navy Security Manual for Classified Information and
other pertinent directives.
(b) Commanding officers shall take such measures and impose
restrictions on visitors as necessary to safeguard the classified
material under their jurisdiction. Arrangements for general visiting
shall always be based on the assumption that foreign agents will be
among the visitors.
(c) Commanding officers and others officially concerned shall
exercise reasonable care to safeguard the persons and property of
visitors to naval activities as well as taking those necessary
precautions to safeguard the persons and property within his command.
Sec. 700.715 Dealers, tradesmen, and agents.
(a) In general, dealers or tradesmen or their agents shall not be
admitted within a command, except as authorized by the commanding
officer:
(1) To conduct public business.
(2) To transact specific private business with individuals at the
request of the latter.
(3) To furnish services and supplies which are necessary and are not
otherwise, or are insufficiently, available to the personnel of the
command.
(b) Personal commercial solicitation and the conduct of commercial
transactions are governed by policies of Department of Defense.
Sec. 700.716 Marriages on board.
The commanding officer shall not perform a marriage ceremony on
board his ship or aircraft. He shall not permit a marriage ceremony to
be performed on board when the ship or aircraft is outside the territory
of the United States, except:
(a) In accordance with local laws and the laws of the state,
territory, or district in which the parties are domiciled, and
(b) In the presence of a diplomatic or consular official of the
United States, who has consented to issue the certificates and make the
returns required by the consular regulations.
Sec. 700.717 Postal matters.
Commanding officers shall ensure that mail and postal funds are
administered in accordance with instructions issued by the Postmaster
General and approved for the naval service by the Chief of Naval
Operations, and instructions issued by the Chief of Naval Operations or
the Chief of Naval Personnel or the Commandant of the Marine Corps as
appropriate; and that postal clerks or other persons authorized to
handle mail perform their duties strictly in accordance with those
instructions.
Secs. 700.718--700.719 [Reserved]
Sec. 700.720 Deaths.
The commanding officer, in the event of death of any person within
his command, shall ensure that the cause of death and the circumstances
under which death occurred are established, and the appropriate casualty
report is submitted.
Sec. 700.721 The American National Red Cross.
(a) Pursuant to the request of the Secretary of the Navy and subject
to such instructions as he may issue, the
[[Page 27]]
American National Red Cross is authorized to conduct a program of
welfare, including social, financial, and medical and dental aid, for
naval personnel; to assist in matters pertaining to prisoners of war;
and to provide such other services as are appropriate functions for the
Red Cross. The American National Red Cross is the only volunteer society
authorized by the Government to render medical and dental aid to the
armed forces of the United States. Other organizations desiring to
render medical and dental aid may do so only through the Red Cross.
(b) Requests for Red Cross services shall be made to the Chief of
Naval Personnel or the Commandant of the Marine Corps or, in the case of
medical services, to the Chief, Bureau of Medicine and Surgery.
(c) Activities and personnel of the American National Red Cross in
areas subject to naval jurisdiction shall conform to such administrative
regulations as may be prescribed by appropriate naval authority.
(d) Red Cross personnel shall be considered to have the status of
commissioned officers, subject to such restrictions as may be imposed by
the Chief of Naval Personnel or the Commandant of the Marine Corps.
Secs. 700.722--700.723 [Reserved]
Sec. 700.724 Maintenance of Logs.
(a) A deck log and an engineering log shall be maintained by each
ship in commission, and by such other ships and craft as may be
designated by the Chief of Naval Operations.
(b) A compass record shall be maintained as an adjunct to the deck
log. An engineer's bell book shall be maintained as an adjunct to the
engineering log.
(c) The Chief of Naval Operations shall prescribe regulations
governing the contents and preparation of the deck and engineering logs
and adjunct records.
[41 FR 18074, Apr. 30, 1976]
Sec. 700.725 Status of Logs.
The deck log, the engineering log, the compass record, and the
engineer's bell book shall each constitute an official record of the
command.
[41 FR 18074, Apr. 30, 1976]
Sec. 700.726 Records.
The commanding officer shall require that records relative to
personnel, material, and operations as required by current instructions
are maintained properly by those responsible therefor.
Secs. 700.727--700.728 [Reserved]
Sec. 700.729 Delivery of personnel to civil authorities and service of subpoena or other process.
(a) Commanding officers or other persons in authority shall not
deliver any person in the naval service to civil authorities except as
provided by the Manual of the Judge Advocate General.
(b) Commanding officers are authorized to permit the service of
subpoena on other process as provided by the Manual of the Judge
Advocate General.
Secs. 700.730--700.732 [Reserved]
Sec. 700.733 Responsibility of a master of an in-service ship of the Military Sealift Command.
In an in-service ship of the Military Sealift Command, the master is
responsible for the safety of his ship and all persons on board. He is
responsible for the safe navigation and technical operation of his ship
and has paramount authority over all persons on board. The master is
responsible for the preparation of the abandoned ship bill and has
exclusive authority to order the ship abandoned. He has full authority
to enforce appropriate laws of the United States and all applicable
orders and regulations of the Navy, Military Sealift Command, and the
Office of Personnel Management.
[39 FR 7135, Feb. 25, 1974, as amended at 47 FR 28370, June 30, 1982]
Sec. 700.734 Relations with merchant seamen.
When in foreign waters, the commanding officer, with the approval of
the senior officer present, may receive on board as supernumeraries for
rations and passage:
(a) Distressed seamen of the United States for passage to the United
[[Page 28]]
States, provided they bind themselves to be amenable in all respects to
Navy Regulations.
(b) As prisoners, seamen from merchant vessels of the United States,
provided that the witnesses necessary to substantiate the charges
against them are received, or adequate means adopted to ensure the
presence of such witnesses on arrival of the prisoners at the place
where they are to be delivered to the civil authorities.
Sec. 700.735 [Reserved]
Sec. 700.736 Physical security.
(a) The commanding officer shall take action to protect and maintain
the security of the command from the dangers of attack, sabotage or
other actions of subversive or militant groups or of any person with
intent to do harm.
(b) The commanding officer shall take action to protect and maintain
the security of the command against dangers from fire, windstorms, or
other acts of nature.
Sec. 700.737 Effectiveness for service.
The commanding officer shall:
(a) Exert every effort to maintain his command in a state of maximum
effectiveness for war or other service consistent with the degree of
readiness as may be prescribed by proper authority. Effectiveness for
service is directly related to state of personnel and material
readiness.
(b) Make himself aware of the progress of any repairs, the status of
spares, repair parts and other components, personnel readiness and other
factors or conditions that could lessen the effectiveness of his
command. When the effectiveness is lessened appreciably it shall be
reported to appropriate superiors.
Secs. 700.738--700.739 [Reserved]
Sec. 700.740 Search by foreign authorities.
(a) The commanding officer shall not permit a ship under his command
to be searched on any pretense whatsoever by any person representing a
foreign state, nor permit any of the personnel within the confines of
his command to be removed from the command by such person, so long as he
has the capacity to repel such act. If force should be exerted to compel
submission, he is to resist that force to the utmost of his power.
(b) Except as may be provided by international agreement, the
commanding officer of a shore activity shall not permit his command to
be searched by any person representing a foreign state, nor permit any
of the personnel within the confines of his command to be removed from
the command by such person, so long as he has the power to resist.
Secs. 700.741--700.746 [Reserved]
Sec. 700.747 Status of boats.
(a) Boats shall be regarded in all matters concerning the rights,
privileges, and comity of nations as part of the ship or aircraft to
which they belong.
(b) In ports where war, insurrection or armed conflict exists or
threatens, the commanding officer shall:
(1) Require that boats away from the ship or aircraft have some
appropriate and competent person in charge.
(2) See that steps are taken to make their nationality evident at
all times.
Sec. 700.748 [Reserved]
Sec. 700.749 Work, facilities, supplies, or services for other Government departments, State or local governments, foreign governments, private parties and
morale, welfare, and recreational activities.
(a) Work may be done for or facilities, supplies, or services
furnished to departments and agencies of the Federal and State
governments, local governments, foreign governments, private parties,
and morale, welfare, and recreational activities with the approval of a
commanding officer provided:
(1) The cost does not exceed limitations the Secretary of the Navy
may approve or specify; and,
(2) In the case of private parties, it is in the interest of the
government to do so and there is no issue of competition with private
industry; and,
(3) In the case of foreign governments a disqualification of a
government has
[[Page 29]]
not been issued for the benefits of this article.
(b) Work shall not be started nor facilities, supplies, or services
furnished, morale, welfare, and recreational activities not classified
as instrumentalities of the United States, or state or local governments
or private parties until funds to cover the estimated cost have been
deposited with the commanding officer or unless otherwise provided by
law.
(c) Work shall not be started nor facilities, supplies, or services
furnished other Federal Government departments and agencies, or expenses
charged to non-appropriated funds of morale, welfare, and recreational
activities classified as instrumentalities of the United States until
reimbursable funding arrangements have been made.
(d) Work, facilities, supplies, or services furnished non-
appropriated fund activities classified as instrumentalities of the
United States in the Navy Comptroller Manual shall be funded in
accordance with regulations of the Comptroller of the Navy.
(e) Supplies or services may be furnished to naval vessels and
military aircraft of friendly foreign governments (unless otherwise
provided by law or international treaty or agreement):
(1) On a reimbursable basis without an advancement of funds, when in
the best interest of the United States;
(i) Routine port services (including pilotage, tugs, garbage
removal, linehandling, and utilities) in territorial waters or waters
under United States control,
(ii) Routine airport services (including air traffic control,
parking, servicing, use of runways),
(iii) Miscellaneous supplies (including fuel, provisions, spare
parts, and general stores) but not ammunition. Supplies are subject to
approval of the cognizant fleet or force commanders when provided
overseas,
(iv) With approval of Chief of Naval Operations in each instance,
overhauls, repairs, and alterations together with necessary equipment
and its installation required in connection therewith, to vessels and
military aircraft.
(2) Routine port and airport services may be furnished at no cost to
the foreign government concerned where such services are provided by
persons of the naval service without direct cost to the Department of
the Navy.
(f) In cases of emergency involving possible loss of life or
valuable property, work may be started or facilities furnished prior to
authorization, or provision for payment, but in all such cases a
detailed report of the facts and circumstances shall be made promptly to
the Secretary of the Navy or the appropriate authority.
(g) Charges and accounting for any work, supplies, or services shall
be as prescribed in the Navy Comptroller Manual.
Secs. 700.750--700.751 [Reserved]
Sec. 700.752 Responsibility for safety of ships and craft at a naval station or shipyard.
(a) The commanding officer of a naval station or shipyard shall be
responsible for the care and safety of all ships and craft at such
station or shipyard not under a commanding officer or assigned to
another authority, and for any damage that may be done by or to them. In
addition, the commanding officer of a naval station or shipyard shall be
responsible for the safe execution of work performed by that activity
upon any ship located at the activity.
(b) It shall be the responsibility of the commanding officer of a
ship in commission which is undergoing overhaul, or which is otherwise
immobilized at a naval station or shipyard, to request such services as
are necessary to ensure the safety of the ship. The commanding officer
of the naval station or shipyard shall be responsible for providing
requested services in a timely and adequate manner.
(c) When a ship or craft not under her own power is being moved by
direction of the commanding officer of a naval station or shipyard, that
officer shall be responsible for any damage that may result therefrom;
the pilot or other person designated for the purpose shall be in direct
charge of such movement, and all persons on board shall cooperate with
and assist the pilot as necessary. Responsibility for such actions in a
private shipyard will be assigned by contract to the contractor.
[[Page 30]]
(d) When a ship operating under her own power is being drydocked,
the commanding officer shall be fully responsible for the safety of his
ship until the extremity of the ship first to enter the drydock reaches
the dock sill and the ship is pointed fair for entering the drydock. The
docking officer shall then take charge and complete the docking,
remaining in charge until the ship has been properly landed, bilge
blocks hauled, and the dock pumped down. In undocking, the docking
officer shall assume charge when flooding the dock preparatory to
undocking is started, and shall remain in charge until the extremity of
the ship last to leave the dock clears the sill, and the ship is pointed
fair for leaving the drydock, when the ship's commanding officer shall
assume responsibility for the safety and control of the ship.
(e) When a naval ship is to be drydocked in a private shipyard under
a contract being administered by a supervisor of shipbuilding, the
responsibilities of the commanding officer are the same as in the case
of drydocking in a naval shipyard. The responsibilities for the safety
of the actual drydocking, normally assigned to the commanding officer of
a naval shipyard through his docking officer, will be assigned by
contract to the contractor. The supervisor of shipbuilding is
responsible, however, for ensuring that the contractor's facilities,
methods, operations, and qualifications meet the standards of efficiency
and safety prescribed by Navy directives.
(f) If the ship is elsewhere than at a naval station or shipyard,
the relationship between the Commanding officer and the supervisor of
shipbuilding, or other appropriate official, shall be the same as that
between the commanding officer and the commanding officer of a naval
station or shipyard as specified in this article.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80279, Dec. 4, 1980]
Sec. 700.753 Ships and craft in drydock.
(a) The commanding officer of a ship in drydock shall be responsible
for effecting adequate closure, during such periods as they will be
unattended, of all openings in the ship's bottom upon which no work is
being undertaken by the docking activity. The commanding officer of the
docking activity shall be responsible for the closing, at the end of
working hours, of all valves and other openings in the ship's bottom
upon which work is being undertaken by the docking activity, when such
closing is practicable.
(b) Prior to undocking, the commanding officer of a ship shall
report to the docking officer any material changes in the amount and
location of weights on board which have been made by the ship's force
while in dock, and shall ensure, and so report, that all sea valves and
other openings in the ship's bottom are properly closed. The level of
water in the dock shall not be permitted to rise above the keel blocks
prior to receipt of this report. The above valves and openings shall be
tended during flooding of the dock.
(c) When a ship or craft, not in commission, is in a naval drydock,
the provisions of this article shall apply, except that the commanding
officer of the docking activity or his representative shall act in the
capacity of the commanding officer.
(d) When a naval ship or craft is in drydock in a private shipyard,
responsibility for actions normally assigned by the commanding officer
of the docking activity will be assigned by contract to the contractor.
[39 FR 7135, Feb. 25, 1974, as amended at 45 FR 80279, Dec. 4, 1980]
Sec. 700.754 Pilotage.
(a) The commanding officer shall:
(1) Pilot the ship under all ordinary circumstances, but he may
employ pilots whenever in his judgment such employment is prudent.
(2) Not call a pilot on board until the ship is ready to proceed.
(3) Not retain a pilot on board after the ship has reached her
destination or point where pilot is no longer required.
(4) Give preference to licensed pilots.
(5) Pay pilots no more than the local rates.
(b) A pilot is merely an adviser to the commanding officer. His
presence on board shall not relieve the commanding officer or any of his
subordinates from their responsibility for the proper performance of the
duties with which they may be charged concerning the
[[Page 31]]
navigation and handling of the ship. For an exception to the provisions
of this paragraph, see ``Rules and Regulations Covering Navigation of
the Panama Canal and Adjacent Waters,'' which directs that the pilot
assigned to a vessel in those waters shall have control of the
navigation and movement of the vessel. Also see the provisions of these
regulations concerning the navigation of ships at a naval shipyard or
station, or in entering or leaving drydock.
Sec. 700.755 Safe navigation and regulations governing operation of ships and aircraft.
(a) The commanding officer is responsible for the safe navigation of
his ship or aircraft except as prescribed otherwise in these regulations
for ships at a naval shipyard or station in drydock, or in the Panama
Canal. In time of war or armed conflict, or in exercises simulating war
or armed conflict, competent authority may modify the use of lights or
other safeguards required by law to prevent collisions at sea, in port,
or in the air. In exercises, such modifications will be employed only
when ships or aircraft clearly will not be hazarded.
(b) Professional standards and regulations governing ship handling,
safe navigation, safe anchoring and related operational matters shall be
promulgated by the Chief of Naval Operations.
(c) Professional standards and regulations governing the operation
of naval aircraft and related matters shall be promulgated by the Chief
of Naval Operations or the Commandant of the Marine Corps as
appropriate.
Sec. 700.756 Duties of the prospective commanding officer of a ship.
(a) Except as may be prescribed by the Chief of Naval Operations,
the prospective commanding officer of a ship not yet commissioned shall
have no independent authority over the preparation of the ship for
service by virtue of his assignment to such duty, until the ship is
commissioned and transferred to his command. As the prospective
commanding officer, he shall:
(1) Procure from the commander of the naval shipyard or the
supervisor of shipbuilding the general arrangement plans of the ship,
and all the pertinent information relative to the general condition of
the ship and the work being undertaken on the hull, machinery, and
equipment, upon reporting for duty.
(2) Inspect the ship as soon after reporting for duty as
practicable, and frequently thereafter, in order to keep himself
informed of the state of her preparation for service. If, during the
course of these inspections, he notes an unsafe or potentially unsafe
condition, he shall report such condition to the commander of the naval
shipyard or the supervisor of shipbuilding and to his superior for
resolution.
(3) Keep himself informed as to the progress of the work being done,
including tests of equipment, and make such recommendations to the
commander of the naval shipyard or the supervisor of shipbuilding as he
deems appropriate.
(4) Ensure that requisitions are submitted for articles to outfit
the ship which are not otherwise being provided.
(5) Prepare the organization of the ship.
(6) Make such reports as may be required by higher authority, and
include therein a statement of any deficiency in material or personnel.
(b) If the prospective commanding officer does not consider the ship
in proper condition to be commissioned at the time the commander of the
naval shipyard or the supervisor of shipbuilding signifies his intention
of transferring the ship to him, he shall report that conclusion with
his reasons therefor, in writing, to the commander of the naval shipyard
or the supervisor of shipbuilding and to the appropriate higher
authority.
(c) If the ship is elsewhere than at a naval shipyard, the
relationship between the prospective commanding officer and the
supervisor of shipbuilding, or other appropriate official, shall be the
same as that between the prospective commanding officer and the
commander of a naval shipyard as specified in this article.
[[Page 32]]
Sec. 700.757 Authority of the commanding officer or prospective commanding officer of a naval nuclear powered ship.
The Chief of Naval Operations shall be responsible for providing the
commanding officer or prospective commanding officer of a naval nuclear
powered ship with the authority and direction necessary to carry out his
responsibilities for the safety of the ship and crew, and the health and
safety of the general public in surrounding area.
Sec. 700.758 Inspection incident to commissioning of ships.
When a ship is to be commissioned, the authority designated to place
such ship in commission shall, just prior to commissioning, cause an
inspection to be made to determine the cleanliness and readiness of the
ship to receive its crew and outfit. In the case of the delivery of a
ship by a contractor, the above inspection shall precede acceptance of
the ship. A copy of the report of this inspection shall be furnished the
officer detailed to command the ship and to appropriate commands,
bureaus or offices.
Secs. 700.759--700.762 [Reserved]
Sec. 700.763 Quarantine.
(a) The commanding officer or aircraft commander of a ship or
aircraft shall comply with all quarantine regulations and restrictions,
United States or foreign, for the port or area within which his ship or
aircraft is located.
(b) Whether or not liable to quarantine, the commanding officer
shall afford every facility to visiting health officers, United States
or foreign, and shall give all information required by the latter,
insofar as permitted by the requirements of military security.
(c) The commanding officer shall allow no intercourse with a port or
area or with other ships or aircraft until he has consulted local health
authorities when:
(1) Doubt exists as to the sanitary regulations or health conditions
of the port or area.
(2) A quarantine condition exists aboard his ship or aircraft.
(3) Coming from a suspected port or area, or one actually under
quarantine.
(d) No concealment shall be made of any circumstance that may
subject a ship or aircraft of the Navy to quarantine.
(e) Should there appear at any time on board a ship or aircraft
conditions which present a hazard of introduction of a communicable
disease outside the ship or aircraft, the commanding officer or aircraft
commander shall at once report the fact to the senior officer present,
to other appropriate higher authorities and, if in port, to the health
authorities having quarantine jurisdiction. He shall prevent all
contracts likely to spread disease until pratique is received. The
commanding officer of a ship in port shall hoist the appropriate signal.
Sec. 700.764 Customs and immigration inspections.
(a) The commanding officer or aircraft commander shall facilitate
any proper examination which it may be the duty of a customs officer or
an immigration officer of the United States to make on board the ship or
aircraft under his command. He shall not permit a foreign customs
officer or an immigation officer to make any examination whatsoever,
except as hereinafter provided, on board the ship, aircraft, or boats
under his command.
(b) When a ship or aircraft of the Navy or a public vessel manned by
naval personnel and operating under the direction of the Department of
the Navy is carrying cargo for private commercial account, such cargo
shall be subject to the local customs regulations of the port, domestic
or foreign, in which the ship or aircraft may be, and in all matters
relating to such cargo, the procedure prescribed for private merchant
vessels and aircraft shall be followed. Government-owned stores or cargo
in such ship or aircraft not landed nor intended to be landed nor in any
manner trafficked in, are, by the established precedent of international
courtesy, exempt from customs duties, but a declaration of such stores
or cargo, when required by local customs regulations, shall be made.
Commanding officers shall prevent, as far as possible, disputes with the
local
[[Page 33]]
authorities in such cases, but shall protect the ship or aircraft and
the Government-owned stores and cargo from any search or seizure.
(c) Upon arrival from a foreign country, at the first port of entry
in United States territory, the commanding officer, or the senior
officer of ships or aircraft in company, shall notify the collector of
the port. Each individual aboard shall, in accordance with customs
regulations, submit a list of articles purchased or otherwise acquired
by him abroad. Dutiable articles shall not be landed until the customs
officer has completed his inspection.
(d) Commanding officers of naval vessels and aircraft transporting
United States civilian and foreign military and civilian passengers
shall satisfy themselves that the passenger clearance requirements of
the Immigration and Naturalization Service are complied with upon
arrival at points within the jurisdiction of the United States.
Clearance for such passengers by an immigration officer is necessary
upon arrival from foreign ports and at the completion of movements
between any of the following: Continental United States (including
Alaska and Hawaii), Canal Zone, Puerto Rico, Virgin Islands, Guam,
American Samoa, or other outlying places subject to United States
jurisdiction. Commanding officers prior to arriving shall advise the
cognizant naval or civilian port authority of the aforementioned
passengers aboard and shall detain them for clearance as required by the
Immigration and Naturalization Service.
(e) The provisions of this article shall not be construed to require
delaying the movements of any ship or aircraft of the Navy in the
performance of the assigned duty.
Sec. 700.765 Environmental pollution.
The commanding officer shall cooperate with local, state and other
governmental authorities in the prevention, control and abatement of
environmental pollution to the extent resources and operational
considerations permit. He shall be aware of existing policies regarding
polution control and he should recommend remedial measures when
appropriate.
Secs. 700.766--700.767 [Reserved]
Sec. 700.768 Care of ships, aircraft, vehicles and their equipment.
The commanding officer shall cause such inspections and tests to be
made and procedures carried out as are prescribed by competent
authority, together with such others as he deems necessary to ensure the
proper preservation, repair, maintenance, and operation of any ship,
aircraft, vehicle, and their equipment assigned to his command.
Subpart H--Precedence, Authority, and Command
Sec. 700.811 Exercise of authority.
(a) All persons in the naval service on active service, and those on
the retired list with pay, and transferred members of the Fleet Reserve
and the Fleet Marine Corps Reserve, are at all times subject to naval
authority. While on active service they may, if not on leave of absence
except as noted below, on the sick list, taken into custody, under
arrest, suspended from duty, in confinement, or otherwise incapable of
discharging their duties, exercise authority over all persons who are
subordinate to them.
(b) A person in the naval service, although on leave, may exercise
authority:
(1) When in a naval ship or aircraft and placed on duty by the
commanding officer or aircraft commander.
(2) When in a ship or aircraft of the armed services of the United
States, other than a naval ship or aircraft, as the commanding officer
of naval personnel embarked, or when placed on duty by such officer.
(3) When senior officer at the scene of a riot or other emergency,
or when placed on duty by such officer.
Secs. 700.812--700.816 [Reserved]
Sec. 700.817 Authority of an officer who succeeds to command.
(a) An officer who succeeds to command due to incapacity, death,
departure on leave, detachment without relief, or absence due to orders
from competent authority of the officer detailed to command has the same
authority
[[Page 34]]
and responsibility as the officer whom he succeeds.
(b) An officer who succeeds to command during the temporary absence
of the commanding officer shall make no changes in the existing
organization, and shall endeavor to have the routine and other affairs
of the command carried on in the usual manner.
(c) When an officer temporarily succeeding to command signs official
correspondence, the word ``Acting'' shall appear below his signature.
Secs. 700.818--700.829 [Reserved]
Sec. 700.830 Authority of a sentry.
A sentry, within the limits stated in his orders, has authority over
all persons on his post.
Secs. 700.831--700.833 [Reserved]
Sec. 700.834 Orders to active service.
(a) No person who is not on active service or leave of absence shall
be ordered into active service or on duty without permission of the
Commandant of the Marine Corps, or the Chief of Naval Personnel, except:
(1) In the case of a person on leave of absence by the officer who
granted the leave or a superior.
(2) By the senior officer present on a foreign station.
(b) In the event that the senior officer present of a foreign
station issues any orders as contemplated by this article, he shall
report the facts, including the reasons for issuing such orders, to the
Chief of Naval Personnel or the Commandant of the Marine Corps, without
delay.
(c) Retired officers of the Navy and Marine Corps may be ordered to
active service, with their consent, in time of peace. In time of war or
a national emergency, such retired officers may, at the discretion of
the Secretary of the Navy, be ordered to active service.
Subpart I--The Senior Officer Present
Source: 39 FR 7220, Feb. 25, 1974 unless otherwise noted.
Sec. 700.901 The senior officer present.
Unless some other officer has been so designated by competent
authority, the ``senior officer present'' is the senior line officer of
the Navy on active duty, eligible for command at sea, who is present and
in command of any part of the Department of the Navy in the locality or
within an area prescribed by competent authority, except where personnel
of both the Navy and the Marine Corps are present on shore and the
officer of the Marine Corps who is in command is senior to the senior
line officer of the Navy. In such cases, the officer of the Marine Corps
shall be the senior officer present on shore.
Sec. 700.902 [Reserved]
Sec. 700.903 Authority and responsibility.
At all times and places not excluded in these regulations, or in
orders from competent authority, the senior officer present shall assume
command and direct the movements and efforts of all persons in the
Department of the Navy present, when, in his judgment, the exercise of
authority for the purpose of cooperation or otherwise is necessary. He
shall exercise his authority in a manner consistent with the full
operational command vested in the commanders of unified or specified
commands.
Sec. 700.904 Authority of senior officer of the Marine Corps present.
The authority and responsibility of the senior officer present are
also conferred upon the senior commanding officer of the Marine Corps
present with respect to those units of the Marine Corps, including Navy
personnel attached, which are in the locality and not under the
authority of the senior officer present.
Secs. 700.905--700.921 [Reserved]
Sec. 700.922 Shore patrol.
(a) When liberty is granted to any considerable number of persons,
except in an area that can absorb them without danger of disturbance or
disorder, the senior officer present shall cause to be established,
temporarily or permanently, in charge of an officer, a sufficient patrol
of officers, petty officers,
[[Page 35]]
and noncommissioned officers to maintain order and suppress any unseemly
conduct on the part of any person on liberty. The senior patrol officer
shall communicate with the chief of police or other local officials and
make such arrangements as may be practicable to aid the patrol in
carrying out its duties properly. Such duties may include providing
assistance to military personnel in relations with civil courts and
police, arranging for release of service personnel from civil
authorities to the parent command, and providing other services that
favorably influence discipline and morale.
(b) A patrol shall not be landed in any foreign port without first
obtaining the consent of the proper local officials. Tact must be used
in requesting permission; and, unless it is given willingly and
cordially, the patrol shall not be landed. If consent cannot be
obtained, the size of liberty parties shall be held to such limits as
may be necessary to render disturbances unlikely.
(c) Officers and men on patrol duty in a foreign country normally
should not be armed. In the United States, officers and men may be armed
as prescribed by the senior officer present.
(d) No officer or man who is a member of the shore patrol or beach
guard, or is assigned in support thereof, shall partake of or indulge in
any form of intoxicating beverage or other form of intoxicant while on
duty, on post, or at other times prescribed by the senior patrol
officer. The senior patrol officer shall ensure that the provisions of
this paragraph are strictly observed and shall report promptly in
writing to the senior officer present all violations of these provisions
that may come to his notice. All officers and men of the patrol shall
report to the senior patrol officer all violations of the provisions of
this paragraph on the part of those under them.
Sec. 700.923 Precautions for health.
The senior officer present shall take precautions to preserve the
health of the persons under his authority. He shall obtain information
regarding the healthfulness of the area and medical facilities available
therein and shall adopt such measures as are required by the situation.
Secs. 700.924--700.934 [Reserved]
Sec. 700.935 Exercise of power of consul.
When upon the high seas or in any foreign port where there is no
resident consul of the United States, the senior officer present afloat
has the authority to exercise all powers of a consul in relation to
mariners of the United States.
Secs. 700.936--700.939 [Reserved]
Sec. 700.940 Granting of asylum and temporary refuge.
(a) If an official of the Department of the Navy is requested to
provide asylum or temporary refuge, the following procedures shall
apply:
(1) On the high seas or in territories under exclusive United States
jurisdiction (including territorial seas, the Commonwealth of Puerto
Rico, territories under United States administration, and possessions):
(i) At his request, an applicant for asylum will be received on
board any naval aircraft or water-borne craft, Navy or Marine Corps
activity or station.
(ii) Under no circumstances shall the person seeking asylum be
surrendered to foreign jurisdiction or control, unless at the personal
direction of the Secretary of the Navy or higher authority. Persons
seeking political asylum should be afforded every reasonable care and
protection permitted by the circumstances.
(2) In territories under foreign jurisdiction (including foreign
territorial seas, territories, and possessions):
(i) Temporary refuge shall be granted for humanitarian reasons on
board a naval aircraft or water-borne craft, Navy or Marine Corps
activity or station, only in extreme or exceptional circumstances
wherein life or safety of a person is put in imminent danger, such as
pursuit by a mob. When temporary refuge is granted, such protection
shall be terminated only when directed by the Secretary of the Navy or
higher authority.
(ii) A request by foreign authorities for return of custody of a
person under the protection of temporary refuge will be reported to the
CNO or Commandant of the Marine Corps. The requesting
[[Page 36]]
foreign authorities will be informed that the case has been referred to
higher authorities for instructions.
(iii) Persons whose temporary refuge is terminated will be released
to the protection of the authorities designated in the message
authorizing release.
(iv) While temporary refuge can be granted in the circumstances set
forth above, permanent asylum will not be granted.
(v) Foreign nationals who request assistance in forwarding requests
for political asylum in the United States will be advised to apply in
person at the nearest American Embassy or Consulate.
(3) The Chief of Naval Operations or Commandant of the Marine Corps,
as appropriate, will be informed by the most expeditious means of all
action taken pursuant to paragraphs (a)(1) and (a)(2) of this section,
as well as the attendant circumstances. Telephone or voice
communications will be used where possible, but must be confirmed as
soon as possible with an immediate precedence message, information to
the Secretary of State (for actions taken pursuant to paragraphs
(a)(2)(i) and (a)(2)(v) of this section, also make the appropriate
American Embassy or Consular Office an information addressee). If
communication by telephone or voice is not possible, notification will
be effected by an immediate precedence message, as described above. The
Chief of Naval Operations or Commandant of the Marine Corps will cause
the Secretary of the Navy and the Deputy Director for Operations of the
National Military Command Center to be notified without delay.
(b) Personnel of the Department of the Navy shall neither directly
nor indirectly invite persons to seek asylum or temporary refuge.
[41 FR 18074, Apr. 30, 1976]
Subpart J--Rights and Responsibilities of Persons in the Department of
the Navy
Sec. 700.1115 Control of official records.
No person, without proper authority, shall withdraw official records
or correspondence from the files, or destroy them, or withhold them from
those persons authorized to have access to them.
Sec. 700.1116 Disclosure and publication of information.
(a) No person in the Department of the Navy shall convey or disclose
by oral or written communication, graphic (including photographic) or
other means, any classified information except as provided in the
Department of the Navy Information Security Program Regulation.
Additionally, no person in the Department of the Navy shall communicate
or otherwise deal with foreign entities, even on an unclassified basis,
when such would commit the Department of the Navy to disclose classified
military information, except as may be required in his official duties
and only after coordination with and approval by the release authority
stipulated in the Department of the Navy Information Security Program
Regulation.
(b) No person in the Department of the Navy shall convey or disclose
by oral or written communication, publication, or other means, except as
may be required by his official duties, any information concerning the
Department of Defense or forces, or any person, thing, plan or measure
pertaining thereto, where such information might be of possible
assistance to a foreign power; nor shall any person in the Department of
the Navy make any public speech or permit publication of any article
written by or for him which is prejudicial to the interests of the
United States. The regulations concerned with the release of information
to the public through any media will be as prescribed by the Secretary
of the Navy.
(c) No person in the Department of the Navy shall disclose any
information whatever, whether classified or unclassified, or whether
obtained from official records or within the knowledge of the relator,
which might aid or be of assistance in the prosecution or support of any
claim against the United States. The prohibitions prescribed by the
first sentence of this paragraph are not applicable to an officer or
employee of the United States who is acting in the proper course of, and
within
[[Page 37]]
the scope of, his official duties, provided that the disclosure of such
information is otherwise authorized to be disclosed by statute,
Executive order of the President, or departmental regulation.
(d) Any person in the Department of the Navy receiving a request
from the public for Department of the Navy records shall be governed by
security classification markings, distribution statements on technical
documents, and the term ``For Official Use Only'' which may be used to
identify material or records not to be released to the general public.
The general regulations concerned with the availability to the public of
the Department of the Navy records shall be as prescribed by the
Secretary of the Navy.
(e) Persons in the Department of the Navy desiring to submit
manuscripts to commercial publishers, or professional, political or
international subjects shall comply with regulations promulgated by the
Secretary of the Navy.
(f) No person in the naval service on active duty or civilian
employee of the Department of the Navy shall act as correspondent of a
news service or periodical, or as a television or radio news commentator
or analyst, unless assigned to such duty in connection with the public
affairs activities of the Department of the Navy, or authorized by the
Secretary of the Navy. Except as authorized by the Secretary of the
Navy, no person assigned to duty in connection with public affairs
activities of the Department of the Navy shall receive any compensation
for acting as such correspondent, commentator, or analyst.
[39 FR 7135, Feb. 25, 1974, as amended at 41 FR 18075, Apr. 30, 1976; 45
FR 80279, Dec. 4, 1980]
Sec. 700.1117 Official records in civil courts.
No person in the Department of the Navy shall produce or release any
official record in response to a subpoena duces tecum, motion for
discovery, interrogatory or otherwise in a civil suit, or in connection
with preliminary investigations by attorneys or others except in
accordance with the provisions of the Manual of the Judge Advocate
General.
Secs. 700.1118--700.1119 [Reserved]
Sec. 700.1120 Rules for preventing collisions, afloat and in the air.
(a) All persons in the naval service responsible for the operation
of naval ships, craft and aircraft shall diligently observe the
International Rules for Preventing Collisions at Sea, (commonly called
International Rules of the Road) Inland Rules of the Road, domestic and
international air traffic regulations, and such other rules and
regulations as may be established by the Secretary of Transportation or
other competent authority for regulating traffic and preventing
collisions on the high seas, in inland waters, or in the air, where such
laws, rules and regulations are applicable to naval ships and aircraft.
In those situations where such law, rule or regulation is not applicable
to naval ships, craft or aircraft they shall be operated with due regard
for safety of others.
(b) Any significant infraction of the laws, rules and regulations
governing traffic or designed to prevent collisions on the high seas, in
inland waters, or in the air, which may be observed by persons in the
naval service shall be promptly reported to their superiors, including
the Chief of Naval Operations or Commandant of the Marine Corps when
appropriate.
(c) Reports need not be made under this article if the facts are
otherwise reported in accordance with other directives, including duly
authorized safety programs.
Secs. 700.1121--700.1132 [Reserved]
Sec. 700.1133 Use of title for commercial enterprises.
No person in the naval service shall, while on extended naval
service, use his grade or rating in connection with a commercial
enterprise. ``Extended naval service,'' for the purposes of this
article, is defined as active duty, other than active duty for training,
under a call or order that does not specify a period of thirty days or
less. This article shall not apply to a person who is not on active
service, nor shall it apply to
[[Page 38]]
authorship of any material for publication, by persons on either active
or inactive service, provided that such material is published in
accordance with existing regulations.
Secs. 700.1134--700.1142 [Reserved]
Sec. 700.1143 Return of Government property on release from active service.
When a person is released from active service, he shall return all
Government property in his possession to his commanding officer or other
competent authority.
Sec. 700.1144 Issue or loan of public property.
(a) Except as prescribed in this article, public property including
supplies, shall not be issued, on loan or otherwise, to any state,
organization, or private individual except by special authority of
Congress.
(b) When so authorized by the senior officer present, a commanding
officer may issue such supplies as can be spared to those in distress in
the event of a public exigency or calamity, or to vessels in distress,
and, when so authorized, he may issue rations and necessities to
destitute seamen and airmen of the United States who are received on
board. The supply officer making such an issue shall do so only pursuant
to an order in writing, shall procure receipts when practicable for the
supplies issued, and shall render accounts for such supplies in
accordance with the instructions contained in the Naval Supply System
Command Manual or the Marine Corps Supply Manual, as appropriate.
(c) Public property, except aircraft, may be loaned by the
commandant of a naval district to a state located within the district
and maintaining naval militia organizations, for use by a naval militia
organization in that state, provided that 95 percent of the personnel of
the last-mentioned organization are attached to or associated with a
unit of the naval reserve, and provided that the naval militia
organization conforms to the standards prescribed by the Secretary of
the Navy for similar organizations of the Naval Reserve. A report of
such loans shall be made by the commandant to the interested bureaus,
offices or commands of the Navy Department.
Secs. 700.1145--700.1149 [Reserved]
Sec. 700.1150 Alcoholic liquors.
(a) Except as may be authorized by the Secretary of the Navy, the
introduction, possession or use of alcoholic liquors for beverage
purposes on board any ship, craft, aircraft, or in any vehicle of the
Department of the Navy is prohibited. The transportation of alcoholic
liquors for personal use ashore is authorized, subject to the discretion
of the officer in command or officer in charge, or higher authority,
when the liquors are delivered to the custody of the officer in command
or officer in charge of the ship, craft, or aircraft in sealed packages,
securely packed, properly marked and in compliance with customs laws and
regulations, and stored in securely locked compartments, and the
transportation can be performed without undue interference with the work
or duties of the ship, craft, or aircraft. Whenever alcoholic liquor is
brought on board any ship, craft, or aircraft for transportation for
personal use ashore, the person who brings it on board shall at that
time file with the officer in command or officer in charge of the ship,
craft, or aircraft, a statement of the quantity and kind of alcoholic
liquor brought on board by him, together with his certification that its
importation will be in compliance with customs and internal revenue laws
and regulations and applicable State or local laws at the place of
debarkation.
(b) The introduction, possession, and use of alcoholic liquors for
beverage purposes or for sale is authorized within naval activities and
other places ashore under naval jurisdiction, to the extent and in such
manner as the Secretary of the Navy may prescribe.
Sec. 700.1151 Responsibilities concerning marijuana, narcotics, and other controlled substances.
(a) All personnel shall endeavor to prevent and eliminate the
unauthorized use of marijuana, narcotics, and other controlled
substances within the naval service.
[[Page 39]]
(b) Except for authorized medicinal purposes, the introduction,
possession, use, sale, or other transfer of marijuana, narcotic
substances or other controlled substances on board any ship, craft, or
aircraft of the Department of the Navy or within any naval station or
other place under the jurisdiction of the Department of the Navy, or the
possession, use, sale, or other transfer of marijuana, narcotic
substances or other controlled substances by persons in the naval
service, is prohibited.
(c) The term controlled substance means: a drug or other substance
included in Schedule I, II, III, IV, or V established by section 202 of
the Comprehensive Drug Abuse Prevention and Control Act of 1970 (84
Stat. 1236), as updated and republished under the provisions of that
Act.
Secs. 700.1152--700.1160 [Reserved]
Sec. 700.1161 Endorsement of commercial product or process.
Except as necessary during contract administration to determine
specification or other compliance, no person in the Department of the
Navy, in his official capacity, shall endorse or express an opinion of
approval or disapproval of any commercial product or process.
Subpart K--Purpose and Force of Regulations within the Department of the
Navy
Sec. 700.1201 Purpose and force of United States Navy Regulations.
United States Navy Regulations is the principal regulatory document
of the Department of the Navy, endowed with the sanction of law, as to
duty, responsibility, authority, distinctions, and relationships of
various commands, officials, and individuals. Other regulations,
instructions, orders, manuals, or similar publications, shall not be
issued within the Department of the Navy which conflict with, alter or
amend any provision of Navy Regulations.
Sec. 700.1202 Issuances concerning matters over which control is exercised.
Responsible officers and officials of the Department of the Navy may
issue, or cause to be issued, orders, instructions, directives, manuals
or similar publications concerning matters over which they exercise
command, control, or supervision.
PART 701--AVAILABILITY OF DEPARTMENT OF THE NAVY RECORDS AND PUBLICATION OF DEPARTMENT OF THE NAVY DOCUMENTS AFFECTING THE PUBLIC--Table of Contents
Subpart A--Department of the Navy Freedom of Information Act Program
Sec.
701.1 Purpose.
701.2 Applicability.
701.3 Definitions.
701.4 Policy.
701.5 Responsibility and authority.
701.6 Format and procedures for requesting information under FOIA.
701.7 Procedures for processing FOIA requests.
701.8 Records requiring special handling.
701.9 For Official Use Only.
701.10 FOIA appeals/judicial actions.
701.11 Publication, indexing, and public inspection of certain classes
of records.
Subpart B--FOIA Exemption Guidelines
701.21 General.
701.22 Exemption (b)(1).
701.23 Procedures for processing classified documents.
701.24 Exemption (b)(2).
701.25 Exemption (b)(3).
701.26 Exemption (b)(4).
701.27 Exemption (b)(5).
701.28 Exemption (b)(6).
701.29 Exemption (b)(7).
701.30 Exemption (b)(8).
701.31 Exemption (b)(9).
Subpart C--Addresses for Department of the Navy Records and Locations
for Public Inspection
701.31 Addresses for requests for Department of the Navy records.
701.32 Locations at which Department of the Navy records are available
for public inspection.
[[Page 40]]
Subpart D--Fee Guidelines
701.40 FOIA fees.
701.41 Definitions.
701.42 Application.
701.43 Fee restrictions.
701.44 Fee waivers.
701.45 Fee assessment.
701.46 Aggregating requests.
701.47 Effect of the Debt Collection Act of 1982 (Pub. L. 97-365).
701.48 Computation of fees.
701.49 Collection of fees.
701.50 Search time costs.
701.51 FOIA fee remittance/receipt controls.
701.52 Technical data fees.
701.53 Other technical data records.
Subpart E--Indexing, Public Inspection, and Federal Register Publication
of Department of the Navy Directives and Other Documents Affecting the
Public.
701.61 Purpose.
701.62 Scope and applicability.
701.63 Policy.
701.64 Publication of adopted regulatory documents for the guidance of
the public.
701.65 Availability, public inspection, and indexing of other documents
affecting the public.
701.66 Publication of proposed regulations for public comment.
701.67 Petitions for issuance, revision, or cancellation of regulations
affecting the public.
Subpart F--Department of the Navy Privacy Act Program
701.100 Purpose.
701.101 Applicability.
701.102 Definitions.
701.103 Policy.
701.104 Responsibility and authority.
701.105 Systems of records.
701.106 Safeguarding records in systems of records.
701.107 Criteria for creating, altering, amending, and deleting Privacy
Act systems of records.
701.108 Collecting information about individuals.
701.109 Access to records.
701.110 Amendment of records.
701.111 Privacy Act appeals.
701.112 Disclosure of records.
701.113 Exemptions.
701.114 Enforcement actions.
701.115 Computer matching program.
Subpart G--Privacy Act Exemptions
701.116 Purpose.
701.117 Exemption for classified records.
701.118 Exemptions for specific Navy record systems.
701.119 Exemptions for specific Marine Corps records systems.
Authority: 5 U.S.C. 552.
Editorial Note: For nomenclature changes for this part see 59 FR
29721, June 9, 1994.
Subpart A--Department of the Navy Freedom of Information Act Program
Source: 56 FR 66574, Dec. 24, 1991, unless otherwise noted.
Sec. 701.1 Purpose.
Subparts A, B, C, and D of this part implement the Freedom of
Information Act (5 U.S.C. 552), and the Department of Defense Directives
5400.7 and 5400.7-R series\1\, Department of Defense Freedom of
Information Act Program, (See 32 CFR part 286) and promote uniformity in
the Department of the Navy Freedom of Information Act (FOIA) Program. It
is written to provide guidance to members of the public on how and where
to submit FOIA requests and appeals within the Department of the Navy.
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\1\ Copies may be obtained if needed, from the U.S. Naval
Publications and Forms Center, Attn: Code 1053, 5801 Tabor Avenue,
Philadelphia, PA 19120.
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Sec. 701.2 Applicability.
Subparts A, B, C, and D of this part apply throughout the Department
of the Navy. It governs disclosure of agency records to ``any person,''
which means that any individual, to include foreign citizens,
partnerships, corporations, associations and foreign, state, or local
governments, may use the FOIA to obtain information. The exception to
that policy is that it does not apply to Federal agencies or to
fugitives from justice.
(a) Requests from state or local government officials. Requests from
state or local government officials for naval records are treated the
same as any other requester.
(b) Requests from foreign governments. Requests from foreign
governments for naval records are treated the same as any other
requester. However, requests
[[Page 41]]
from foreign governments that do not invoke the FOIA shall be referred
to appropriate foreign disclosure channels and the requester so
notified.
(c) Privileged release to U.S. Government officials. Naval records
may be authenticated and released to U.S. Government officials if they
are requesting them on behalf of Federal governmental bodies, whether
legislative, executive, administrative, or judicial. For example:
(1) To a committee or subcommittee of Congress, or to either House
sitting as a whole.
(Note: Requests from Members of Congress who are not seeking records
on behalf of a Congressional Committee, Subcommittee, or either House
sitting as a whole, but on behalf of their constituents, are treated the
same as any other requester).
(2) To the Federal courts, whenever ordered by officers of the court
as necessary for the proper administration of justice.
(3) To other Federal agencies, both executive and administrative, as
determined by the head of a naval activity or designee.
In those instances, naval activities shall mark the records as
``Privileged'' and ``Exempt from Public Disclosure.'' Any special
handling instructions shall also be annotated on the records. Because
such releases are not made under the provisions of the FOIA, they do not
impact on future decisions to release/deny requests for the same records
to other requesters.
(d) Publication and public availability of special classes of
records. The requirements of 5 U.S.C. 552 that certain classes of
Department of the Navy regulatory, rulemaking, and organizational
records must be published in the Federal Register for the guidance of
the public and made available for public inspection and copying are
implemented in 32 CFR part 701, subpart C.
(e) Public affairs regulations. Subparts A, B, C, and D of this part
are intended to complement, not restrict, the conduct of Department of
the Navy public affairs, media relations, community relations and
internal relations functions and practices authorized in Secretary of
the Navy Instruction 5720.44 series, ``Department of the Navy Public
Affairs Regulations.'' Should the practices authorized in that
instruction conflict in any respect, the provisions of these subparts
shall be controlling.
(f) U.S. Navy Regulations. Release of a record to a member of the
public under FOIA shall be deemed to have occurred in the discharge of
official duties (Article 1120, U.S. Navy Regulations (1990)). Process a
request by a member of the public under the instructions outlined in
Section 3 of Chapter 11, U.S. Navy Regulations.
(g) Other directives. The following directives, and other directives
and instructions cited in part 701, to the extent they do not conflict,
provide additional information relating to subparts A, B, C, and D of
this part. Should the practices authorized in the directives conflict in
any respect, the provisions of these subparts shall be controlling.
(1) Marine Corps Manual, paragraph 1015 (NOTAL); Marine Corps Order
P5720.56, Availability to the Public of Marine Corps Records (NOTAL);
and for Headquarters, U.S. Marine Corps, HQO P5000.12, Chapter 10
(NOTAL) and HQO 5720.9 (NOTAL).
(2) Federal Personnel Manual, chapters 293, 294, 297, 335, 339, and
713 (NOTAL)--release of information from active and inactive civilian
personnel records.
(3) Manual of the Medical Department, U.S. Navy (NAVMED P-117),
Chapters 23-70 through 23-79 (NOTAL) release of information from active
and inactive medical records.
(4) JAGINST 5800.7C, Manual of the Judge Advocate General (JAGMAN),
Chapter V (NOTAL).
(h) Relationship between FOIA and the Privacy Act (PA). Not all
requesters are knowledgeable of the appropriate statutory authority to
cite when requesting records. In some instances, they may cite neither
Act, but will imply one or both Acts. For those reasons, the following
guidelines are provided to ensure that requesters receive the greatest
amount of access rights under both Acts.
(1) Requesters who seek records about themselves contained in a PA
system of records and who cite or imply PA, will have their requests
processed under the provisions of PA (see subpart F of this part).
[[Page 42]]
(2) Requesters who seek records about themselves which are not
contained in a PA system of records and who cite or imply PA, will have
their requests processed under FOIA provisions, since they have no
access under PA.
(3) Requesters who seek records about themselves which are contained
in a PA system of records and who cite or imply FOIA or both Acts will
have their requests processed under the time limits of FOIA and the
exemptions and fees of PA. That is appropriate since greater access will
be received under PA.
(4) Requesters who seek access to agency records and who cite or
imply PA and FOIA, will have their requests processed under FOIA.
(5) Requesters who seek access to agency records and who cite or
imply FOIA, will have their requests processed under FOIA.
If the requester has failed to cite the appropriate Act, naval
activities shall apprise the requester in the final response under which
Act his/her request was processed.
Sec. 701.3 Definitions.
(a) FOIA request. A written request for Department of the Navy
records, made by ``any person,'' including a member of the public (U.S.
or foreign citizen), an organization, or a business, but not including a
Federal agency or a fugitive from the law that either explicitly or
implicitly invokes 5 U.S.C. 552, Department of Defense Directives 5400.7
and 5400.7-R series, ``Department of Defense Freedom of Information Act
Program'' (see 32 CFR part 286) and/or subparts A, B, C, and D of this
part.
(b) Agency record. (1) The products of data compilation, such as all
books, papers, maps, and photographs, machine readable materials, or
other documentary materials, regardless of physical form or
characteristics, made or received by an agency of the United States
Government under Federal law or in connection with the transaction of
public business and in Department of the Navy's possession and control
at the time a FOIA request is made.
(2) The following are not included in this definition:
(i) Objects or articles, such as structures, furniture, paintings,
sculpture, three-dimensional models, vehicles, equipment, and parts of
wrecked aircraft and ships, whatever their historical value, or value as
evidence.
(ii) Administrative tools by which records are created, stored, and
retrieved, if not created or used as sources of information about
organizations, policies, functions, decisions, or procedures of a naval
activity. Normally, computer software, including source code, object
code, and listings of source and object codes, regardless of medium are
not agency records (that does not include the underlying data which is
processed and produced by such software and which may in some instances
be stored with the software). Exceptions to this position are outlined
in Sec. 701.3(b)(3).
(iii) Anything that is not a tangible or documentary record, such as
an individual's memory or oral communication.
(iv) Personal records of an individual not subject to agency
creation or retention requirements, created and maintained primarily for
the convenience of an agency employee, and not distributed to other
agency employees for their official use.
(v) Information stored within a computer for which there is no
existing computer program for retrieval of the requested information.
(3) In some instances, computer software may have to be treated as a
agency record and processed under the FOIA. Such situations are rare and
shall be treated on a case-by-case basis. Examples of when computer
software may have to be treated as an agency record are:
(i) When the data is embedded within the software and cannot be
extracted without the software. In that situation, both the data and the
software must be reviewed for release or denial under FOIA.
(ii) Where the software itself reveals information about
organizations, policies, functions, decisions, or procedures of a naval
activity, such as computer models used to forecast budget outlays,
calculate retirement system costs, or optimization models or travel
costs.
[[Page 43]]
Review exemptions (b)(4) and (b)(5) at Sec. 701.26 and Sec. 701.27 of
subpart B of this part for guidance on release determinations of
computer software.
(4) A record must exist and be in the possession and control of the
Department of the Navy at the time of the request to be considered
subject to this part and the FOIA. There is no obligation to create,
compile, or obtain a record to satisfy a FOIA request.
(5) If unaltered publications and processed documents, such as
regulations, manuals, maps, and related geophysical materials are
available to the public through an established distribution system with
or without charge, the provisions of 5 U.S.C. 552(a)(3) normally do not
apply and they need not be processed under the FOIA. Normally, documents
disclosed to the public by publication in the Federal Register also
require no processing under the FOIA. In such cases, naval activities
should direct the requester to the appropriate source to obtain the
record.
(c) Release authority. Release authorities are commanding officers
and heads of Navy and Marine Corps shore activities or their designee
that are authorized to furnish copies of records under their cognizance
for which no FOIA exemption applies.
(d) Initial Denial Authority (IDA). An official who has been granted
authority to withhold records under FOIA, either in whole or in part,
based on the FOIA exemptions. IDAs may also grant or deny requests for
reduction or waiver of fees. See Sec. 701.5 for a list of IDAs.
(e) Appellate authority. The Secretary of the Navy (SECNAV) has
delegated his appellate authority to the Navy Judge Advocate General
(NJAG) and the General Counsel (OGC) to rule on administrative appeals
of denials of FOIA requests for information under their cognizance, as
outlined in Sec. 701.10.
(f) Administrative appeal. A request by a member of the general
public, made under FOIA, asking the appellate authority to reverse the
IDA's decision to withhold all or part of a requested record or to deny
a request for waiver or reduction of fees. A requester may also file an
administrative appeal for non-response to a FOIA request within the
statutory time limits or for a ``no record'' response if he/she believes
an adequate search was not conducted.
(g) Public interest. Public interest is official information that
sheds light on a naval activity's performance of its statutory duties
because it falls within the statutory purpose of FOIA in informing
citizens about what their government is doing. That statutory purpose,
however, is not fostered by disclosure of information about private
citizens that is accumulated in various governmental files that reveals
little or nothing about an agency's or official's own conduct.
(h) Electronic data. Electronic data are those records and
information which are created, stored, and retrieved by electronic
means. This does not include computer software, which is the tool by
which to create, store, or retrieve electronic data.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29721, June 9, 1994]
Sec. 701.4 Policy.
It is Department of the Navy policy to make its records available to
requesters in accordance with FOIA. When requested, Navy and Marine
Corps activities shall assist requesters in complying with the
administrative requirements necessary to request materials sought under
the Act.
(a) Openness with the public. The public has a right to information
concerning the activities of its government. Department of the Navy
policy is to conduct its activities in an open manner and to provide the
public with a maximum amount of accurate and timely information
concerning its activities, consistent always with the legitimate public
and private interests of the American people. A Department of the Navy
record requested by a member of the public who follows rules established
by proper authority shall only be withheld when it is exempt from
mandatory public disclosure based on one or more of the nine FOIA
exemptions.
(b) Avoidance of procedural obstacles. Naval activities shall ensure
that procedural matters do not unnecessarily
[[Page 44]]
impede a requester from obtaining Department of the Navy records
promptly. Naval activities shall provide assistance to requesters to
help them understand and comply with procedures established by this
instruction. Fees shall not be used to discourage requesters (see
subpart D of this part).
(c) Prompt action on requests. When a requester complies with the
procedures established in this instruction for obtaining naval records,
the request shall receive prompt attention. A reply shall be dispatched
within 10 working days, unless a delay is authorized. If a naval
activity has a significant number of requests (i.e., 10 or more), the
requests shall be processed in order of receipt. This, however, does not
preclude a naval activity from acting on a request which can be easily
answered, regardless of its ranking within the order of receipt. A naval
activity may also expedite action on a request regardless of its ranking
within the order of receipt upon a showing of exceptional need or
urgency. Exceptional need or urgency is determined at the discretion of
the activity processing the request.
(d) Use of exemptions/discretionary release. Department of the Navy
policy is to make records publicly available, unless they qualify for
withholding under one or more of the nine FOIA exemptions (see subpart B
of this part for an in-depth review of the exemptions). Naval activities
may elect to make a discretionary release. A discretionary release to
one requester may, however, preclude the withholding of similar
information under a FOIA exemption if subsequently requested by the same
individual or someone else. Suggest the following language be included
with the discretionary release of any record that could be subject to
withholding:
The information you requested is subject to being withheld under
section (b) of the Freedom of Information Act. The release of this
material to you by the Department of the Navy is discretionary and does
not constitute a waiver of our right to claim this exemption for similar
records in the future.
Additionally, a discretionary release is generally not appropriate
for records exempt from disclosure under exemptions (b)(1)--classified;
(b)(3)--exempted by statute; (b)(4)--trade secret/proprietary; (b)(6)--
personal privacy; and (b)(7)(C)--personal information contained in
investigatory records which if released would constitute an unwarranted
invasion of privacy. Exemptions (b)(4), (b)(6), and (b)(7)(C) cannot be
claimed for information which was supplied by the requester of the
information.
(e) Public domain. Nonexempt records released under this instruction
are considered in the public domain. Exempt records released under this
instruction or other statutory or regulatory authority may be considered
to be in the public domain only when their release constitutes a waiver
of a FOIA exemption. When release does not constitute such a waiver,
such as disclosure to a properly constituted advisory committee or a
Congressional Committee, the released records do not lose their exempt
status. Also, while authority may exist to disclose records to
individuals in their official capacity, this instruction applies if the
same individual seeks the records in a private or personal capacity.
(f) Creating a record. (1) A record must exist and be in the
possession and control of the Department of the Navy at the time of the
search to be considered subject to FOIA. Mere possession of a record
does not presume departmental control; such records, or identifiable
portions, should be referred to the originating activity for direct
response to the requester. There is no obligation to create or compile a
record to satisfy a FOIA request. A naval activity may, however, compile
a new record if it is a more useful response to the requester, or less
burdensome to the naval activity than providing existing records, and
the requester does not object. The cost of creating or compiling such a
record may not be charged to the requester unless the fee for creating
the record is equal to or less than the fee which would be charged for
providing the existing record. See subpart D of this part for fees.
(2) With respect to electronic data, the issue of whether records
are actually or merely extracted from an existing database is not always
readily apparent. Consequently, when responding to FOIA requests for
electronic data
[[Page 45]]
where creation of a record, programming, or particular format are
questionable, naval activities should apply a standard of reasonableness
(i.e., if the capability exists to respond to a request, and the effort
would be a ``business as usual'' approach, then the request should be
processed; however, the request need not be processed when the
capability to respond does not exist without a significant expenditure
of resources, thus not being a normal ``business as usual'' approach).
In such instances, the requester is advised that no record exists and
the FOIA does not require agencies to create or compile a record to
satisfy a FOIA request.
(g) Reasonably segregable information. FOIA requires that all
``reasonably segregable'' information must be released when the meaning
of these portions is not distorted by deletion of the denied portions,
and when it reasonably can be assumed that a skillful and knowledgeable
person could not reasonably reconstruct the excised information. When a
record is denied in whole, the response to the requester will
specifically state that it is not reasonable to segregate portions of
the record for release.
(h) Special mail services. Naval activities are authorized to use
registered mail, certified mail, certificates of mailing, and return
receipts. However, this use should be limited to instances where it
appears advisable to establish proof of dispatch or receipt of FOIA
correspondence.
(i) Authentication of records released under FOIA. In addition to
the requirements of FOIA, records provided under FOIA shall be
authenticated when necessary to fulfill an official governmental or
other legal function. Authentication will be made with an appropriate
seal. This service is not included in the FOIA fee schedule and naval
activities may charge $5.20 for each authentication.
Sec. 701.5 Responsibility and authority.
(a) Chief of Naval Operations (CNO). CNO is designated as the
official responsible for administering and supervising the execution of
5 U.S.C. 552 and Department of Defense Directives 5400.7 and 5400.7-R
series, Department of Defense Freedom of Information Act Program (see 32
CFR part 286). CNO has designated the Assistant Vice Chief of Naval
Operations (N09B30) as principal Department of the Navy FOIA Coordinator
to:
(1) Set Department of the Navy policy on the provisions of the FOIA.
(2) Serve as principal advisor on all FOIA matters.
(3) Oversee the administration of the FOIA program, which includes
preparing the Department of the Navy Annual FOIA Report for submission
to Congress.
(4) Develop a Navy-wide FOIA training program and serve as training-
oversight manager.
(5) Conduct staff assistance visits within the Department of the
Navy to review compliance with 5 U.S.C. 552 and subparts A, B, C, and D
of this part.
(6) Set Department of the Navy policy on the marking, handling,
safeguarding and transmission of documents marked ``For Official Use
Only.''
(b) Commandant of the Marine Corps (CMC). CMC is responsible for
administering and supervising the execution of this instruction within
the Marine Corps. The Commandant has designated the Director of
Administration and Resource Management (Code AR) as the FOIA Coordinator
for Headquarters, U.S. Marine Corps.
(c) FOIA coordinator. Each addressee is responsible for implementing
and administering a FOIA program under this instruction. Each addressee
shall designate a FOIA Coordinator to:
(1) Serve as principal point of contact on FOIA matters.
(2) Provide training for activity/command personnel on the
provisions of 5 U.S.C. 552 and subparts A, B, C, and D of this part.
(3) Issue an implementing instruction which designates the
activity's FOIA Coordinator and Initial Denial Authority(ies), provides
guidance on the marking, handling, and safeguarding of documents marked
FOUO, FOIA records disposition, and FOIA processing procedures.
(4) Review internal directives, practices, and procedures, including
those for forms and records, for conformity with this instruction, when
applicable.
[[Page 46]]
(5) Compile input and submit consolidated Annual FOIA Report to
Echelon 2 FOIA Coordinator, who, in turn, will provide consolidated
report to CNO (N09B30).
(6) Review activity conformance with the marking, handling,
transporting, and safeguarding of FOUO information.
(7) Provide guidance on handling FOIA requests and the scope of the
FOIA exemptions.
(8) Review subpart C of this part and provide CNO (N09B30) with
updated information, as appropriate.
(9) Conduct staff assistance visits within command and lower echelon
commands to ensure compliance with FOIA.
(10) Echelon 2 FOIA Coordinators shall provide CNO (N09B30) with a
complete listing of all FOIA Coordinators under their jurisdiction. Such
information should include activity name and address, office code, name
of FOIA Coordinator, and commercial and autovon telephone numbers.
(d) Release Authorities. (1) The role of the release authority is to
respond to requests for documents under his/her cognizance for which no
FOIA exemption applies. Release authorities are commanding officers and
heads of all Navy and Marine Corps activities (departmental and field).
(2) Release authorities are required to coordinate with officials
having cognizance over the subject matter of the requested record, if
there is a question as to its releasability. However, if it is
determined that a requested record requires withholding, in whole or in
part, the release authority must refer the documents along with
recommendations regarding release to the initial denial authority (IDA)
in the chain of command. If geographically isolated, the release
authority may forward the request to another IDA, if so authorized by
the IDA in the chain of command.
(3) For records which are part of the Navy's Privacy Act (PA)
systems of records, the record custodian specified in the systems notice
is the appropriate authority to respond to the request.
(e) Initial Denial Authorities (IDAs). (1) The IDA role is to deny
and grant requests, either in whole or in part, for documents or records
under his or her cognizance; to grant one 10-working day formal
extension to the time limit for responding to FOIA requests; and to deny
requests to waive or reduce FOIA fees when the information sought
relates to matters within their respective geographical areas of
responsibility or chain of command.
(2) Within the Department of the Navy, the following chief
officials, their respective vice commanders, deputies, and their
principal assistants are designated as IDAs.
(i) Department of the Navy: Civilian Executive Assistants; CNO; CMC;
Chief of Naval Personnel; Commanders of the Naval Systems Commands,
Office of Naval Intelligence, Naval Security Group Command, and Naval
Computer and Telecommunications Command; Chief, Bureau of Medicine and
Surgery; Auditor General of the Navy; Naval Inspector General; Director,
Office of Civilian Personnel Management; Chief of Naval Education and
Training; Commander, Naval Reserve Force; Chief of Naval Research;
Commander, Naval Meteorology and Oceanography Command; heads of DON
Staff Offices, Boards, and Councils; Flag Officers. NJAG and his Deputy,
and the OGC and his Deputies, are excluded from this grant of
authorization. While the NJAG and OGC are not Initial Denial
Authorities, they are authorized to further delegate the authority
conferred here to other senior officers/officials within NJAG and OGC.
(ii) Initial Denial Authorities may choose to delegate initial
denial authority to those major activities under their control that
receive voluminous requests. Such action is discretionary and should be
limited.
(iii) For the shore establishment:
(A) All officers authorized under Article 22, Uniform Code of
Military Justice (UCMJ), or designated in section 0120, Manual of the
Judge Advocate General, to convene general courts-martial.
(B) Director, Naval Criminal Investigative Service and Deputy
Commander, Naval Legal Service Command.
(iv) In the Operating Forces: All officers authorized by Article 22,
UCMJ, or designated in section 0120, Manual of
[[Page 47]]
the Judge Advocate General (JAGINST 5800.7C), to convene general courts-
martial.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29721, June 9, 1994]
Sec. 701.6 Format and procedures for requesting information under FOIA.
(a) Minimum requirements. In an effort to eliminate any unnecessary
burdens on members of the public, the Department of the Navy does not
require requesters to complete a specific form to file a FOIA request. A
request can be written or typed, but at a minimum should:
(1) Be in writing and indicate expressly, or clearly imply, that it
is a request under 5 U.S.C. 552, Department of Defense Directives 5400.7
and 5400.7-R, Department of Defense Freedom of Information Act Program
(see 32 CFR part 286), or subparts A, B, C, and D of this part. Verbal
requests are not honored.
(2) Contain a reasonable description of the particular record(s)
requested to enable naval personnel to locate or identify the particular
record(s) desired with a reasonable amount of effort.
(3) Contain a clear statement of the requester's willingness to pay
all fees or those up to a specified amount if the fees are expected to
exceed the minimum fee waiver threshold, or provide satisfactory
evidence that he or she is entitled to a waiver or reduction of such
fees.
(b) Identification of addressees. To expedite processing of
requests, requesters should submit written requests directly to the
naval activity having cognizance over the records and clearly show all
addressees within the Department of the Navy, Department of Defense, or
other Federal agency to whom that or a similar request was also sent.
That procedure will reduce processing time requirements and ensure
better inter and intra-agency coordination. Naval activities are under
no obligation to establish procedures to receive hand delivered
requests.
(c) Reasonably describe the record(s) being sought. Identification
of the record being sought is the responsibility of the requester. The
requester must provide a description of the document that enables the
Government to locate the record with a reasonable amount of effort. FOIA
does not authorize ``fishing expeditions.'' If a request does not
contain a reasonable description, the naval activity shall advise the
requester of the defect and when possible assist the requester in
reframing the request. Naval activities are not obligated to act on the
request until the requester responds with more specificity. When
practical, naval activities shall assist the requester in identifying
the records sought and in reformulating the request to reduce the burden
on the agency in complying with FOIA.
(1) The following guidelines are provided for ``fishing expedition''
requests and are based on the principle of reasonable effort.
Descriptive information about a record may be divided into two broad
categories--file related and event related. File related includes
information on the type of record (e.g., memorandum, letter, etc.),
title, index citation, subject area, date the record was created, and
originator. Event related includes the circumstances resulting in the
record's creation or date and circumstances surrounding the event the
record covers.
(2) Generally, a record is reasonably described when the description
contains sufficient file related information to permit an organized non-
random search of the activity's filing arrangements and existing
retrieval systems, or when the record contains sufficient event related
information needed to conduct such a search.
(3) The following guidelines deal with requests for personal
records. Ordinarily, when personal identifiers are provided only in
connection with a request for records concerning the requester, only
records retrievable by personal identifiers need be searched. Search for
such records may be conducted under PA procedures (see subpart F of this
part). No record may be denied that is releasable under FOIA.
(4) The previous guidelines notwithstanding, the decision of a naval
activity concerning reasonableness of description must be based on
knowledge of its files. If the description enables naval personnel to
locate the record with reasonable effort, the description
[[Page 48]]
is adequate. However, if a naval activity receives a request not
``reasonably described'' it shall notify the requester of the defect and
provide guidance on specificity required to begin a search.
(d) Fees. (1) Fees may not be used to discourage requesters. If fees
are expected to exceed the minimum fee waiver threshold of $15.00, the
requester is required to address fees in the request, i.e., a
willingness to pay all fees or those up to a specified amount, or
request a waiver/reduction of fees.
(2) To assist naval activities in determining assessable fees,
requesters are encouraged to identify the fee category for which they
wish to be considered. If the requester believes he/she qualifies for a
waiver/reduction of fees, requesters are required to provide specific
justification regarding qualification for a waiver so that decision can
be rendered. See Subpart D of this Part 701 for further information on
fees.
(e) Treatment of requests which do not meet the minimum
requirements. (1) In those instances when a request does not meet the
minimum requirements, naval activities should nonetheless return the
requests within 10 working days and advise the requester of how to
perfect the request. Naval activities may contact the requester by
telephone to refine the request. For example, if a requester has failed
to ``reasonably describe'' the records being sought, he/she may be asked
to provide identifying data such as location, timeframe, originator,
background information, etc., to enable a search. If the requester has
failed to mention fees and fees are applicable, the requester should be
provided an estimate of the cost involved in processing the request.
When practicable, naval activities are encouraged to contact requesters
to clarify what they are seeking.
(2) If a request fails to qualify within this instruction but the
requested record is available and releasable in its entirety, the
responding official may provide a copy of the record if he or she
determines it to be in the best interest of the activity. This provision
is within the sole and exclusive discretion of the responsible official
of the activity concerned and does not create an exception to or grounds
for waiver of the minimum requirements.
Sec. 701.7 Procedures for processing FOIA requests.
(a) Control system. All requests for records which cite or imply the
FOIA must be entered into a formal control system, either manual or
computerized, that is designed to track the request from receipt to
response. Information contained in the tracking system should at a
minimum include the name of the requester, the date of the request, the
date the request was received, suspense date, and the date the response
was made. This will ensure that the requester is apprised of the status
of his/her request within 10 working days and will provide required
information should the requester challenge the processing of his/her
request.
(1) Receipt controls. At a minimum, date stamp the request upon
receipt, establish a suspense control record and follow-up procedures,
and conspicuously stamp or label the request ``FREEDOM OF INFORMATION
ACT REQUEST'' to indicate priority handling throughout processing. Naval
activities are encouraged to assign a FOIA Case Number for each request
and to apprise the requester of the number assigned. This number is an
effective tool for tracking, filing, and retrieving the request.
(2) Forwarding controls. As a rule, requests forwarded to another
activity for action should have the letter of referral and envelope
conspicuously stamped or labeled ``FREEDOM OF INFORMATION ACT REQUEST''
and a record shall be kept of the request, and the date and activity to
which it was forwarded.
(b) Time limits. Once a request has been received by a naval
activity having cognizance over the requested record(s), that activity
has 10 working days (excluding Saturdays, Sundays, and legal holidays)
to issue a letter which advises the requester of the action to be taken
on the request (i.e., documents are denied; documents are released;
documents will be released within a specific timeframe). If a naval
activity is unable to comply with the request within the 10 working day
timeframe, then a formal or informal
[[Page 49]]
time extension must be pursued and a letter forwarded to the requester
advising of the extension.
(1) A formal time extension letter is issued in those instances
where an activity requires up to an additional 10 working days to
respond to a request because of the need to:
(i) Search. The need to search for and collect records located in
whole or part at places separate from the activity processing the
request;
(ii) Examine. The need to search for, collect, and examine a
substantial number of records responsive to a request; or,
(iii) Consult. The need to consult with another naval activity or
federal agency with a substantial interest in the determination of the
request.
(2) A formal time extension response must be issued by the IDA
within 10 working days of receipt of the request, describe the
circumstance(s) for the delay, and indicate the anticipated date for a
substantive response.
(3) In those instances where it appears the request might be
ultimately denied, in whole or in part, the appellate authority (i.e.,
NJAG or OGC) may be consulted by expeditious means prior to authorizing
a formal extension.
(4) In those instances when it is anticipated the normal statutory
time limits (including the statutory time extension) are insufficient to
provide a response, the IDA shall acknowledge the request in writing
prior to the expiration of the normal statutory time limits (including
the statutory time extension), describe the circumstance(s) requiring
the delay and indicate the anticipated date for the substantive
response. The requester shall be advised that an appeal may be made to
the cognizant appellate authority within 60 calendar days or await a
substantive determination by a specified date. It shall be made clear
that such an agreement does not prejudice the right of the requester to
appeal an adverse substantive determination.
(5) In those unusual cases where the statutory time limits cannot be
met and no informal extension has been agreed to, the inability to
process any part of the request within the specified time should be
explained to the requester, with notification that the delay may be
treated as an initial denial with a right to appeal, or that the
requester may agree to await a substantive response by an anticipated
date. It should be made clear that any such agreement does not prejudice
the right of the requester to appeal the initial decision after it is
made. Further, naval activities should be advised that the requester
still retains the right to treat this delay as a defacto denial with
full administrative remedies.
(6) Informal extension of time limits--a recommended alternative is
to negotiate an informal extension of time with the requester. The
advantages include the ability to agree on a mutually acceptable date to
respond that exceeds 10 working days, and the letter of confirmation
does not require the signature of an IDA. Additionally, it does not
impact on the additional days the appellate authority may take when
responding to an appeal.
(c) Decision to release records. Release authorities may release
records under their cognizance which do not qualify for denial under
FOIA exemptions. Such responses should be made within the applicable
time limits of FOIA and should be processed as follows:
(1) If the requested records are releasable in their entirety,
release authorities should forward the records to the requester and
advise of any applicable fees.
(2) If the requested records are releasable in their entirety but
not yet available, the release authority should notify the requester the
request has been approved and the requested records will be forwarded by
a specified date.
(3) If the request for examination of records is approved, notify
the requester of the time and place.
(d) Processing documents originated by/created for another activity.
(1) If an official receives a request for records that he or she holds,
but which were originated by another naval activity, the official shall
normally coordinate with that activity prior to referring the FOIA
request and copies of the requested documents to the originator for
direct response. The naval activity that initially received the request
is responsible for notifying the requester
[[Page 50]]
of the referral. The originating naval activity shall not release or
deny such records without prior consultation with the referring naval
activity.
(2) If an official receives a request for records that he or she
holds, but were created for another naval activity or government agency,
the official shall refer the FOIA request and copies of the requested
documents to that activity/agency for direct response, after
coordination and concurrence. The activity/agency may have an equally
valid interest in withholding the record as the naval activity that
created it. In such referrals, the naval activity should provide a
recommendation concerning release with the referral. The naval activity
that initially received the request is responsible for notifying the
requester of the referral.
(e) Processing misdirected requests. Requesters are not always aware
of the correct activity to address a FOIA request.
(1) A request received by a naval activity having no records
responsive to the request shall only be referred to another naval
activity if the activity contacts the naval activity and confirms its
cognizance over the requested information. When a member of the public
complies with the procedures established in this instruction for
obtaining records, the request shall receive prompt attention and a
reply dispatched within 10 working days, unless a delay is authorized.
Each naval activity is responsible for developing procedures to ensure
the expeditious handling, prompt retrieval, and review of requested
records. The 10 working day time limit commences upon receipt of the
request by the cognizant activity.
(2) If the cognizant official is unable to respond to the requester
within the statutory time limit, he or she may seek a formal or informal
extension of time.
(3) If a naval activity has a significant number of requests (e.g.,
10 or more), the requests generally will be processed in order of
receipt. But a naval activity may commence action on an easily answered
request, regardless of its ranking within the order of receipt.
(f) Decision to deny records in whole or in part. To deny a
requested record that is in the possession and control of the Department
of the Navy, it must be determined that the record is included in one or
more of the nine categories of records exempt from mandatory disclosure
as provided by the FOIA and addressed at subpart B of this part.
(1) Because release authorities cannot deny information, they must
forward responsive documents along with their release determination to
an IDA for consideration and response to the requester. In those
instances, the release authority will apprise the requester that his/her
request and responsive documents were referred to the activity having
cognizance over the documents for a release determination and direct
response to the requester. The referral to an IDA shall include a copy
of the request, documents responsive to the request, recommendation on
partial/total denial, and supporting rationale for the exemption(s)
claimed.
(2) When an IDA receives a referral from a subordinate activity
recommending a FOIA request be denied in whole or in part, or receives a
FOIA request for documents under his/her cognizance, the IDA shall take
one of the following actions within 10 working days:
(i) Deny or release the requested information. If an IDA determines
the record contains information which is not releasable under FOIA, and
any releasable information contained in the record is not reasonably
segregable from the non-releasable information, notify the requester of
the exemption(s) claimed and provide procedures to be followed should
the requester decide to appeal the determination to appellate authority.
(ii) If unable to respond within the applicable time limits, explain
the reason(s) for the delay to the requester, with notification that he
or she may treat this delay as an initial denial with a right to submit
an administrative appeal to the cognizant appellate authority, or that
the requester may agree to await a substantive determination by a
specified date. It shall be made clear that any such agreement does not
prejudice the right of the requester to appeal an adverse substantive
determination.
[[Page 51]]
(iii) If an IDA determines that the requester's claimed entitlement
to waiver/reduction of fees is not warranted, IDAs shall notify the
requester of such determination, provide the reason(s) for the denial,
and advise the requester of the right to appeal the determination to the
cognizant appellate authority within 60 calendar days. If the requester
appeals the denial to waive/reduce fees, the release of the records may
be withheld until the fee is paid or the appellate authority grants a
waiver/reduction of fees.
(3) IDAs are responsible for maintaining copies of initial denials
in a form suitable for rapid retrieval, periodic statistical
compilation, and management evaluation.
(g) Excising documents--(1) Classified documents. Since FOIA
requires that all reasonably segregable portions of documents be
released to the requester, there will be instances when portions of
documents which contain classified markings are subject to release. In
these instances, naval activities shall cross through the classified
markings that appear at the top and bottom of the document and cross
through any classified paragraph markings that are being released. This
practice is necessary to eliminate any appearance that a ``classified''
document was released.
(2) Unclassified documents. Naval activities are encouraged to
``blank out'' and bracket the denied information and annotate the
exemption(s) claimed. This practice will permit the requester to easily
identify information being withheld and the basis for withholding.
(h) ``Other Reasons'' for not releasing a record. Besides denying a
records in whole or in part, there are six ``other reasons'' for not
releasing a record. In most instances, these ``other reason'' responses
do not constitute a denial of information and therefore do not require
the signature of an IDA. They are:
(1) Transferred request. Requester advised that his/her request and/
or requested documents have been transferred to another naval activity
or federal agency having cognizance over the requested information for
action and direct response.
(2) Lack of records. Requester advised that a search of files held
by the naval activity has resulted in a failure to locate any responsive
records. Such response now requires that a requester be advised of his/
her right to appeal the adequacy of the search to the cognizant
appellate authority. The response does not normally require the
signature of an IDA.
(3) Failure of requester to reasonably describe records being
sought. Requester advised that his/her request requires specificity with
regard to description of the records being sought to enable the naval
activity to conduct a reasonable search. Such responses generally
apprise the requester of the kind of specificity required.
(4) Other failures by requester to comply with published rules and/
or directives. Requester advised that he/she has failed to comply with
established rules/directives, such as failure to agree to pay fees, and
therefore the request is being returned for refinement.
(5) Withdrawal. Requester contacted the naval activity by telephone
or letter and advised he/she wishes to cancel the request or appeal.
(6) Not an agency record. Requester advised the information/records
he/she seeks is not an agency record as defined by Sec. 701.3 of Subpart
A.
(i) Consultation/coordination. The Department of the Navy processes
thousands of FOIA requests annually. Because there is no central
repository for records and no central release/denial authority, proposed
responses shall be properly coordinated and appropriate officials
consulted prior to a response being made to the requester. Specifically:
(1) Naval activities and federal agencies with a substantial
interest in the subject matter of the requested records should be
consulted prior to release or denial of information.
(2) Public affairs officers or the Chief of Information (CHINFO)
should be consulted when a FOIA request is received from a news media
representative, the records requested are considered newsworthy, or a
denial of a request is expected to be publicly challenged. CHINFO should
be promptly notified of any release having evident public affairs
implications and a copy
[[Page 52]]
of the request and response should be provided.
(3) The appropriate JAG attorney or field counsel should be
consulted on the interpretation and application of this instruction
where a denial of a request is expected to be judicially challenged.
(j) Response to the requester. (1) Initial determinations to release
or deny a record normally shall be made and the decision reported to the
requester within 10 working days after receipt of the request by the
official designated to respond. When the time for response becomes an
issue, the official responsible for replying shall acknowledge to the
requester the date of the receipt of the request.
(2) When a decision is made to release a record, a copy should be
made available promptly to the requester once he or she has complied
with preliminary procedural requirements.
(3) When a request for a record is denied in whole or in part, the
official designated to respond shall inform the requester in writing of
the IDA's name, rank, and title, shall cite the specific exemption(s)
that apply in sufficient detail, and provide the requester with the name
and address of the appellate authority, should the requester desire to
file an appeal. When claiming exemption ``(b)(1),'' IDAs shall to the
extent reasonably feasible, provide the requester with a summary of the
applicable criteria for classification. Additionally, the marking ``For
Official Use Only'' on a requested document does not constitute a basis
for denial. Rather, it alerts the reviewer that the document may contain
information which is protectible under exemptions (b)(2) through (b)(9).
It is up to the reviewing official to advise the requester of the
applicable exemptions and to release all ``reasonably segregable''
information.
(k) Fees. The final response to the requester should contain
information on the fee status of the request. Generally, information
shall reflect one or more of the following conditions:
(1) ``The fees for processing your request total $ . Please forward
your check or money order made payable to the Treasurer of the United
States to this office within 30 days.'' Subpart D of this part addresses
when fees may be collected in advance of forwarding the documents.
(2) All fees have been received.
(3) Fees have been waived because they fall below the automatic fee
waiver threshold.
(4) A request for waiver/reduction of fees has been denied.
(5) Fees have been waived or reduced from a specified amount to
another specified amount because the rationale provided in support of a
request for waiver has been accepted.
(6) Fees due in a specified amount have not been received (see
subpart D of this part for specific information on FOIA fees and fee
rates for technical data).
Sec. 701.8 Records requiring special handling.
The following actions shall be taken on requests for:
(a) Classified records. (1) If a naval activity receives a request
for information whose existence or nonexistence is itself classifiable
under Executive Order 12356, 50 U.S.C. 401, the naval activity shall
refuse to confirm or deny the existence or nonexistence of the requested
information.
(2) If a naval activity receives a request for documents in its
custody that were classified by another agency, or which contains
information classified by another agency, it shall refer the request and
copies of the requested documents to the originating agency for
processing, and may, after consultation with the originating agency
inform the requester of the referral. Referred records shall be
identified consistent with security requirements. In cases where the
originating agency determines they can neither confirm nor deny the
existence or nonexistence of the requested information, the referring
agency shall deny the request.
(3) If a naval activity receives a request for classified records or
information originated by another naval activity, for which the head of
the activity is not the classifying authority under OPNAV Instruction
5520.1 series, ``Department of the Navy Information and
[[Page 53]]
Personnel Security Program Regulation,'' the request, copies of the
requested documents, and a recommendation concerning release (if
appropriate) shall promptly be readdressed and forwarded to the official
having classification authority for the subject matter. That official
will make a release determination concerning the classified information
and notify the requester, or the activity originally receiving the
request, in 10 working days of that determination. The naval activity
that initially received the request has responsibility for notifying the
requester of the referral. Referred records shall only be identified to
the extent consistent with security requirements.
(b) Naval Investigative Service (NIS)/Naval Criminal Investigative
Service (NCIS) reports. The Director, Naval Criminal Investigative
Service, is the release/denial authority for all NIS/NCIS reports.
Accordingly, a request for a NIS/NCIS report shall be promptly
readdressed to NCIS and the requester notified of the referral. Direct
liaison with NCIS prior to the referral is encouraged.
(c) Naval Inspector General reports. (1) The Naval Inspector General
(NAVINSGEN) is the release/denial authority for all investigations and
inspections conducted by or at the direction of NAVINSGEN and for any
records held by any command that relate to Navy hotline complaints that
have been referred to the NAVINSGEN. Accordingly, such requests shall be
promptly readdressed and forwarded to NAVINSGEN and the requester
notified of the referral. Requests for local command Inspector General
reports which have not been referred to the NAVINSGEN may be released by
the local command.
(2) The Deputy Naval Inspector General for Marine Corps Matters
(DNIGMC) is the release authority for all investigations conducted by
the DNIGMC. Requests for local Marine Corps command Inspector General
reports shall be coordinated with the DNIGMC.
(d) Manual of the Judge Advocate General (JAGMAN) investigative
reports and courts-martial records. NJAG is the release/denial authority
for all JAGMAN investigative reports and courts-martial records.
Requests for JAGMAN investigative reports and courts-martial records
shall be promptly readdressed and forwarded to NJAG and the requester
notified of the referral.
(e) Mishap Investigation Reports (MIRs). The Commander, Naval Safety
Center (COMNAVSAFECEN) is the release/denial authority for all requests
for mishap investigation reports. Requests for mishap investigation
reports shall be promptly readdressed and forwarded to COMNAVSAFECEN and
the requester notified of the referral.
(f) Naval Audit Service reports. The Auditor General of the Navy is
the release/denial authority for all Naval Audit Service reports.
Requests for audit reports shall be promptly readdressed and forwarded
to the Auditor General and the requester notified of the referral.
(g) Technical documents controlled by distribution statements. A
request for a technical document to which ``Distribution Statement B, C,
D, E, F, or X'' (see OPNAVINST 5510.1 series) is affixed shall be
promptly readdressed and forwarded to the ``controlling DOD office'' for
review and release determination. The naval activity that initially
received the request is responsible for notifying the requester of the
referral. Direct liaison with the cognizant official prior to referral
is encouraged.
(h) Records originated by other government agencies. When a request
for records originated by an agency outside the Department of the Navy
is received, promptly readdress and forward the request along with
copies of the requested documents to the cognizant agency and notify the
requester of the referral. That may be accomplished by sending a copy of
the referral letter, less attachments, to the requester. The 10 working
day time limit begins when the request is received by the cognizant
agency. If additional guidance is required, contact CNO (N09B30) or CMC
(ARAD), as appropriate. Direct liaison with the cognizant agency is
encouraged to ensure expeditious handling of the request.
(i) National Security Council (NSC)/White House Documents. The
Director, NSC is the release/denial authority for NSC documents or White
House files. Requesters seeking NSC or White
[[Page 54]]
House documents should be notified to write directly to the NSC or White
House for such documents. Department of the Navy documents in which NSC
or the White House has a concurrent reviewing interest shall be
forwarded to the Office of the Assistant Secretary of Defense (Public
Affairs) (OASD(PA)), ATTN: Directorate for Freedom of Information and
Security Review (DFOISR), which shall effect coordination with the NSC
or White House, and return the documents to the originating activity
after review and a release determination is made. NSC or White House
documents discovered in a naval activity's files which are responsive to
a FOIA request shall be forwarded to the Director, Freedom of
Information and Security Review, OASD(PA), for subsequent coordination
with the NSC or White House and returned to the naval activity for a
release determination. Additionally, in such instances an information
copy should be provided to CNO (N09B30).
(j) Naval Telecommunications Procedures (NTP) publications. The
Commander, Naval Computer and Telecommunications Command
(COMNAVCOMTELCOM) is the release/denial authority for NTP publications.
Requests for NTP publications shall be promptly readdressed and
forwarded to COMNAVCOMTELCOM and the requester notified of the referral.
Direct liaison with COMNAVCOMTELCOM prior to referral is encouraged.
(k) Naval Nuclear Propulsion Information (NNPI). The Director, Naval
Nuclear Propulsion Program (N00N/NAVSEA 08) is the release/denial
authority for all information concerning NNPI. Naval activities
receiving such requests are responsible for searching their files for
responsive records. If no documents are located, the naval activity
should respond to the requester and provide N00N with a copy of the
request and response. If documents are located, the request, responsive
records, and a recommendation regarding release should be promptly
readdressed to the CNO (N00N/NAVSEA 08), who will ensure proper
coordination and review.
(l) Medical quality assurance documents. The Chief, Bureau of
Medicine and Surgery (BUMED) is the release/denial authority for all
naval medical quality assurance documents as defined by Title 10, United
States Code, Section 1102. Requests for medical quality assurance shall
be promptly readdressed and forwarded to BUMED and the requester
notified of the referral.
(m) Records of a non-U.S. Government source. (1) When a request is
received for a record that was obtained from a non-U.S. Government
source, or for a record containing information clearly identified as
provided by a non-U.S. Government source, the source of the record or
information (known as ``the submitter'' for proprietary data under FOIA
exemption (b)(4)) shall be promptly notified of the request and afforded
reasonable time (e.g., 30 calendar days) to present any objections
concerning release, unless it is clear that there can be no valid basis
for objection. That practice is required for FOIA requests for data not
deemed clearly exempt from disclosure under exemption (b)(4). If, for
example, the record or information was provided with actual or
presumptive knowledge of the non-U.S. Government source and established
that it would be made available to the public upon request, there is no
obligation to notify the source. Any objections shall be evaluated. The
final decision to disclose information claimed to be exempt under
exemption (b)(4) shall be made by an official equivalent in rank to the
official who would make the decision to withhold that information under
FOIA. When a substantial issue has been raised, the naval activity may
seek additional information from the source of the information and
afford the source and requester reasonable opportunities to present
their arguments on legal and substantive issues prior to making an
agency determination. When the source advises he or she will seek a
restraining order or take court action to prevent release of the record
or information, the requester shall be notified and action on the
request normally shall not be taken until after the outcome of that
court action is known. When the requester brings court action to compel
disclosure, the submitter shall be promptly notified of this action.
[[Page 55]]
(2) The coordination provisions of this paragraph also apply to any
non-U.S. Government record in the possession and control of the
Department of the Navy from multinational organizations, such as the
North Atlantic Treaty Organization (NATO) and North American Air Defense
(NORAD), or foreign governments. Coordination with foreign governments
will be made through the Department of State.
(n) Government Accounting Office (GAO) documents. On occasion, the
Department of the Navy receives FOIA requests for GAO documents
containing Department of the Navy information, either directly from
requesters, or as referrals from the GAO. Since the GAO is outside the
Executive Branch and therefore not subject to FOIA, all FOIA requests
for GAO documents containing Department of the Navy information will be
processed by the Department of the Navy. In those instances when a
requester seeks a copy of an unclassified GAO report, naval activities
may apprise the requester of its availability from the Director, GAO
Distribution Center, ATTN: DHISF, P.O. Box 6015, Gaithersburg, MD 20877-
1450 under their cash sales program.
(o) Mailing lists. Frequent FOIA requests are received for mailing
lists of the home addresses and/or duty station addresses of naval
personnel.
(1) A list of home addresses is not releasable without the
individuals' consent because it is a clearly unwarranted invasion of the
individuals' personal privacy, and therefore, may be withheld from
disclosure under 5 U.S.C. 552(b)(6), see subpart B of this part.
(2) Unclassified information about service members may be withheld
when disclosure ``would constitute a clearly unwarranted invasion of
personal privacy'' under FOIA (exemption (b)(6) applies). Disclosure of
lists of names and duty addresses or duty telephone numbers of members
assigned to units that are stationed in foreign territories, routinely
deployable, or sensitive, constitutes a clearly unwarranted invasion of
personal privacy. Disclosure of such information poses a security threat
to those service members because it reveals information about their
degree of involvement in military actions in support of national policy,
the type of naval unit to which they are attached, and their presence or
absence from their households. Release of such information aids the
targeting of service members and their families by terrorists or other
persons opposed to implementation of national policy. Only an
extraordinary public interest in disclosure of this information can
outweigh the need and responsibility of the Navy to protect the
tranquility and safety of service members and their families who
repeatedly have been subjected to harassment, threats, and physical
injury. Units covered by this policy are:
(i) Those units located outside the 50 states, District of Columbia,
Commonwealth of Puerto Rico, Guam, U.S. Virgin Islands, and American
Samoa.
(ii) Routinely deployable units. Those units that normally deploy
from homeport or permanent station on a periodic or rotating basis to
meet operational requirements or participate in scheduled exercises.
This includes routinely deployable ships, aviation squadrons,
operational staffs, and all units of the Fleet Marine Force (FMF).
Routinely deployable units do not include ships undergoing extensive
yard work or whose primary mission is support of training, e.g., yard
craft and auxiliary aircraft landing training ships.
(iii) Units engaged in sensitive operations. Those units primarily
involved in training for or conduct of covert, clandestine, or
classified missions, including units primarily involved in collecting,
handling, disposing, or storing of classified information and materials.
This also includes units engaged in training or advising foreign
personnel. Examples of units covered by this exemption are nuclear power
training facilities, SEAL Teams, Security Group Commands, Weapons
Stations, and Communication Stations.
(3) Except as otherwise provided, lists containing names and duty
addresses of DOD personnel, both military and civilian, who are assigned
to units in the Continental United States (CONUS) and U.S. territories
shall be released regardless of who has initiated the request.
(4) Exceptions to this policy must be coordinated with the CNO
(N09B30) or
[[Page 56]]
CMC (ARAD) prior to responding to requests, including those from Members
of Congress. The foregoing policy should be considered when weighing the
releasability of the address or phone number of a specifically named
individual.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29721, June 9, 1994]
Sec. 701.9 For Official Use Only (FOUO).
FOUO is a marking which is placed on documents to alert the holder
that they contain information that may be withheld under exemptions
(b)(2) through (b)(9) of the FOIA. Because FOUO is not a security
classification, exemption (b)(1) does not apply.
(a) Prior FOUO application. The prior application of FOUO is not a
conclusive basis for withholding a record requested under FOIA. When
such a record is requested, it shall be evaluated to determine whether
FOIA exemptions apply in withholding all or portions of the record.
Information which is reasonably segregable and does not fall under a
FOIA exemption(s) must be released to the requester.
(b) Historical papers. Records such as notes, working papers, and
drafts retained as historical evidence of Department of the Navy actions
have no special status apart from FOIA exemptions.
(c) Time to mark records. The marking of records at the time of
their creation provides notice of FOUO content and facilitates review
when a record is requested under the FOIA. Records requested under FOIA
that do not bear such markings, shall not be assumed to be releasable
without examination for the presence of information that requires
continued protection and qualifies as exempt from public release.
(d) Distribution statement. Information in a technical document that
requires a distribution statement under OPNAVINST 5510.1 series,
``Department of the Navy Information and Personnel Security Program
Regulation,'' shall bear that statement and may be marked FOUO, as
appropriate.
(e) Location of markings. (1) An unclassified document that contains
FOUO information shall have FOR OFFICIAL USE ONLY typed, stamped, or
printed in capital letters centered at the bottom on the outside of the
front cover (if any), on each page containing FOUO information, and on
the outside of the back cover (if any).
(2) An unclassified directive that contains FOUO information shall
have FOR OFFICIAL USE ONLY typed, stamped, or printed in capital letters
centered at the bottom on the outside of the front cover (if any), on
each page of the directive top and bottom, and on the outside of the
back cover (if any).
(3) Within a classified document, an individual page that contains
both FOUO and classified information shall be marked at the top and
bottom with the highest security classification of information appearing
on the page.
(4) Within a classified or unclassified document, an individual page
that contains FOUO information, but does not contain classified
information, shall have FOR OFFICIAL USE ONLY typed, stamped, or printed
in capital letters centered at the top and bottom edge of the page.
(5) Other records, such as photographs, films, cassette tapes,
movies, or slides, shall be marked FOR OFFICIAL USE ONLY so that a
recipient or viewer knows the status of the information.
(6) Unclassified automatic data processing (ADP) media with FOUO
information shall be marked as follows:
(i) An unclassified deck of punched or aperture cards with FOUO
information shall be marked as a single document with FOR OFFICIAL USE
ONLY marked on the face of the first and last card, and on the top of
the deck.
(ii) An unclassified magnetic tape, cassette, or disk pack that
contains FOUO information shall have FOR OFFICIAL USE ONLY marked
externally on a removable label. The resulting hard copy report or
computer printout shall reflect the FOR OFFICIAL USE ONLY marking on the
top and bottom of each page. It may be accomplished by using a
programmable header or marking the hard copy manually.
(7) FOUO material transmitted outside the Department of the Navy
requires an expanded marking to explain the significance of the FOUO
marking. This may be accomplished by typing or stamping the following
statement on
[[Page 57]]
the record prior to transfer: ``This document contains information
EXEMPT FROM MANDATORY DISCLOSURE under the FOIA.
Exemption(s)...apply(ies).''
(f) Release and transmission procedures. Until FOUO status is
terminated, the following release and transmission instructions apply:
(1) FOUO information may be disseminated within Department of the
Navy activities and between officials of the Department of the Navy and
contractors and grantees who conduct official business for the
Department of the Navy or Department of Defense. Recipients shall be
made aware of the status of such information, and transmission shall be
by means that preclude unauthorized public disclosure. Transmittal
documents shall call attention to the presence of FOUO attachments.
(2) Department of the Navy holders of FOUO information may convey
such information to officials in other departments or agencies of the
executive and judicial branches to fulfill a governmental function,
subject to any limitations contained in the Privacy Act (PA) (see
Subpart F of this Part 701), pertaining to disclosure of personal
information from PA record systems. When transmitting these records,
ensure they are marked FOR OFFICIAL USE ONLY, and the recipient is
advised the information has been exempt from public disclosure under
FOIA and that special handling instructions do or do not apply. For
purposes of disclosing records, Department of Defense is the ``agency.''
(3) Records released to Congress or the GAO should be reviewed to
see if the information warrants FOUO status. If not, prior FOUO markings
shall be removed. If the withholding criteria are met, the records shall
be marked FOUO and the recipient provided an explanation for such
exemption and marking. Alternatively, the recipient may be requested,
without marking the record, to protect it against public disclosure for
reasons that are explained.
(4) Each part of electronically transmitted messages containing FOUO
information shall be marked appropriately. Unclassified messages
containing FOUO information shall contain the abbreviation ``FOUO''
before the beginning of the text. Such messages shall be transmitted per
communications security procedures in ACP-121 (United States Supplement
1, ``Communication Instructions'') for FOUO information.
(g) Transporting FOUO information. Records which contain FOUO
information shall be transported in a manner that precludes disclosure
of contents. If not commingled with classified information, FOUO
information may be sent via first-class mail or parcel post. Bulky
shipments that otherwise qualify under postal regulations may be sent
fourth-class mail.
(h) Safeguarding FOUO information. (1) During normal working hours,
records determined to be FOUO shall be placed in an out-of-sight
location if the work area is accessible to non-governmental personnel.
(2) At the close of business, FOUO records shall be stored to
preclude unauthorized access. Filing such material with other
unclassified records in unlocked files, desks, or similar containers is
adequate when U.S. Government or government contractor internal building
security is provided during non-duty hours. When internal security
control is not exercised, locked buildings or rooms normally provide
adequate after-hours protection. If such protection is not considered
adequate, FOUO material shall be stored in locked receptacles, such as
file cabinets, desks, or bookcases. FOUO records that are subject to the
provisions of the PA (see Subpart F of this Part 701) shall meet the
safeguards for that group of records as outlined in the PA systems
notice.
(3) Guidance for safeguarding media marked FOUO and processed by an
ADP system, activity, or network is addressed in OPNAVINST 5239.1
series, ``Department of the Navy Automatic Data Processing Security
Program.''
(i) Termination. The originator or other competent authority, such
as an IDA or appellate authority, will terminate FOUO markings or status
when the information no longer requires protection from public
disclosure. When FOUO status is terminated, all known holders shall be
notified as practical. Upon notification, holders shall remove
[[Page 58]]
the FOUO markings. Records in file or storage need not be retrieved
solely for that purpose.
(j) Disposal. (1) Non-record copies of FOUO material (including hard
copy reports and computer printouts) may be destroyed by tearing each
copy into pieces to preclude reconstructing, and disposed in regular
trash containers. When local circumstances or experience indicates that
this destruction method is insufficient, local authorities may direct
other methods while considering the additional expense balanced against
the sensitivity of FOUO information in the records. FOUO information on
unclassified magnetic storage media shall be disposed of by overwriting
the media one time with any one character. Storage areas within an ADP
system (internal memory, buffers, registers, and similar storage areas)
may be cleared by using a hardware clear switch, a power-on reset cycle,
or a program designated to overwrite the storage area.
(2) Record copies of FOUO documents shall be disposed of following
the disposal standards established under SECNAVINST 5212.5C (Records
Disposal Manual) for the particular kind of record.
(k) Unauthorized disclosure. The unauthorized disclosure of FOUO
records does not constitute an unauthorized disclosure of Department of
the Navy information classified for security purposes. However,
appropriate administrative or disciplinary action shall be taken against
those responsible. Unauthorized disclosure of FOUO information that is
protected by the PA may result in civil and criminal sanctions against
responsible person(s). The naval activity that originated the FOUO
information shall be informed of its unauthorized disclosure.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29722, June 9, 1994]
Sec. 701.10 FOIA appeals/judicial actions.
(a) How to file an appeal. The following guidelines should be
followed by individuals wishing to appeal a denial of information, a
request for waiver/reduction of fees, or a ``no record'' response:
(1) The appeal must be received by the cognizant appellate authority
(i.e., NJAG or OGC) within 60 days of the date of the response.
(2) The appeal letter must be in writing and requesters should
provide a copy of the IDA's response when filing a written appeal to the
Navy's appellate authorities (OGC or NJAG, depending on subject matter),
regarding an IDA's decision that a record is exempt in whole or in part
or because a naval activity denied a request for a waiver/reduction of
fees. The requester should include a copy of the denial letter and
provide supporting rationale on why the appeal should be granted. The
requester may appeal a ``no records'' response if he/she believes an
adequate search of files was not conducted.
(b) Time of receipt. The time limits for responding to a FOIA appeal
commence when the appeal reaches the office of the appellate authority
having jurisdiction over the record. Misdirected appeals should be
referred expeditiously to the proper appellate authority.
(c) Appellate authorities.--(1) Responsibility and authority. NJAG
and OGC are authorized to adjudicate appeals made to the Secretary of
the Navy (SECNAV) on denials of requests for copies of Department of the
Navy records or portions thereof, or refusals to waive or reduce fees on
matters within their respective areas of cognizance. That includes the
authority to release or withhold records, or portions thereof, waive or
reduce fees, and to act as required by SECNAV for appeals under 5 U.S.C.
552 and subparts A, B, C, and D of this part. NJAG and OGC are further
authorized to delegate this authority to a designated Assistant NJAG and
the Principal Deputy OGC or Deputy General Counsel (Logistics),
respectively, under such terms and conditions as they may deem
appropriate.
(2) Respective areas of cognizance. As delineated in SECNAV
Instructions 5430.25D and 5430.27A (NOTAL), the respective areas of
cognizance of NJAG and OGC for providing legal services for the
Department of the Navy are:
(i) NJAG. In addition to military law, all matters except those
falling under the cognizance of OGC.
(ii) OGC. Business and commercial law aspects of:
(A) Acquisition, custody, management, transportation, taxation, and
[[Page 59]]
disposition of real and personal property and the procurement of
services, including the fiscal, budgetary, and accounting aspects
thereof; excepting, however, tort claims and admiralty claims arising
independently of contracts, and matters relating to the naval petroleum
reserves;
(B) Operations of the Military Sealift Command, excepting tort and
admiralty claims arising independently of contracts;
(C) Office of the Comptroller of the Navy;
(D) Naval Computer and Telecommunications Command;
(E) Patents, inventions, trademarks, copyrights, royalty payments,
and similar matters;
(F) Procurement of foreign military sales, co-production and
cooperative research and development and related agreements, NATO
standardization agreements, and matters relating to the Arms Exports
Control Act;
(G) Department of the Navy litigation before the Armed Services
Board of Contract Appeals; and,
(H) Civilian personnel law matters on employing present and former
Navy civilian employees; and
(I) Environmental matters.
(d) Addresses for appeals. Appeals should be addressed to the
cognizant appellate authority. The addresses of the SECNAV's designees
are:
(1) Judge Advocate General, Navy Department, 200 Stovall Street,
Alexandria, VA 22332-2400.
(2) General Counsel of the Navy, 2211 Jefferson Davis Highway,
Arlington, VA 22244-5103.
(e) Time limits for filing FOIA appeals. (1) The requester should
file the appeal so it reaches the appellate authority not later than 60
calendar days from the date of the initial denial letter. At the end of
60 calendar days, the case may be considered closed; however, the
requester may file litigation for denial of the appeal. If the requester
was provided several incremental determinations for a single request,
the time limit for filing the appeal begins when the requester receives
the last response. Records which are denied shall be retained for a
period of six years to meet the statute of limitations of claims
requirement.
(2) Final determinations on appeals shall normally be made within 20
working days after receipt.
(f) Delay in responding to a FOIA appeal. If additional time is
needed due to unusual circumstances, the final decision may be delayed
for the number of working days (not to exceed 10), that were not
utilized as additional time for responding to the initial request. If a
determination cannot be made and the requester is notified within 20
working days, the appellate authority shall acknowledge to the requester
in writing the date of receipt of the appeal, circumstances for the
delay, and anticipated date for substantive response. Requesters may be
advised that if the delay exceeds the statutory extension or is for
reasons other than ``unusual circumstances,'' they may consider their
administrative remedies exhausted. Further, requesters should be advised
that they may wait for a substantive response without prejudicing their
right to judicial remedy. The appellate authority shall continue to
process the case expeditiously whether or not the requester seeks a
court order for release of the record(s). A copy of any response
provided subsequent to filing of a complaint shall be forwarded to the
Department of Justice.
(g) Action upon receipt. Upon receipt of a FOIA appeal, NJAG or OGC
shall inform the cognizant IDA of receipt of the appeal. The appellate
authority will seek documentation from the IDA from which to make a
determination. Normally, the IDA will be requested to forward a copy of
the initial request, a copy of the response, a copy of excised and
unexcised documents, and supporting rationale for continued withholding
(if applicable) to the appellate authority within 10 working days.
(h) Consultation/coordination. (1) The Assistant for Naval
Investigative Matters and Security (OP-09N) may be consulted to resolve
inconsistencies or disputes involving classified records.
(2) Direct liaison with appropriate officials within the Department
of the Navy and other interested federal agencies is authorized at the
discretion of the appellate authority, who also coordinates with
appropriate Department
[[Page 60]]
of Defense officials and Justice as prescribed by directives of the
Secretary of Defense (SECDEF).
(3) SECNAV or appropriate Civilian Executive Assistants shall be
consulted and kept advised of cases with unusual implications. CHINFO
shall be consulted and kept advised on cases having public affairs
implications.
(i) Response to the requester. (1) When an appellate authority makes
a determination to release all or a portion of records withheld by an
IDA, a copy of the records released should be promptly forwarded to the
requester after compliance with any procedural requirements, such as
payment of fees.
(2) Final denial to provide a requested record or to approve a
request to waive or reduce fees must be made in writing by the appellate
authority. The response shall include the following:
(i) An explanation of the basis for the denial including the
applicable statutory exemption(s) invoked.
(ii) If the final denial is based in whole or in part on a security
classification, the explanation shall include a determination that the
record meets the cited criteria and rationale of the governing Executive
Order, is based on a declassification review, and the review confirmed
the continuing validity of the security classification.
(iii) The response shall advise the requester that the material
denied does not contain reasonably segregable portions.
(iv) The response shall advise the requester of the right to
judicial review.
(v) The final denial shall include the name and title of the
official responsible for the denial.
(vi) An information copy, less attachments, should be provided to
CNO (N09B30).
(j) Judicial actions. A requester may seek an order from a U.S.
District Court to compel release of a record after exhaustion of
administrative remedies, i.e., the IDA or appellate authority denied
release or when a naval activity failed to respond within the prescribed
time limits.
(1) Burden of proof. The naval activity has the burden of proof to
justify its refusal to provide a record. The court evaluates the case de
novo (anew) and may examine any requested record in camera (in private)
to determine whether the denial was justified.
(2) Actions by the court. (i) When a naval activity fails to make a
determination within the statutory time limits but can demonstrate due
diligence in exceptional circumstances, the court may retain
jurisdiction and allow the naval activity additional time to complete
its review of the records.
(ii) If the court determines that the requester's complaint is
substantially correct, it may require the United States to pay
reasonable attorney fees and other litigation costs.
(iii) When the court orders the release of denied records, it may
also issue a written finding that the circumstances surrounding the
withholding raise questions whether civilian personnel acted arbitrarily
and capriciously. In these cases, the special counsel of the Merit
Systems Protection Board will conduct an investigation to determine
whether or not disciplinary action is warranted. The naval activity is
obligated to take the action recommended by the special counsel.
(iv) When a naval activity fails to comply with the court order to
produce records that have been withheld improperly, the court may punish
the responsible official for contempt.
(3) Non-United States Government source information. A requester may
bring suit in a U.S. District Court to compel the release of records
obtained from a non-government source or records based on information
obtained from a non-government source. The source shall be notified
promptly of the court action. If the source advises that it is seeking
court action to prevent release, the naval activity shall defer
answering or otherwise pleading to the complaint as long as permitted by
the Court or until a decision is rendered in the court action initiated
by the source, whichever is sooner.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29722, June 9, 1994]
[[Page 61]]
Sec. 701.11 Publication, indexing, and public inspection of certain classes of records.
Secretary of the Navy Instruction 5720.45\2\, ``Indexing, Public
Inspection, and Federal Register Publication of Department of the Navy
Directives and other Documents Affecting the Public,'' assigns the heads
of Department of the Navy components, Commanders of the Naval Systems
Commands, and the Military Sealift Command responsibilities for
executing the following additional requirements on records under their
respective cognizance:
---------------------------------------------------------------------------
\2\ Copies may be obtained if needed, from the Commanding Officer,
U.S. Naval Publications and Forms Center, 5801 Tabor Avenue,
Philadelphia, PA 19120-5099.
---------------------------------------------------------------------------
(a) Publication of certain classes of Department of the Navy
organizational, regulatory, policy, procedural, interpretative, and
substantive records on a current basis in the Federal Register, for the
guidance of the public.
(b) Maintenance of current indexes of various classes of records
which are precedential for decisions affecting members of the public,
and publication of such indexes at least quarterly or making them
available to the public by other authorized means.
(c) Making the above records and indexes regularly available for
public inspection and copying at naval locations.
Subpart B--FOIA Exemption Guidelines
Source: 56 FR 66586, Dec. 24, 1991, unless otherwise noted.
Editorial Note: At 56 FR 66586, 66590, Dec. 24, 1991, Secs. 701.21--
701.32 (subparts B and C) were revised. Section 701.31 appears at both
subpart B and subpart C. The Agency will publish a correction in the
Federal Register at a later date.
Sec. 701.21 General.
(a) The FOIA is a disclosure statute whose goal is an informed
citizenry. Because of this records are considered to be releasable
unless they contain information that qualifies for withholding under one
or more of the nine FOIA exemptions. The exemptions are identified as 5
U.S.C. 552 number (b)(1) through (b)(9).
(b) Even though a document may contain information which qualifies
for withholding under one or more FOIA exemptions, FOIA requires that
all ``reasonably segregable'' information be provided to the requester,
unless the segregated information would have no meaning. In other words,
redaction is not required when it would reduce the balance of the text
to ``unintelligible gibberish.''
(c) The decision to withhold information in whole or in part based
on one or more of the FOIA exemptions requires the signature of an
Initial Denial Authority (IDA). See paragraph (e) of Sec. 701.5 for a
listing of IDAs.
(d) The following types of records may be withheld in whole or in
part from public disclosure under FOIA, unless otherwise prescribed by
law. A discretionary release to one requester may preclude the
withholding of the same records under a FOIA exemption if the record is
subsequently requested by someone else. In applying exemptions, the
identity of the requester and the purpose for which the record is sought
are irrelevant with the exception that an exemption may not be invoked
where the particular interest to be protected is the requester's
interest.
Sec. 701.22 Exemption (b)(1).
Those properly and currently classified in the interest of national
defense or foreign policy, as specifically authorized under criteria
established by Executive Order (i.e., Executive Order 12356) and
implemented by regulations. Although material is not classified at the
time of the FOIA request, a classification review may be undertaken to
determine whether the information should be classified. The procedures
in OPNAVINST 5510.1H, ``Department of the Navy Information and Personnel
Security Program Regulation'' apply. In addition, this exemption shall
be invoked when the following situations are apparent:
(a) The fact of the existence or nonexistence of a record would
itself reveal classified information. In that situation, naval
activities shall neither confirm nor deny the existence or nonexistence
of the record being requested.
[[Page 62]]
A ``refusal to neither confirm nor deny'' response must be used
consistently, not only when a record exists, but also when a record does
not exist. Otherwise, the pattern of using a ``no record'' response when
a record does not exist, and a ``refusal to neither confirm nor deny''
when a record does exist will itself disclose national security
information. That kind of response is referred to as a ``Glomar''
denial.
(b) Information that concerns one or more of the classification
categories established by Executive order and OPNAVINST 5510.1 series,
``Department of the Navy Information and Personnel Security Program
Regulation,'' shall be classified if its unauthorized disclosure, either
by itself or in the context of other information, reasonably could be
expected to cause damage to the national security.
Sec. 701.23 Procedures for processing classified documents.
(a) The threshold for claiming exemption (b)(1) is that the document
is properly and currently classified. Because of that, naval activities
should normally refer requests for classified documents to the activity
that originally classified the information. If the referring activity
has an interest in the matter, they should also provide the receiving
activity with a release determination. The receiving activity will then
conduct a declassification review and apprise the requester of their
determination, i.e., documents are properly and currently classified and
therefore must be denied; portions of the documents are releasable; etc.
Only an official authorized under Sec. 701.5 to deny requests and who
has cognizance over the classified matters in the records, may deny
records. Such denial must be based on an approved security
classification guide issued under OPNAVINST 5510.1 series or OPNAVINST
5513 series; resource document originated by another naval activity or
government agency; an original classification determination with written
justification for classification, and the justification remains valid;
or, not readily identifiable, but classification is believed warranted
because of classification criteria in OPNAVINST 5510.1 series,
``Department of the Navy Information and Personnel Security Program.''
(b) Material that is not classified at the time of the FOIA request
may undergo a classification review to determine whether the information
should be classified (ensure strict compliance with the provisions of
OPNAVINST 5510.1 series regarding classification of information after
receipt of a FOIA request).
(c) Executive Order 12356 provides that ``information shall be
classified as long as required by national security considerations, and
time frame no longer triggers automatic declassification.''
(d) If the original classifier of a record receives a request for
the record and upon review determines that there is no basis for
continued classification, either in whole or part, the record or
portions of it should be declassified. The document also undergoes
another review to determine whether any other FOIA exemptions apply to
the declassified information.
(e) In some instances, the compilation of unclassified information
may result in the classification of the record as a whole. This is
called the ``mosaic'' approach--the concept that apparently harmless
pieces of information, when assembled together could reveal a damaging
picture.
Sec. 701.24 Exemption (b)(2).
Those related solely to the internal personnel rules and practices
of an agency. This exemption has two profiles, high (b)(2) and low
(b)(2).
(a) Records qualifying under high (b)(2) are those containing or
constituting statutes, rules, orders, manuals, directives, and
instructions the release of which would allow circumvention of the
records thereby substantially hindering the effective performance of a
significant function of the Department of the Navy. Examples include:
(1) Those operating rules, guidelines, and manuals for Department of
the Navy investigators, inspectors, auditors, or examiners that must
remain privileged in order for the naval activity to fulfill a legal
requirement.
(2) Personnel and other administrative matters, such as examination
questions and answers used in training
[[Page 63]]
courses or in the determination of the qualifications of candidates for
employment, entrance on duty, advancement, or promotion.
(3) Computer software, the release of which would allow
circumvention of a statute or Department of the Navy rules, regulations,
orders, manuals, directives, or instructions. In this situation, the use
of the software must be closely examined to ensure the possibility of
circumvention exists.
(4) Security classification guides.
(b) Records qualifying under the low (b)(2) profile are those that
are trivial and housekeeping in nature for which there is no legitimate
public interest or benefit to be gained by release, and it would
constitute an administrative burden to process the request in order to
disclose the records. Examples include, rules of personnel's use of
parking facilities or regulation of lunch hours, statements of policy as
to sick leave, and trivial administrative data such as file numbers,
mail routing stamps, initials, data processing notations, brief
references to previous communication, and other like administrative
markings.
Sec. 701.25 Exemption (b)(3).
Those concerning matters that a statute specifically exempts from
disclosure by terms that permit no discretion on the issue, or under
criteria established by that statute for withholding or referring to
particular types of matters to be withheld. Authorization or requirement
may be found in the statute itself or in Executive orders or regulations
authorized by, or in implementation of a statute. Examples include:
(a) National Security Agency Information Exemption, Pub. L. 86-36,
Section 6.
(b) Confidentiality of identity of employee who complains to the IG
(5 U.S.C. App., Inspector General Act of 1978, section 7).
(c) Ethics in Government Act of 1978--Protecting Financial
Disclosure Reports of Special Government Employees (5 U.S.C. App.,
Ethics in Government Act of 1978, section 207(a) (1) and (2)).
(d) Civil Service Reform Act--Representation Rights and Duties,
Labor Unions, 5 U.S.C. 7114(b)(4).
(e) Authority to Withhold Unclassified Special Nuclear Weapons
Information, 10 U.S.C. 128. This statute prohibits the unauthorized
dissemination of unclassified information pertaining to security
measures, including security plans, procedures, and equipment for the
physical protection of special nuclear material.
(f) Authority to Withhold Unclassified Technical Data with Military
or Space Application, 10 U.S.C. 130.
(g) Action on Reports of Selection Boards, 10 U.S.C. 618.
(h) Confidentiality of Medical Quality Records: Qualified Immunity
Participants, 10 U.S.C. 1102.
(i) Confidentiality of Financial Records, 12 U.S.C. 3403.
(j) Communication Intelligence, 18 U.S.C. 798.
(k) Confidential Status of Patent Applications, 35 U.S.C. 122.
(l) Secrecy of Certain Inventions and Withholding of Patents
(specific applicable section(s) must be involved, 35 U.S.C. 181 through
188.
(m) Confidentiality of Inventions Information, 35 U.S.C. 205.
(n) Procurement Integrity, 41 U.S.C. 423.
(o) Confidentiality of Patient Records, 42 U.S.C. 290dd-2.
(p) Information regarding Atomic Energy: Restricted and Formerly
Restricted Data (Atomic Energy Act of 1954), specific applicable
exemptions must be invoked (e.g., 42 U.S.C. 2161 through 2168).
(q) Protection of Intelligence Sources and Methods, 50 U.S.C.
403(d)(3).
(r) Protection of identities of US undercover intelligence officers,
agents, informants and sources, 50 U.S.C. 421.
(s) Examples of statutes which DO NOT qualify under exemption (b)(3)
include: 5 U.S.C. 552a, Privacy Act; 17 U.S.C. 101 et seq., Copyright
Act; 18 U.S.C. 793, Gathering, Transmitting or Losing Defense
Information to Aid Foreign Governments; 18 U.S.C. 1905, Trade Secrets
Act; and 28 U.S.C. 1498, Patent and Copyright Cases.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29722, June 9, 1994]
[[Page 64]]
Sec. 701.26 Exemption (b)(4).
Those containing trade secrets or commercial or financial
information that a naval activity receives from a person or organization
outside the Government with the understanding that the information or
record will be retained on a privileged or confidential basis. Records
within the exemption must contain trade secrets, or commercial or
financial records, the disclosure of which is likely to cause
substantial harm to the competitive position of the source providing the
information, impair the government's ability to obtain necessary
information in the future, or impair some other legitimate government
interest. Examples include:
(a) Commercial or financial information received in confidence in
connection with loans, bids, contracts, or proposals, as well as other
information received in confidence or privileged such as trade secrets,
inventions and discoveries, or other proprietary data.
(b) Statistical data and commercial or financial information
concerning contract performance, income, profits, losses, and
expenditures, if offered and received in confidence from a contractor or
potential contractor.
(c) Personal statements given in the course of inspections,
investigations, or audits, when such statements are received in
confidence from the individual and retained in confidence because they
reveal trade secrets or commercial or financial information normally
considered confidential or privileged.
(d) Financial data provided in confidence by private employers in
connection with local wage surveys used to fix and adjust pay schedules
applicable to the prevailing wage rate for employees within the
Department of the Navy.
(e) Scientific and manufacturing processes or developments
concerning technical or scientific data or other information submitted
with an application for a research grant, or with a report while
research is in progress.
(f) Technical or scientific data developed by a contractor or
subcontractor exclusively at private expense, or developed in part with
federal funds and in part at private expense, where the contractor or
subcontractor retains a legitimate proprietary interest in the data
under 10 U.S.C. 2320-2321 and DOD Federal Acquisition Regulation
Supplement (DFARS), subpart 27.4. Technical data developed exclusively
with federal funds may be withheld under exemption (b)(3) if it meets
the criteria of 10 U.S.C. 130.
(g) Computer software which is copyrighted under the Copyright Act
of 1976 (17 U.S.C. 106), the disclosure of which would have an adverse
impact on the potential market value of a copyrighted work.
Note: The status of unit prices in awarded in government contracts, once
a controversial issue, has become more settled with recent court
decisions. The courts have held that disclosure of unit prices would not
directly reveal confidential proprietary information, such as a
company's overhead, profit rates, or multiplier, and that the
possibility of competitive harm was thus too speculative.
Sec. 701.27 Exemption (b)(5).
Those records containing internal advice, recommendations, and
subjective evaluations, as contrasted with factual matters, that are
reflected in records pertaining to the decision-making process of an
agency, whether between agencies or between Department of Defense and
Department of the Navy components, except as provided in Sec. 701.27
number (b) through (e). Also exempted are records pertaining to the
attorney-client privilege and the attorney work-product privilege.
(a) Examples include:
(1) Nonfactual portions of staff papers, to include after-action
reports and situation reports containing staff evaluations, advice,
opinions, or suggestions.
(2) Advice, suggestions, or evaluations prepared on behalf of
Department of the Navy individual consultants or by boards, committees,
councils, groups, panels, conferences, commissions, task forces, or
other similar groups formed for the purpose of obtaining advice and
recommendations.
(3) Nonfactual portions of evaluations by Department of the Navy
personnel of contractors and their products.
[[Page 65]]
(4) Information of a speculative, tentative, or evaluative nature on
proposed plans to procure, lease, or otherwise acquire and dispose of
materials, real estate, facilities, or functions, when such information
would provide undue or unfair competitive advantage to private personal
interests or would impede legitimate government functions.
(5) Trade secret or other confidential research development, or
commercial information owned by the Government, where premature release
is likely to affect the Government's negotiating position or other
commercial interests.
(6) Records that are exchanged among agency personnel and between
Department of the Navy, Department of Defense, or other agencies in
preparation for anticipated administrative proceeding by an agency or
litigation before any federal, state, or military court, as well as
records that qualify for the attorney-client privilege.
(7) Portions of official reports of inspection, reports of the
Inspector Generals, audits, investigations, or surveys pertaining to
safety, security, of the internal management, administration, or
operation of one or more naval activities, when these records have
traditionally been treated by courts as privileged against disclosure in
litigation.
(8) Computer software meeting the standards of Sec. 701.3(b)(3)
which is deliberative in nature, the disclosure of which would inhibit
or chill the decision making process. In that situation, the use of
software must be closely examined to ensure its deliberative nature.
(9) Planning, programming, and budgetary information which is
involved in the defense planning and resource allocation process.
(b) If any such intra- or interagency record or reasonably
segregable portion of such record would be made available routinely
through the ``discovery process'' (the legal process by which litigants
obtain information from each other relevant to the issues in a trial or
hearing) in the course of litigation with Department of the Navy, such
record, should not be withheld even though discovery has not been sought
in actual litigation. If, the information could only be made available
through the discovery process by special order of the court based on the
needs of a litigant balanced against the interests of the Department of
the Navy in maintaining its confidentiality, the record or document need
not be made available under this instruction. Consult with legal counsel
to determine whether exemption (b)(5) material would be routinely made
available through the discovery process.
(c) Intra- or interagency memoranda or letters that are factual, or
those reasonably segregable portions that are factual, are routinely
available through ``discovery'' and shall be made available to a
requester, unless the factual material is otherwise exempt from release,
inextricably intertwined with the exempt information, so fragmented as
to be uninformative, or so redundant of information already available to
the requester as to provide no new substantive information.
(d) A direction or order from a superior to a subordinate contained
in internal communication cannot be withheld from a requester if it
constitutes policy guidance or a decision, as distinguished from a
discussion of preliminary matters or a request for information or advice
that would compromise the decision-making process.
(e) An internal communication on a decision subsequently made a
matter of public record must be made available to a requester when the
rationale for the decision is expressly adopted or incorporated by
reference in the record containing the decision.
Sec. 701.28 Exemption (b)(6).
Information in personnel and medical files, and similar files, that
if disclosed to the requester would result in a clearly unwarranted
invasion of personal privacy. Release of information about an individual
contained in a Privacy Act (PA) system of records that would constitute
a clearly unwarranted invasion of privacy is prohibited, and could
subject the releaser to civil and criminal penalties.
(a) Examples of files other than personnel and medical files
containing similar personal information include:
(1) Those compiled to evaluate or adjudicate the suitability of
candidates
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for civilian employment or membership in the Armed Forces, and the
eligibility of individuals (civilian, military, or contractor employees)
for security clearances, or for access to particularly sensitive
classified information.
(2) Files containing reports, records, and other material pertaining
to personnel matters in which administrative action, including
disciplinary action, may be taken.
(b) Home addresses are normally not releasable without the consent
of the individuals concerned. In addition, lists of Department of the
Navy military and civilian personnel's names and duty addresses who are
assigned to units that are sensitive, routinely deployable, or stationed
in foreign territories can constitute a clearly unwarranted invasion of
personal privacy.
(1) Privacy interest. A privacy interest may exist in personal
information even though the information has been disclosed at some place
and time. If personal information is not freely available from sources
other than the Federal Government, a privacy interest exists in its
nondisclosure. The fact that the Federal Government expended funds to
prepare, index and maintain records on personal information, and the
fact that a requester invokes FOIA to obtain these records indicates the
information is not freely available.
(2) Published telephone directories, organizational charts, rosters
and similar materials for personnel assigned to units that are
sensitive, routinely deployable, or stationed in foreign territories are
withholdable under exemption (b)(6).
(c) This exemption is relevant to a request for information that is
intimate to an individual or that possibly could have adverse effects
upon that individual or his or her family if disclosed. Subpart F of
this Part 701 lists several examples of non-derogatory information about
the official character of a naval member or employee that can routinely
be disclosed to a member of the public without constituting a clearly
unwarranted invasion of personal privacy of the individual concerned.
(d) Individuals' personnel, medical, or similar files may be
withheld from them or their designated legal representative only to the
extent consistent with PA.
(e) When determining whether a release is ``clearly unwarranted,''
the public interest in release must be balanced against the sensitivity
of the privacy interest threatened. For example, lists of names and duty
addresses of Department of the Navy personnel (civilian and military)
assigned to units that are sensitive, routinely deployable, or stationed
in foreign territories must be withheld because release could aid in the
targeting of Department of the Navy employees and their families by
terrorists. See paragraph (p) of Sec. 701.8 regarding requests for
mailing lists.
(f) When withholding information solely to protect the personal
privacy of the subject of the record, information should not be withheld
from that individual or from his or her designated representative. The
personal privacy of others discussed in that record may constitute a
basis for deleting reasonably segregable portions of the record even
when providing it to the subject of the record. This exemption shall not
be exercised in an attempt to protect the privacy of a deceased person
but may be used to protect the privacy of the deceased person's family.
(g) Individual's personnel, medical, or similar file may be withheld
from them or their designated legal representative only as consistent
with SECNAVINST 5211.5C, ``Personal Privacy and Rights of Individuals
Regarding Records Pertaining to Themselves.''
(h) A clearly unwarranted invasion of the privacy of the persons
identified in a personnel, medical, or similar record may constitute a
basis for deleting those reasonably segregable portions of that record,
even when providing it to the subject of the record. When withholding
personal information from the subject of the record, legal counsel
should first be consulted.
Sec. 701.29 Exemption (b)(7).
Records or information compiled for law enforcement purposes, (i.e.,
civil, criminal, or military law, including
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the implementation of Executive orders or regulations issued pursuant to
law). This exemption may be invoked to prevent disclosure of documents
not originally created for, but later gathered for law enforcement
purposes.
(a) This exemption applies, however, only to the extent that
production of such law enforcement records or information:
(1) Could reasonably be expected to interfere with enforcement
proceedings (5 U.S.C. 552(b)(7)(A));
(2) Would deprive a person of the right to a fair trial or an
impartial adjudication (5 U.S.C. 552(b)(7)(B));
(3) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy of a living person, including surviving
family members of an individual identified in such a record (5 U.S.C.
552(b)(7)(C));
(i) This exemption also applies when the fact of the existence or
nonexistence of a responsive record would itself reveal personally
private information, and the public interest in disclosure is not
sufficient to outweigh the privacy interest. In this situation, naval
activities shall neither confirm nor deny the existence or non-existence
of the record being requested.
(ii) A refusal to ``neither confirm nor deny'' response must be used
consistently, not only when a record exists, but also when a record does
not exist. Otherwise, the pattern of using a ``no records'' response
when a record does not exist and a ``refusal to neither confirm nor
deny'' when a record does exist will itself disclose personally private
information.
(iii) Refusal to ``neither confirm nor deny'' should not be used
when the person whose personal privacy is in jeopardy has provided the
requester with a waiver of his or her privacy rights; or, the person
whose personal privacy is in jeopardy is deceased, and the agency is
aware of that fact.
(4) could reasonably be expected to disclose the identity of a
confidential source, including a source within the DON, a state, local,
or foreign agency or authority, or any private institution which
furnishes information on a confidential basis; could disclose
information furnished from a confidential source and obtained by a
criminal law enforcement authority in a criminal investigation or by an
agency conducting a lawful national security intelligence investigation
(5 U.S.C. 552 (b)(7)(D));
(5) Would disclose techniques and procedures for law enforcement
investigations or prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions, if such disclosure could
reasonably be expected to risk circumvention of the law (5 U.S.C.
552(b)(7)(E)); or,
(6) Could reasonably be expected to endanger the life or physical
safety of any individual (5 U.S.C. 552(b)(7)(F)).
(b) Examples include:
(1) Statements of witnesses and other material developed during the
course of the investigation and all materials prepared in connection
with related government litigation or adjudicative proceedings.
(2) The identity of firms or individuals investigated for alleged
irregularities involving contracting with Department of Defense or
Department of the Navy when no indictment has been obtained nor any
civil action filed against them by the United States.
(3) Information obtained in confidence, expressed or implied, in the
course of a criminal investigation by a criminal law enforcement agency
or office within Department of Defense, or a lawful national security
intelligence investigation conducted by an authorized agency or office
within Department of Defense. National security intelligence
investigations include background security investigations conducted for
the purpose of obtaining affirmative or counterintelligence information.
(c) The right of individual litigants to investigate records
currently available by law.
(d) When the subject of an investigative record is the requester of
the record, it may be withheld only as authorized by SECNAVINST 5211.5C,
``Personal Privacy and Rights of Individuals Regarding Records
Pertaining to Themselves.''
(e) Exclusions. Excluded from this exemption are the following two
situations:
[[Page 68]]
(1) Whenever a request is made which involves access to records or
information complied for law enforcement purposes, and the investigation
or proceeding involves a possible violation of criminal law where there
is reason to believe that the subject of the investigation or proceeding
is unaware of its pendency, and the disclosure of the existence of the
records could reasonably be expected to interfere with enforcement
proceedings, naval activities may, during only such times as those
circumstances continue, treat the records or information as not subject
to exemption 7. In such situation, the response to the requester will
state no records were found.
(2) Whenever informant records maintained by a criminal law
enforcement organization within DON under the informant's name or
personal identifier, the naval activity may treat the records as not
subject to exemption 7, unless the informant's status as an informant
has been officially confirmed. If it is determined that the records are
not subject to exemption 7, the response to the requester will state no
records were found.
Sec. 701.30 Exemption (b)(8).
Exempts those records contained in or related to examination,
operation, or condition reports prepared by, on behalf of, or for the
use of an agency responsible for the regulation or supervision of
financial institutions.
Sec. 701.31 Exemption (b)(9).
Exempts those records containing geological and geophysical
information and data, including maps, concerning wells.
Subpart C--Addresses for Department of the Navy Records and Locations
for Public Inspection
Source: 56 FR 66590, Dec. 24, 1991, unless otherwise noted.
Editorial Note: At 56 FR 66586, 66590, Dec. 24, 1991, Secs. 701.21--
701.32 (subparts B and C) were revised. Section 701.31 appears at both
subpart B and subpart C. The Agency will publish a correction in the
Federal Register at a later date.
Sec. 701.31 Addresses for requests for Department of the Navy records.
The following addresses delineate the location of commonly requested
information. Members of the public are encouraged to write directly to
the official having cognizance over the record(s), as it will expedite
processing. When the official having custody of the record is not known,
the request should be addressed to the originating official or the
official having primary responsibility for the subject matter involved.
The following are the most commonly requested types of records:
(a) Audit reports. Send requests for internal audit matters to the
Auditor General of the Navy, P.O. Box 1206, Falls Church, VA 22041-0206.
(b) Chaplain Corps. Send requests for religious affairs matters to
the Chief of Chaplains, Navy Department, Washington, DC 20370-2000.
(c) Civilian personnel records. (1) Send requests for personnel
records of current civilian employees, or those separated from Federal
employment less than 30 days, to the employing installation marked for
the attention of the civilian personnel officer.
(2) Send requests for individuals formerly employed by the
Department of the Navy, or separated from Federal employment for more
than 30 days, to the Director, National Personnel Records Center,
(Civilian Personnel Records), 111 Winnebago Street, St. Louis, MO 63118.
(d) Contractual/procurement records and related matters. (1) Send
requests for copies of Navy procurement directives and Defense Federal
Acquisition Regulations (DFARs) to the Superintendent of Documents, U.S.
Government Printing Office, Washington, DC 20402.
(2) Send requests for copies of current contracts to the contracting
officer or head of the procurement activity when known. If unknown,
submit requests for Navy contracts to the Chief of Naval Operations
(N09B30), 2000 Navy Pentagon, Washington, DC 20350-2000, and Marine
Corps contracts to the Deputy Chief of Staff for Installations and
Logistics, Headquarters U.S. Marine Corps, 2 Navy Annex, Washington, DC
20380-0001.
[[Page 69]]
(e) Courts-martial records. (1) Send requests for records of trial
by general courts-martial, or special courts-martial which resulted in a
bad conduct discharge, or involving commissioned officers to the Judge
Advocate General, Code 20, 200 Stovall Street, Alexandria, VA 22332-
2400.
(2) Send requests for records of trial by summary courts-martial or
special courts-martial not involving a bad conduct discharge to the
officer having supervisory authority in the review process.
(f) Naval Inspector General Reports. Send requests for Navy hotline
complaints and all other investigations and inspections conducted by the
NAVINSGEN to the Naval Inspector General, Building 200, room 100, 901 M
Street SE., Washington, DC 20374-5006. Send requests for local command
Inspector General reports to the local IG office.
(g) Investigative records. (1) Send requests for NCIS investigatory
records and related matters to the Director, Naval Criminal
Investigative Service, Washington Navy Yard, Building 111, 901 M Street
SE., Washington, DC 20388-5380.
(2) Send requests for JAG Manual investigative reports to the Judge
Advocate General (Code 33), Navy Department, 200 Stovall Street,
Alexandria, VA 22332-2400.
(3) Send requests for mishap investigative reports to Commander,
Naval Safety Center, 375 A Street, Norfolk, VA 23511-4399.
(h) Legal matters. (1) General Counsel legal matters. Those relating
to the acquisition, custody, management, transportation, taxation, and
disposition of real and personal property, and the procurement of
services, including the fiscal, budgetary, and accounting aspects
thereof, excepting, however, tort claims and admiralty claims arising
independently of contract, and matters relating to the naval petroleum
reserves; operations of the Military Sealift Command, excepting tort and
admiralty claims arising independently of contract; the Office of the
Comptroller of the Navy; procurement matters in the field of patents,
inventions, trademarks, copyrights, royalty payments, and similar
matters, including those in the Defense Federal Acquisition Regulations
(DFARs), and Navy procurement directives; and, industrial security
claims and litigation should be directed to the Office of Counsel of the
concerned activity. If unknown, submit to the General Counsel of the
Navy, 2211 Jefferson Davis Highway, Arlington, VA 22344-5103.
(2) Judge Advocate General legal matters. In addition to military
law, all matters except those outside the jurisdiction of the General
Counsel should be directed to the Judge Advocate General, 200 Stovall
Street, Alexandria, VA 22332-2400.
(i) Medical records. (1) Send requests for inpatient medical
treatment records of active duty Navy and Marine Corps personnel and
their dependents to the medical treatment facility where the patient is
or was treated. The records are held for two years and then retired to
the National Personnel Records Center, 9700 Page Avenue, St. Louis, MO
63132-5100.
(2) Send requests for outpatient medical treatment records of active
duty Navy and Marine Corps personnel and their dependents to the
military treatment facility attached to the command at which they are
assigned.
(3) Send requests for outpatient medical records of Navy personnel
separated (discharged, retired, or deceased) for less than 4 months to
the Commanding Officer, Naval Reserve Personnel Center, New Orleans, LA
70149-7800. After four months, send requests to Director, National
Personnel Records Center, (Military Personnel Records), 9700 Page
Avenue, St. Louis, MO 63132-5100. Send requests for dependents'
outpatient records to the last medical facility where treatment was
provided if within 2 years of sponsor's release/separation from the
service. After the 2 years, send requests to Director, National
Personnel Records Center, (Military Personnel Records), 9700 Page
Avenue, St. Louis, MO 63132-5100.
(4) Send requests for outpatient medical records of Marine Corps
personnel separated (discharged, retired, or deceased) for less than
four months to Director, Marine Corps Reserve Support Center, 10950 El
Monte Street, Overland Park, KS 66211-1408. After four months,
[[Page 70]]
send requests to Director, National Personnel Records Center, (Military
Personnel Records), 9700 Page Avenue, St. Louis, MO 63132-5100. Requests
for dependents' outpatient records should be addressed to the last
medical facility where treatment was provided if within 2 years of
active duty member's release/separation from the service. After two
years, send requests to Director, National Personnel Records Center,
(Military Records Center), 9700 Page Avenue, St. Louis, MO 63132-5100.
(5) When the location of a military member or dependent's medical
record is not known, send requests to Chief, Bureau of Medicine and
Surgery, 2300 E Street, NW., Washington, DC 20372-5120.
(6) Send requests for medical records of drilling reservists to the
reserve centers where they are assigned.
(7) Send requests for medical records of inactive or retired
reservists to Commanding Officer, Naval Reserve Personnel Center, New
Orleans, LA 70149-7800.
(8) Civilian employee medical records. Send requests to the medical
facility where the person is/was treated. After 2 years, send requests
to Director, National Personnel Records Center, (Civilian Personnel
Records), 111 Winnebago Street, St. Louis, MO 63118.
(j) Military personnel records. (1) Send requests for records of
active duty Navy personnel, or those separated (discharged, retired or
deceased for up to 1 year) to Chief of Naval Personnel, 2 Navy Annex,
Washington, DC 20370-5001 and for Marine Corps personnel to Commandant
of the Marine Corps, (Code MM), Navy Department, Washington, DC 20380-
0001.
(2) Send requests for records of Navy and Marine Corps personnel
separated (discharged, retired or deceased) for more than 1 year and
inactive reservists to Director, National Personnel Records Center,
(Military Personnel Records), 9700 Page Avenue, St. Louis, MO 63132-
5100.
(3) Send requests for former officer personnel separated prior to
1902 and former enlisted personnel separated prior to 1885 to Chief,
Military Reference Branch, Military Archives Division, National
Archives, Washington, DC 20408.
(4) Send requests for records of drilling reservists to the member's
servicing personnel support unit.
(5) Send requests for records of inactive duty reservists who still
have an obligation to the Navy to the Commanding Officer, Naval Reserve
Personnel Center, New Orleans, LA 70149-7800.
(6) Send requests for records of separated reservists who have not
retired to the Director, National Personnel Records Center, (Military
Personnel Records), 9700 Page Avenue, St. Louis, MO 63132-5100.
(7) Send requests for records of retired reservists to the
Commanding Officer, Naval Reserve Personnel Center, New Orleans, LA
70149-7800.
(k) Publications. (1) Send requests for unclassified instructions,
other than Secretary of the Navy Instructions, issued under the
Department of the Navy's directives issuance system and subject index
thereof (NAVPUBINST 5215.1B) to the Aviation Supply Office, Naval
Publications and Forms Directorate, Customer Service, Code 1013, 5801
Tabor Avenue, Philadelphia, PA 19120-5099.
(2) Send requests for all SECNAVINSTs and OPNAVINSTs marked FOUO or
classified to the CNO (N09B30), 2000 Navy Pentagon, Washington, DC
20350-2000.
(3) Send requests for Marine Corps directives, publications, and
manuals to Commandant of the Marine Corps, (Code AR), HQ USMC, 2 Navy
Annex, Washington, DC 20380-0001.
(4) Send requests for military specifications, standards, and
handbooks to the Commanding Officer, Defense Printing Service Detachment
Office, Customer Service, Building 4D, 700 Robbins Avenue, Philadelphia,
PA 19111-5094.
(l) Research records. Send requests for records regarding basic
research and grants to the activity having custody of the record. If
unknown, send to the Chief of Naval Research, 800 North Quincy Street,
Arlington, VA 22217-5660.
(m) Systems commands--(1) Aeronautical weapon systems. Send requests
for information on aeronautical weapon systems, associated sub-systems
and related systems and equipment to the
[[Page 71]]
Commander, 1421 Jefferson Davis Highway, Arlington, VA 22243-5120.
(2) Facilities. Send requests for information on facilities and land
management (design, construction, and maintenance; utilities; housing;
and real estate matters) to the Commander, Naval Facilities Engineering
Command, 200 Stovall Street, Alexandria, VA 22332-2300.
(3) Ships. Send requests for information on ships and ordnance
materials to the Commander, Naval Sea Systems Command, 2531 Jefferson
Davis Highway, Arlington, VA 22242-5160.
(4) Space and Naval Warfare. Send requests for information on
development technologies regarding battle force architecture and
engineering, space communications, navigation, undersea and ocean
surveillance, oceanographic matters, anti-submarine warfare, information
transfer systems, and information management systems to the Commander,
Space and Naval Warfare Systems Command, 2451 Crystal Drive, Arlington,
VA 22245-5200.
(5) Supply. Send requests for information on naval supply matters to
the Commander, Naval Supply Systems Command, 1931 Jefferson Davis
Highway, Arlington, VA 22341-5360, and for Marine Corps supply matters
to the Commandant of the Marine Corps, HQ USMC, 2 Navy Annex,
Washington, DC 20380-0001.
(n) Ships decklogs. Send requests for ships decklogs originating
after 30 June 1945 to the Director, Naval Historical Center, Ships'
Histories Branch, 901 M Street SE., Washington Navy Yard, Washington, DC
20374-0571. Those originated prior to 1945 are held by the Chief,
Military Reference Branch, Military Archives Division, National
Archives, Washington, DC 20408.
(o) Supply catalogs. Send requests for Navy and Federal supply
catalogs, master cross-reference indexes, and related cataloging
publications (cataloging handbooks such as H2-1 and H2-3 and Federal
manuals for supply cataloging, such as M1-1, -2 and -3) to
Superintendent of Documents, United States Government Printing Office,
Washington, DC 20402-9325.
(p) Technical reports. Send requests for unclassified technical
reports or publications to the Director, National Technical Information
Service, 5285 Port Royal Road, Springfield, VA 20402.
(q) Unknown. If requesters are unable to determine the official
having cognizance over the requested records, they should send their
request for naval matters to the Chief of Naval Operations (N09B30),
2000 Navy Pentagon, Washington, DC 20350-2000, and Marine Corps matters
to Commandant of the Marine Corps (Code ARAD), HQ USMC, 2 Navy Annex,
Washington, DC 20380-0001.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29722 June 9, 1994]
Sec. 701.32 Locations at which Department of the Navy records are available for public inspection.
(a) Navy Department Library. The Navy Department Library is located
at the Washington Navy Yard, Building 44, 9th and M Streets, SE,
Washington, DC 20374-0571.
(1) Hours of Operation. 9 a.m. to 4 p.m., Monday through Friday,
except holidays.
(2) Type of Materials Held. The library has 130,000 volumes of
information of interest to the Navy, such as naval and general history,
international law and diplomacy, naval architecture and shipbuilding,
naval customs and traditions, naval shore stations, yards and bases,
uniforms, insignia, awards and flags, geography, travel and guide books,
aviation, Navy music, etc. Also contained are approximately 5,000 rare
book collections. Additionally, the library has an index by subject
matter of materials held, i.e., NAVPUBINST 5215.1B, Consolidated Subject
Index, a quarterly publication which lists instructions originated by
Washington Headquarters organizations and Marine Corps directives system
checklist of directives distributed outside Headquarters, U.S. Marine
Corps. The library is equipped with desks and study carrels for library
users and has specialized devices to facilitate research, such as
microfilm reader/printers, copy machines, and outlets for tape
recorders.
(b) Defense Reading Room. The Defense Reading Room is located in
Room 2E165 of the Pentagon, Washington, DC 20310-1400. Due to building
security, upon arrival at the Pentagon, call 695-
[[Page 72]]
3973 to arrange for an escort to the Reading Room.
(1) Hours of Operation. 8 a.m. to 4 p.m., Monday through Friday,
except holidays.
(2) Type of Materials Held. Microfiche copies of indexes and
decisional documents regarding Navy Discharge Review Board and Board for
Correction of Naval Records proceedings.
(c) Law Library of the Judge Advocate General. The law library is
located at the Hoffman Building 2, Room 9S47, 200 Stovall Street,
Alexandria, VA 22332-2400.
(1) Hours of Operation. 9 a.m. to 4 p.m., Monday through Friday,
except holidays.
(2) Type of Materials Held. The library has published and
unpublished decisions of the Navy-Marine Corps Court of Military Review,
Navy and Marine Corps directives, miscellaneous superseded manuals, and
courts-martial orders and the Navy Department Bulletin.
Subpart D--Fee Guidelines
Source: 56 FR 66592, Dec. 24, 1991, unless otherwise noted.
Sec. 701.40 FOIA fees.
(a) Background. The FOIA Reform Act of 1986 brought about
significant changes on how FOIA fees are assessed. Subpart D of this
part highlights in detail the changes made and conforms with the Office
of Management and Budget (OMB) Uniform Fee Schedule and Guidelines which
were issued as a result of the Reform Act. OMB guidelines for fees
reflect direct costs for search, review (in the case of commercial
requesters), and duplication of documents, collection of which are
permitted by FOIA.
(b) DD Forms 2086/2086-1. Naval activities are encouraged to utilize
DD Forms 2086/2086-1 to track costs for each FOIA request processed,
unless a standard processing cost can be computed for routine kinds of
requests. The form is designed to track all costs and is utilized to
compile fee information for the Annual FOIA Report. While not all costs
can be charged to the requester for recoupment, they are nonetheless
reportable as they provide Congress with an indepth look at the costs
and time the Navy is expending to process FOIA requests.
(c) Scope. (1) The guidelines set forth below are not intended to
imply that fees must be charged for providing information to the public
in the routine course of business, nor are they meant as a substitute
for any other schedule of fees, such as those in NAVCOMPTMAN, Vol. 3,
CH-339, which does not supersede the collection of fees under FOIA.
(2) Subpart D of this part does not supersede fees chargeable under
a statute specifically setting the level of fees for particular types of
records. A ``statute specifically providing for setting the level of
fees for particular types of records'' means any statute that enables a
government agency, such as the Government Printing Office (GPO) or the
National Technical Information Service (NTIS), to set and collect fees.
Naval activities should ensure that when documents that would be
responsive to a request are maintained for distribution by agencies
operating statutory based fee schedule programs such as GPO or NTIS,
inform requesters of the steps necessary to obtain records from those
sources.
(c) Resolution of fees. The issue of fees should be resolved prior
to a naval activity expending resources to process a FOIA request.
Specifically, a requester should have an opportunity to decide whether
or not to pursue a request if fees are applicable and the requester has
failed to agree to pay those fees. There have been instances where naval
activities have worked a costly request only to be told by the requester
that it is no longer needed, since it will result in a cost.
Additionally, if a requester has agreed to pay fees up to a specified
amount and the costs of processing the request will exceed those fees,
naval activities must resolve the issue of additional fees prior to
continuing with the processing of the request.
(d) Responses. Naval activities shall ensure that final responses to
the requester address FOIA fees.
Editorial Note: At 56 FR 66592, Dec. 24, 1991, Sec. 701.40 was
revised. Paragraph (c) was inadvertently added twice. The duplicate
designations are of differing content. The
[[Page 73]]
Agency will publish a correction in the Federal Register at a later
date.
Sec. 701.41 Definitions.
The following definitions set forth the parameters for determining
FOIA fees:
(a) Direct costs. Direct costs means those expenditures a naval
activity actually incurs in searching for, reviewing (in the case of
commercial requesters), and duplicating documents to respond to a FOIA
request. Direct costs include, for example, the salary of the employee
performing the work (the employee's basic rate of pay plus 16 percent of
that rate to cover benefits), and the costs of operating duplicating
machinery. Not included are overhead expenses such as costs of space,
heating, or lighting the facility where records are stored.
(b) Search time. Search time includes all time spent looking for
material responsive to a request and a page-by-page or line-by-line
identification (if necessary) of material in the document to determine
if it, or portions thereof, are responsive to the request. Naval
activities should ensure that searches are efficient and completed in
the least expensive manner to minimize costs to the naval activity and
the requester. For example, naval activities should not do a line-by-
line search when duplicating an entire document containing responsive
information would be less expensive and quicker to comply with the
request. Time spent reviewing documents to determine whether to apply
one or more of the statutory exemptions is not search time, but review
time.
(c) Duplication. Duplication refers to the process of making a copy
of a document in response to a FOIA request. Copies can be paper copy,
microfiche, audiovisual, or machine readable documentation (e.g.,
magnetic tape or disc). Every effort will be made to ensure that the
copy provided is in a form reasonably usable by requesters. If copies
are not clearly usable, the requester will be notified that their copy
is the best available and the agency's master copy will be made
available for review upon appointment. For duplicating of computer tapes
and audiovisuals, the cost, including the operator's time shall be
charged. If a naval activity estimates that assessable duplication
charges may exceed $25, it shall notify the requester of the estimate,
unless the requester has indicated in advance his or her willingness to
pay fees as high as those anticipated. Such notice shall offer the
requester the opportunity to confer with naval personnel to reformulate
the request to meet his or her needs at a lower cost.
(d) Review. Review time refers to examining documents responsive to
a FOIA request to determine whether one or more of the statutory
exemptions permit withholding. It also includes processing the documents
for disclosure, such as excising them for release. Review does not
include time spent resolving general legal or policy issues on applying
the exemptions. Charges may be assessed only for the initial review.
Naval activities may not charge for reviews during an administrative
appeal of an exemption already applied. Records or portions of records
withheld in full under an exemption subsequently determined not to
apply, may be reviewed again to determine the applicability of other
exemptions not previously considered and the costs for such a subsequent
review could be assessed.
(e) Commercial use request. A commercial use request is a request
from or on behalf of one seeking information for a use or purpose that
furthers the commercial, trade, or profit interest of the requester. In
determining whether a requester belongs to this category, naval
activities must determine the requester's use of the documents
requested. Naval activities should seek additional clarification before
assigning the request to a specific category when doubting the intended
use of the requester, or where the use is not clear from the request
itself.
(f) Educational institution. An educational institution is a
preschool, public or private elementary or secondary school, institution
of graduate higher education, institution of undergraduate higher
education, institution of professional education, and an institution of
vocational education operating a program(s) of scholarly research.
[[Page 74]]
(g) Non-commercial scientific institution. A non-commercial
scientific institution is operated solely for conducting scientific
research the results of which are not intended to promote any particular
product or industry and not operated on a ``commercial'' basis.
(h) Representative of the news media. Representative of the new
media is a person actively gathering news for an entity organized and
operated to publish or broadcast news to the public. ``News'' means
information about current events or of current interest to the public.
Examples of news media entities include television or radio station
broadcasting to the public at large and publishers of periodicals when
qualifying as disseminators of ``news'' who make their products
available for purchase or subscription by the general public. Those
examples are not all-inclusive. As traditional methods of news delivery
evolve (e.g., electronic dissemination of newspapers through
telecommunications services) alternative media would be included in this
category. ``Free-lance'' journalists may be considered as working for a
news organization if they can demonstrate a basis for expecting
publication by that organization, even if not actually employed. Proof
may be by publication contract, but naval activities may also look to
the requester's past publication record in making this determination.
Representatives of the news media do not include private libraries,
private repositories of Government records, or middlemen such as
information vendors or data brokers.
(i) All other requesters. All other requesters refers to persons who
do not qualify as an educational institution, non-commercial scientific
institution, representative of the news media, or commercial use
requester. An example is a nonprofit organization.
Sec. 701.42 Application.
(a) Commercial requesters. When records are requested for commercial
use, fees shall be assessed to recover reasonable standard charges for
document search, review, and duplication. Requesters must reasonably
describe the records sought. When naval activities review a request for
documents for commercial use, they should assess charges which recover
the full direct costs of searching for, reviewing for release, and
duplicating the records sought. Commercial requesters, are not entitled
to 2 hours of free search time and 100 free pages of reproduction of
documents. However, fees totaling $15 or less must be waived. Commercial
requesters are not normally entitled to a waiver or reduction of fees
based upon an assertion that disclosure would be in the public interest.
Because use of the requested material is the exclusive determining
criteria, a commercial enterprise may make a request that is not for
commercial use. It is also possible that a nonprofit organization could
make a request for commercial use. Such situations must be addressed on
a case-by-case basis.
(b) Educational institution requesters. When a request is made by an
educational institution whose purpose is scholarly research fees shall
be limited to reasonable standard charges for document duplication
(excluding charges for the first 100 pages). Requesters must reasonably
describe the records being sought and must show that the request is made
under the auspices of a qualifying institution and that the records are
not sought for commercial use, but in furtherance of scholarly research.
(c) Non-commercial scientific institution requesters. When the
request is made by a non-commercial scientific institution whose purpose
is scientific research fees shall be limited to only reasonable standard
charges for document duplication (excluding charges for the first 100
pages). Requesters must reasonably describe the records sought and must
show that the request is being made under the auspices of a qualifying
institution and that records are not sought for commercial use, but in
furtherance of scientific research.
(d) Representatives of the news media. (1) When the request is made
by a representative of the news media, fees shall be limited to only
reasonable standard charges for document duplication (excluding charges
for the first 100 pages). Requesters must reasonably describe the
records sought.
(2) Representatives of the news media must meet the criteria defined
in paragraph (h) of Sec. 701.41, and the request
[[Page 75]]
must not be made for commercial use. A request for records supporting
the news dissemination function of the requester shall not be considered
to be a request that is for a commercial use. For example, a request by
a newspaper for records relating to an investigation of a defendant in a
current criminal trial of public interest could be presumed to be a
request from an entity eligible for inclusion in this category, and
entitled to records at the cost of duplication alone (excluding charges
for the first 100 pages).
(3) ``Representative of the news media'' does not include private
libraries, private repositories of Government records, or middlemen,
such as information vendors or data brokers.
(e) All other requesters. Naval activities shall charge requesters
who do not fit into any of the above categories fees to recover the full
direct cost of search and duplicating records, except the first 2 hours
of search time and the first 100 pages of duplication shall be furnished
without charge. Requesters must reasonably describe the records sought.
Requests from subjects about themselves will continue to be treated
under the fee provisions of 5 U.S.C. 552a, which permit fees only for
duplication. Naval activities are reminded that this category of
requester may be eligible for a waiver or reduction of fees if
disclosure of the information is in the public interest.
Sec. 701.43 Fee restrictions.
(a) A naval activity may not charge fees if the costs of routine
collection and processing of the fee are likely to equal or exceed the
amount of the fee. Except for requesters seeking documents for a
commercial use, naval activities shall provide the first 2 hours of
search time and the first 100 pages of duplication without charge. For
example, for a request (other than one from a commercial requester)
involving 2 hours and 10 minutes of search time and 105 pages of
documents, a naval activity would recover the cost of only ten minutes
of search time and five pages of duplication. If this processing cost
was equal to or less than the cost to the naval activity for billing the
requester and processing the fee collected (i.e., $15), no charges would
result.
(b) Requesters are entitled to the first 2 hours of search and 100
pages of duplication without charge once per request. Consequently, if
after completing its portion of a request, a naval activity, refers the
request to another naval activity to act on their portion of the
request, the referring naval activity shall inform the recipient of the
amount of search time and duplication cost to date so the final Navy
response will address all fees in the processing of the request. For
referrals to other federal agencies or Department of Defense components,
if the naval costs of processing the request are chargeable based on fee
guidelines, the fees should be collected from the requester and the
recipient of the referral advised of the fee status of the request. If
the fees are not chargeable based on the fee guidelines, the recipient
of the referral should be advised of the naval fees associated with the
processing of the request.
(c) In determining the ``cost of collecting a fee'' consider
administrative costs to the naval activity of receiving and recording a
remittance, and processing the fee for deposit in the Treasury
Department's special account. The Treasury's cost to handle such
remittance is negligible and shall not be considered in a naval
activity's determination.
(d) To determine cost, ``pages'' refers to standard size paper
copies normally 8 1/2'' x 11'' or 11'' x 14''. Thus, requesters would
not be entitled to 100 microfiche or 100 computer disks, for example. A
microfiche containing the equivalent of 100 pages or 100 pages of
computer printouts, meets the restriction.
(e) For computer searches, the first 2 free hours will be determined
by the salary scale of the individual doing the computer search. For
example, when the direct costs of the computer central processing unit,
input-output devices, and memory capacity equal $24 (2 hours of
equivalent search at the clerical level), computer costs in excess of
that amount are chargeable as computer search time.
[[Page 76]]
Sec. 701.44 Fee waivers.
(a) When the naval activity determines that waiver or reduction of
fees is in the public interest, documents will be furnished without
charge or at a reduced charge. It is in the public interest when
furnishing the information is likely to contribute significantly to
public understanding of the operations or activities of the Department
of the Navy, and is not primarily in the commercial interest of the
requester.
(b) Fees shall be waived automatically for all requesters when
direct costs for a FOIA request total $15 or less.
(c) Decisions to waive or reduce fees that exceed the automatic fee
waiver threshold shall be made on a case-by-case basis when:
(1) Disclosure of the information ``is in the public interest
because it is likely to contribute significantly to public understanding
of the operations or activities of the government.''
(i) Subject of the request. Naval activities should analyze whether
the subject matter of the request involves issues which will
significantly contribute to the public understanding of the operations
or activities of the Department of the Navy. Requests for records in the
possession of the Department of the Navy originated by non-government
organizations and sought for their intrinsic content rather than
informative value will not likely contribute to public understanding of
the operations or activities of the Department of the Navy. Examples of
such records are press clippings, magazine articles, or records
forwarding a particular opinion or concern from a member of the public
regarding a naval activity. Similarly, disclosures of records of
considerable age may or may not bear directly on the current activities
of the Department of the Navy; however, the age of a particular record
shall not be the sole criteria for determining the value of a document.
These requests must be closely reviewed while considering the
requester's stated purpose for the records and the potential for public
understanding of the operations and activities of the Department of the
Navy.
(ii) Informative value of the information to be disclosed. Naval
activities should analyze the substantive contents of a record or
portion of the record to determine whether disclosure is meaningful and
will inform the public on Department of the Navy's operations or
activities. While the subject of a request may contain information on
operations or activities of the Department of the Navy, it may not have
great potential for contributing to a meaningful understanding of these
operations or activities. An example would be a heavily redacted record,
with only random words, fragmented sentences, or paragraph headings. A
determination as to whether that type of record will contribute to the
public understanding of the operations or activities of the Department
of the Navy must be weighed against the requester's intended use.
Another example is disclosure of information already in the public
domain or nearly identical information may add no meaningful new
information on Department of the Navy operations and activities.
(iii) Contribution to the public's understanding from disclosure.
Disclosure contributes to the public's understanding when disclosure
will inform or have the potential to inform the public, rather than the
individual requester or small segment of interested persons. The
requester's identity determines whether the requester has the capability
and intention to disseminate the information to the public. Assertions
of plans to write a book, research a particular subject, doctoral
desertion work, or indigency are insufficient. Requester must
demonstrate the capacity to disclose the information in a manner
informative to the general public. Requesters should describe their
qualifications, nature of their research, purpose of the requested
information, and intended means of dissemination to the public.
(iv) The significance of the contribution to public understanding.
Naval activities must assess the significance or impact of disclosure
against the current level of public knowledge or understanding prior to
the disclosure. In other words, will disclosure on a current subject of
wide public interest be unique in contributing previous unknown facts,
thereby enhancing public knowledge,
[[Page 77]]
or will it basically duplicate what is already known by the general
public. Naval activities shall not make value judgments whether the
information is important enough to be made public.
(2) Disclosure of the information ``is not primarily in the
commercial interest of the requester.''
(i) Existence and magnitude of a commercial interest. If the request
is a commercial interest, naval activities should address the magnitude
of that interest to see if the requester's commercial interest is
primary, as opposed to any secondary personal or non-commercial
interest. In addition to profit-making organizations, individual persons
or other organizations may have a commercial interest in obtaining
certain records. Where it is difficult to determine whether this is a
commercial requester, naval activities may infer it from the requester's
identity and circumstances of the request. The requester's commercial
benefit must clearly override any personal or nonprofit interest to
apply FOIA commercial standards.
(ii) The primary interest in disclosure. Once a requester's
commercial interest has been determined, naval activities should then
determine if disclosure would be primarily in that interest. That
requires balancing the commercial interest of the request against any
public benefit derived as a result of that disclosure. Where the public
interest served is beyond that of the requester's commercial interest, a
waiver or reduction of fees would be appropriate. Conversely, even if a
significant public interest exists and the relative commercial interest
of the requester is greater than the public interest, then a waiver or
reduction of fees would be inappropriate. For example, while news media
organizations have a commercial interest as business organizations,
their role of disseminating news to the public can ordinarily be
presumed to be of a primary interest. Therefore, any commercial interest
is secondary to the primary interest in serving the public. Similarly,
scholars writing books or engaged in other forms of academic research
may recognize a commercial benefit, either directly or indirectly
(through the institution they represent); however, normally such
pursuits are primarily undertaken for educational purposes, and charging
a fee would be inappropriate. Conversely, data brokers or others who
compile government information for marketing can normally be presumed to
primarily have a commercial interest.
(iii) The above factors and examples are not all inclusive. Each fee
decision must be considered on a case-by-case basis the merits of the
information provided in each request. When the decision to charge,
reduce, or waive the fee cannot be clearly resolved, naval activities
should rule in favor of the requester.
(d) The following additional circumstances describe situations where
waiver or reduction of fees are most likely warranted:
(1) A record is voluntarily created to preclude an otherwise
burdensome effort to provide voluminous amounts of available records,
including additional information not requested.
(2) A previous denial of records is reversed in total, or in part,
and the assessable costs are not substantial (e.g., $15 - $30).
Sec. 701.45 Fee assessment.
(a) Fees may not be used to discourage requesters. FOIA fees are
limited to standard charges for direct document search, review (in the
case of commercial requesters), and duplication.
(b) To be responsive as possible to FOIA requests while minimizing
unwarranted costs to the taxpayer, naval activities shall:
(1) Analyze each request to determine the category of the requester.
If the naval activity's determination of the category of the requester
is different than that claimed by the requester, the naval activity
will:
(i) Notify the requester that additional justification should be
provided to support the category claimed, and that a search for
responsive records will not be initiated until agreement on the category
of the requester. Absent further category justification from the
requester and a reasonable period of time (i.e., 30 calendar days), the
naval activity shall render a final category determination and notify
the requester of the determination, including administrative appeal
rights.
[[Page 78]]
(ii) Advise the requester that a search for responsive records will
not be initiated until the requester indicates a willingness to pay
assessable costs for the category determined by the naval activity.
(2) Requesters must submit a fee declaration appropriate for these
categories:
(i) Commercial requesters must indicate a willingness to pay all
search, review, and duplication costs.
(ii) Educational or non-commercial scientific institution or news
media representatives. Requesters must indicate a willingness to pay
duplication charges in excess of 100 pages, if more than 100 pages of
records are desired.
(iii) All others. Requesters must indicate a willingness to pay
assessable search and duplication costs if more than 2 hours of search
effort or 100 pages of records are desired and the resultant fees will
exceed the $15 fee waiver threshold.
(3) If the above conditions are not met, then the request need not
be processed and the requester shall be so informed within 10 working
days.
(4) As described above, naval activities must be prepared to provide
an estimate of assessable fees to the requester. While searches vary
among naval activities and an estimate is often difficult prior to an
actual search, requesters desiring estimates are entitled to them before
committing to a willingness to pay. Should naval activity costs exceed
the amount of the estimate or the amount agreed to by the requester, the
amount in excess of the estimate or the amount agreed to shall not be
charged without the requester's agreement.
(5) A naval activity may not require advance payment of any fee
(i.e., payment before work is commenced or continued on a request)
unless the requester previously failed to timely pay fees or the agency
determined that the fee exceeds $250. A timely fashion is 30 calendar
days from the date of billing by the naval activity.
(6) Where a naval activity estimates or determines that allowable
charges that a requester may be required to pay are likely to exceed
$250, the naval activity should notify the requester of the likely cost
and obtain satisfactory assurance of full payment where the requester
has a history of prompt payments, or require an advance payment of an
amount up to the full estimated charges for requesters without a history
of payment.
(7) Where a requester has previously failed to pay a fee charged in
a timely fashion (i.e., within 30 calendar days from the date of the
billing), the naval activity may require the requester to pay the full
amount owed, plus any applicable interest, or demonstrate that the fee
had been paid, and to make an advance payment of the full amount of the
estimated fee before the naval activity begins to process a new or
pending request. Interest will be at the rate prescribed in 31 U.S.C.
3717 and confirmed with respective accounting and finance offices.
(8) After all work is completed on a request and the documents are
ready for release, naval activities may request payment prior to
forwarding the documents if there is no payment history on the requester
or if the requester has previously failed to pay a fee in a timely
fashion (i.e., within 30 calendar days of the billing). If the requester
fails to pay in a timely fashion, paragraph (b)(7) of Sec. 701.45
applies. Naval activities may not hold documents ready for release
pending payment from requesters with a history of prompt payment.
(9) When naval activities act under Sec. 701.45 number (b)(1)
through (7), FOIA time limits (10 working days from receipt of initial
requests and 20 working days from receipt of appeals, plus permissible
extensions of time) begin after the naval activity has received a
willingness to pay fees or fee payments, if appropriate.
(10) Naval activities may charge for time spent in searching for
records, even if that search fails to locate records responsive to the
request. Naval activities may also charge search and review (in the case
of commercial requesters) time if records located are determined to be
exempt from disclosure. In practice, if the naval activity estimates
that search charges are likely to exceed $25, it
[[Page 79]]
shall notify the requester of the estimated amount of fees, unless the
requester has indicated in advance a willingness to pay fees up to the
estimated amount. Such notice shall offer the requester the opportunity
to confer with the naval activity with the object of reformulating the
request to meet his or her needs at a lower cost.
Sec. 701.46 Aggregating requests.
Except for commercial requesters, a naval activity may not charge
for the first 2 hours of search time or for the first 100 pages of
reproduction. A requester may not file multiple requests at the same
time each seeking portions of a document or documents to avoid payment
of fees. When a naval activity reasonably believes that a requester or,
a group of requesters acting in concert is attempting to break a request
into a series of requests to evade fees, the naval activity may
aggregate the requests and charge accordingly. In determining whether it
is reasonable to aggregate the requests, consider the time period of the
requests. For example, it would be reasonable to presume that multiple
requests of this type made within a 30-day period had been made to avoid
fees. It is harder to make that presumption for requests over a longer
time period. Before aggregating requests from more than one requester,
naval activities must have a concrete basis to conclude that the
requesters are acting in concert to avoid payment of fees. Naval
activities may not aggregate multiple requests from one requester on
unrelated subjects.
Sec. 701.47 Effect of the Debt Collection Act of 1982 (Pub. L. 97-365).
The Debt Collection Act of 1982 (Pub. L. 97-365) provides for a
minimum annual rate of interest on overdue debts to the Federal
Government. Naval activities may charge an interest penalty for fees
outstanding 30 days from the date of billing (the first demand notice).
The interest rate shall be as prescribed in 31 U.S.C. 3717. Naval
activities should verify the current interest rate with respective
accounting and finance offices. After one demand letter has been sent
and 30 calendar days have lapsed with no payment, naval activities may
submit the debt to the respective accounting and finance offices for
collection under the Debt Collection Act of 1982.
Sec. 701.48 Computation of fees.
The fee schedule in Subpart D of this part shall be used to compute
search, review (in the case of commercial requesters), and duplication
costs for processing FOIA requests. Costs shall be computed on time
actually spent. Time-based and dollar-based minimum charges for search,
review (in the case of commercial requesters), and duplication are not
authorized.
Sec. 701.49 Collection of fees.
Collect FOIA fees when providing the documents to the requester when
the requester specifically states that costs are acceptable or
acceptable up to a specified amount. Collection may not be made in
advance unless the requester has failed to pay previously assessed fees
within 30 calendar days from the date of the billing by the naval
activity, or the naval activity determines the fee will be in excess of
$250.
Sec. 701.50 Search time costs.
The following schedules outline authorized fees:
(a) Manual search.
------------------------------------------------------------------------
Hourly
Type Grade Rate
------------------------------------------------------------------------
Clerical.............................. E9/GS8 and below........ $12
Professional.......................... 01-06/GS9-GS/GM15....... 25
Executive............................. 07/GS/GM16/ES1 and above 45
------------------------------------------------------------------------
(b) Computer search. Computer search is based on the direct cost of
the central processing unit, input-output devices, and memory capacity
of the computer configuration. The cost of computer search is based on
the computer operator/programmer's time in determining how to conduct
and subsequently executing the search and is charged at the rate of a
manual search.
(c) Duplication costs.
[[Page 80]]
------------------------------------------------------------------------
Type Cost per Page
------------------------------------------------------------------------
Pre-printed material (i.e., unaltered directives,
publications)....................................... $.02
Office copy (i.e., xeroxed copies)................... .15
Microfiche........................................... .25
Computer copies (tapes or reprints).................. Actual cost 1
------------------------------------------------------------------------
1 This means the cost of duplicating the tape or printout, which
includes the operator's time and cost of the tape.
(d) Review time (only applies in the case of commercial requesters).
------------------------------------------------------------------------
Hourly
Type Grade Rate
------------------------------------------------------------------------
Clerical.............................. E9/GS8 and below........ $12
Professional.......................... 01-06/GS9-GS/GM15....... 25
Executive............................. 07/GS/GM16/ES1 and above 45
------------------------------------------------------------------------
(e) Audiovisual documentary materials. Compute search costs as for
any other record. Duplication cost is the actual direct cost of
reproducing the material, including the wage of the person doing the
work. Audiovisual materials provided to a requester need not be in
reproducible format or quality.
(f) Other records. Compute direct search and duplication cost for
any record not described above as described for audiovisual documentary
material.
(g) Costs for special services. Complying with requests for special
services is at the discretion of the naval activity. FOIA and its fee
structure do not cover these kinds of services. Naval activities may
recover the costs of special services asked for by the requester after
agreement has been obtained from the requester to pay for one or more of
the following services:
(1) Certifying that records are true copies.
(2) Sending records by special methods such as express mail, etc.
Sec. 701.51 FOIA fee remittance/receipt controls.
(a) Naval activities shall implement procedures to track FOIA fee
remittances. At a minimum, the tracking system should include the name
of the requester, company (if applicable), amount of fee charged
(identify by total and breakdown, i.e., $250: $100 search, $50.00
review, $100 reproduction), date and serial number of correspondence to
the requester which seeks the fee remittance, date remittance received,
number of check, date sent to local disbursing office, and copy of
NAVCOMPT Form 2277. This tracking system can be manual or automated and
should be designed to identify outstanding FOIA remittances so that
follow-up letters can be sent advising the requester that his/her
account requires prompt action.
(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/money order, the receiving activity shall submit a NAVCOMPT
Form 2277, Voucher for Disbursement and/or Collection, and the check/
money order to the local disbursing office for processing. ``FOIA
Receipt Account Number 3210'' shall be annotated on the NAVCOMPT Form
2277 when processing all FOIA fees, except those received by Defense
Business Operating Fund (DBOF) and non-appropriated funded (NAF)
activities.
(c) Remittances received by DBOF activities shall be made payable to
the activity and the requester should indicate on the check ``FOIA
Remittance.'' The remittance shall be deposited in the DBOF activity
account.
(d) Remittances received by NAF activities shall be made payable to
the activity and the requester should indicate on the check ``FOIA
Remittance.'' The remittance shall be deposited in the NAF activity
account.
[56 FR 66574, Dec. 24, 1991, as amended at 59 FR 29723, June 9, 1994]
Sec. 701.52 Technical data fees.
(a) General. Technical data, recorded information, regardless of the
form or method of the recording, of a scientific or technical nature
(including computer software documentation). This term does not include
computer software or data incidental to contract administration, such as
financial and/or management information. Technical data requiring
release under FOIA, shall be released after the requester pays all
reasonable costs for search, duplication, and review of the records to
be released.
(b) Definition. Technical data means recorded information,
regardless of the
[[Page 81]]
form of method of the recording of a scientific or technical nature
(including computer software documentation). This term does not include
computer software or data incidental to contract administration, such as
financial and/or management information.
(c) Retention of funds. Naval activities shall retain fees received
from releasing technical data. The funds shall be available for the same
purpose and the same time period as the appropriation from which the
costs were incurred in complying with the request. Reasonable costs are
the full costs to the Government of rendering the service, or fair
market value of the service, whichever is greater. Fair market value
shall be determined by commercial rates in the local geographical area.
In the absence of a known market value, charges shall be based on
recovery of full costs to the Government. 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 direct costs
allowable under the FOIA.
(d) Waiver. Naval activities shall waive the payment of costs for
technical data when greater than the costs required for release of this
same information under FOIA, if:
(1) The request is made by a United States citizen or a United
States corporation who certifies that the technical data requested is
needed to submit an offer, or determine capability of submitting an
offer. The technical data must relate to the product which will be
provided to the United States or a contractor with the United States.
However, naval activities may require the citizen or corporation to pay
a deposit of not more than the cost of complying with the request, which
will be refunded upon submission of an offer by the citizen or
corporation;
(2) The release of technical data is requested to comply with an
international agreement; or,
(3) The naval activity determines that waiver is in the interest of
the United States.
(e) Fee rates. (1) Search time is computed as follows:
(i) Manual Search.
------------------------------------------------------------------------
Hourly
Type Grade Rate
------------------------------------------------------------------------
Clerical............................. E9/GS8 and below....... $13.25
(Minimum Charge)..................... ....................... 8.30
------------------------------------------------------------------------
Professional and Executive hourly rate of fees are established at actual
hourly rate prior to search. A minimum charge will be established at 1/
2-hourly rates.
(ii) Computer search is the total cost of the central processing
unit, input-output devices, and memory capacity of the actual computer
configuration. The wage for the computer analyst/operator determining
how to conduct and subsequently executing the search will be recorded as
part of the computer search and is at the same rate of the manual search
scale.
(2) Duplication costs are as follows:
------------------------------------------------------------------------
Type Cost
------------------------------------------------------------------------
Aerial photographs, specifications, permits, charts,
blueprints, and other technical documents........... $2.50 each
Engineering data (microfilm):........................
Aperture cards:....................................
Silver duplicate negative........................ $.75 per card
(When keypunched and verified)................... .85 per card
Diazo duplicate negative......................... .65 per card
(When keypunched and verified)................... .75 per card
35mm roll film....................................... $.50 per frame
16mm roll film....................................... .45 per frame
Paper prints (engineering drawings).................. $1.50 each
Paper reprints of microfilm indices.................. .10 each
------------------------------------------------------------------------
(3) Review time is computed as follows:
------------------------------------------------------------------------
Hourly
Type Grade Rate
------------------------------------------------------------------------
Clerical............................. E9/GS8 and below....... $13.25
(Minimum Charge)..................... ....................... 8.30
------------------------------------------------------------------------
Professional and Executive hourly rate of fees are established at actual
hourly rate prior to review. A minimum charge will be established at 1/
2-hourly rates.
[[Page 82]]
Sec. 701.53 Other technical data records.
Charges for services not specifically provided above are at the
following rates:
------------------------------------------------------------------------
Type Cost
------------------------------------------------------------------------
Minimum charge for office copy (up to six images).... $3.50
Each additional image................................ .10
Each typewritten page................................ 3.50
Certification and validation with seal............... 5.20
Hand-drawn plots and sketches, each hour or fraction
thereof............................................. 12.00
------------------------------------------------------------------------
Subpart E--Indexing, Public Inspection, and Federal Register Publication
of Department of the Navy Directives and Other Documents Affecting the
Public
Source: 59 FR 46760, Sept. 12, 1994, unless otherwise noted.
Sec. 701.61 Purpose.
This subpart implements 5 U.S.C. 552(a)(1) and (2) and provisions of
Department of Defense Directive 5400.7, May 13, 1988 (32 CFR part 286,
55 FR 53104); Department of Defense Directive 5400.9, December 23, 1974
(32 CFR part 336, 40 FR 4911); and the Regulations of the Administrative
Committee of the Federal Register (1 CFR chaps. I and II) by delineating
responsibilities and prescribing requirements, policies, criteria, and
procedures applicable to:
(a) Publishing the following Department of the Navy documents in the
Federal Register:
(1) Certain classes of regulatory, organizational, policy,
substantive, and procedural documents required to be published for the
guidance of the public;
(2) Certain classes of proposed regulatory documents required to be
published for public comment prior to issuance; and
(3) Certain public notices required by law or regulation to be
published;
(b) Making available, for public inspection and copying, certain
classes of documents having precedential effect on decisions concerning
members of the public;
(c) Maintaining current indexes of documents having precedential
effect on decisions concerning members of the public, and publishing
such indexes or making them available by other means;
(d) Receiving and considering petitions of members of the public for
the issuance, revision, or cancellation of regulatory documents of some
classes; and
(e) Distributing the Federal Register for official use within the
Department of the Navy.
Sec. 701.62 Scope and applicability.
This subpart prescribes actions to be executed by, or at the
direction of, Navy Department [as defined in Sec. 700.104(c) of this
chapter] components and specified headquarters activities for apprising
members of the public of Department of the Navy regulations, policies,
substantive and procedural rules, and decisions which may affect them,
and for enabling members of the public to participate in Department of
the Navy rulemaking processes in matters of substantial and direct
concern to the public. This subpart complements subpart A, which
implements Navy-wide requirements for furnishing documents to members of
the public upon request. That a document may be published or indexed and
made available for public inspection and copying under this instruction
does not affect the possible requirement under subpart A for producing
it for examination, or furnishing a copy, in response to a request made
under that subpart.
Sec. 701.63 Policy.
In accordance with the spirit and intent of 5 U.S.C. 552, the public
has the right to the maximum information concerning the organization and
functions of the Department of the Navy. This includes information on
the policies and the substantive and procedural rules used by the
Department of the Navy in its dealings with the public. In accordance
with Department of Defense policy described in 32 CFR part 336, 40 FR
4911, moreover, the public is encouraged to participate in Department of
the Navy rulemaking when the
[[Page 83]]
proposed rule would substantially and directly affect the public.
Sec. 701.64 Publication of adopted regulatory documents for the guidance of the public.
(a) Classes of documents to be published. Subject to the provisions
of 5 U.S.C. 552(b) which exempt specified matters from requirements for
release to the public [see subpart B of this part], the classes of
Department of the Navy documents required to be published on a current
basis in the Federal Register are listed below.
(1) Naval organization and points of contact--descriptions of the
central and field organization of the Department of the Navy and the
locations at which, the members or employees from whom, and the methods
whereby, the public may obtain information, make submittals or requests,
or obtain decisions;
(2) Methods and procedures for business with the public--statements
of the general course and methods by which Department of the Navy
functions affecting members of the public are channeled and determined,
including the nature and requirements of all formal and informal
procedures available;
(3) Procedural rules and forms--rules of procedure for functions
affecting members of the public, descriptions of forms available or the
places at which forms may be obtained, and instructions as to the scope
and contents of all papers, reports, or examinations required to be
submitted under such rules of procedures; and
(4) Substantive rules and policies--substantive rules of general
applicability adopted as authorized by law, and statements of general
policy or interpretations of general applicability formulated and
adopted by the Department of the Navy. Such rules are commonly contained
in directives, manuals, and memorandums.
(i) ``General applicability'' defined. The definition prescribed in
1 CFR 1.1 pertains to the classes of documents contemplated in
Sec. 701.64(b)(4).
(ii) Internal personnel rules and internal practices. In addition to
the other exemptions listed in 5 U.S.C. 552(b) and subpart B of this
part, particular attention is directed to the exemption pertaining to
internal personnel rules and internal practices.
(iii) Local regulations. It is unnecessary to publish in the Federal
Register a regulation which is essentially local in scope or
application, such as a directive issued by a base commander in the
implementation of his responsiblity and authority under subpart G of
part 700 of this title for guarding the security of the installation or
controlling the access and conduct of visitors or tradesmen. However,
such publication may be authorized under extraordinary circumstances, as
determined by the Chief of Naval Operations or the Commandant of the
Marine Corps, as appropriate, with the concurrence of the Judge Advocate
General.
(iv) Incorporation by reference. With the approval of the Director
of the Federal Register given in the limited instances authorized in 1
CFR Part 51 and 32 CFR 336.5(c), the requirement for publication in the
Federal Register may be satisfied by reference in the Federal Register
to other publications containing the information which must otherwise be
published in the Federal Register. In general, matters eligible for
incorporation by reference are restricted to materials in the nature of
published data, criteria, standards, specifications, techniques,
illustrations, or other published information which are reasonably
available to members of the class affected.
(b) Public inspection. When feasible, Department of the Navy and
Department of Defense documents published in the Federal Register should
be made available for inspection and copying, along with available
indexes of such documents, in the same locations used for public
inspection and copying of the documents contemplated in Sec. 701.65.
Sec. 701.65 Availability, public inspection, and indexing of other documents affecting the public.
(a) Discussion. Section 552(a) of title 5, United States Code,
requires the Department of the Navy to make available for public
inspection and copying documents which have precedential significance on
those Department of the Navy decisions which affect the
[[Page 84]]
public. These documents must be kept readily available for public
inspection and copying at designated locations, unless they are promptly
published and copies are offered for sale. Additionally, documents
issued after July 4, 1967, are required to be indexed on a current
basis. These indexes, or supplements thereto, must be published at least
quarterly in accordance with the provisions of this paragraph. In
determining whether a particular document is subject to the requirements
of this paragraph, consideration should be given to the statutory
purposes and legal effect of the provisions.
(1) Statutory purposes. In general, the purpose of the requirement
to provide members of the public with essential information is to enable
them to deal effectively and knowledgeably with Federal agencies; to
apprise members of the public of the existence and contents of documents
which have potential legal consequences as precedents in administrative
determinations which may affect them; and to permit public examination
of the basis for administrative actions which affect the public.
(2) Legal effect. If a document is required to be indexed and made
available under this paragraph, it may not be used or asserted as a
precedent against a member of the public unless it was so indexed and
made available, or unless the person against whom it is asserted had
actual and timely notice of its contents.
(b) Classes of documents affected. (1) Subject to the provisions of
5 U.S.C. 552(b) which exempt specified matters from the requirements of
public disclosure, the following classes of Department of the Navy
documents are included in the requirements of this paragraph:
(i) Final adjudicative opinions and orders--opinions (including
concurring and dissenting opinions) and orders which are issued as part
of the final disposition of adjudication proceedings (as defined in 5
U.S.C. 551) and which may have precedential effect in the disposition of
other cases affecting members of the public;
(ii) Policy statements and interpretations--statements of policy and
interpretations of less than general applicability (i. e., applicable
only to specific cases; organizations, or persons), which are not
required to be published in the Federal Register, but which may have
precedential effect in the disposition of other cases affecting members
of the public;
(iii) Manuals and instructions--administrative staff manuals,
directives, and instructions to staff, or portions thereof, which
establish Department of the Navy policy or interpretations of policy
that serve as a basis for determining the rights of members of the
public with regard to Department of the Navy functions. In general,
manuals and instructions relating only to internal management aspects of
property or fiscal accounting, personnel administration, and most other
``proprietary'' functions of the department are not within the scope of
this provision. This provision also does not apply to instructions for
employees on methods, techniques, and tactics to be used in performing
their duties; for example:
(A) Instructions or manuals issued for audit, investigation, and
inspection purposes;
(B) Those which prescribe operational tactics; standards of
performance; criteria for defense, prosecution, or settlement of cases;
or negotiating or bargaining techniques, limitations, or positions; and
(C) Operations and maintenance manuals and technical information
concerning munitions, equipment, and systems, and foreign intelligence
operations.
(2) In determining whether a document has precedential effect, the
primary test is whether it is intended as guidance to be followed either
in decisions or evaluations by the issuing authority's subordinates, or
by the issuing authority itself in the adjudication or determination of
future cases involving similar facts or issues. The kinds of orders or
opinions which clearly would have precedential effect are those that are
intended to operate both as final dispositions of the questions involved
in the individual cases presented, and as rules of decision to be
followed by the issuing authority or its subordinates in future cases
involving similar questions. By contrast, many adjudicative orders and
opinions issued
[[Page 85]]
within the Department of the Navy operate only as case-by-case
applications of policies or interpretations established in provisions of
manuals or directives and are not themselves used, cited, or relied on
as rules of decision in future cases. In these instances, the underlying
manual or directive provisions obviously would have precedential effect,
but the orders and opinions themselves would not have. A recommendation
by an official who is not authorized to adjudicate, or to issue a
binding statement of policy or interpretation in a particular matter
would not have precedential effect, though an order, opinion, statement
of policy, or interpretation issued by an authorized official pursuant
to such recommendation might have that effect.
(c) Deletion of identifying details. (1) Although the exemptions
from public disclosure described in 5 U.S.C. 552 and subpart B of this
part are applicable to documents which are required to be indexed and
made available for public inspection and copying under this paragraph,
there is no general requirement that any segregable portions of
partially exempt documents be so indexed and made available for public
inspection and copying. As a general rule, a record may therefore be
held exempt in its entirety from the requirements of this paragraph if
it is determined that it contains exempt matter and that it is
reasonably foreseeable that disclosure would be harmful to an interest
protected by that exemption. An exception to this general rule does
exist with regard to a record which would be exempt only because it
contains information which, if disclosed, would result in a clearly
unwarranted invasion of privacy.
(2) Where necessary to prevent a clearly unwarranted invasion of a
person's privacy, identifying details should be deleted from a record
which is required to be indexed and made available for public inspection
and copying under this paragraph. In every such case, the justification
for the deletion must be fully stated in writing in a manner which
avoids creating inferences that could be injurious to the person whose
privacy is involved. Usual reasons for deletion of identifying details
include protection of privacy in a person's business affairs, medical
matters, or private family matters; humanitarian considerations; and
avoidance of embarrassment to a person.
(d) Publication of indexes--(1) Form of indexes. Each index should
be arranged topically or by descriptive words, so that members of the
public may be able to locate the pertinent documents by subject, rather
than by case name or by a numbering system.
(2) Time of publication. Each component having cognizance of records
required under this paragraph to be indexed shall compile and maintain
an index of such records on a continually current basis. Each such index
was required to initially be published by July 1, 1975. An updated
version of each such index, or a current supplement thereto, shall be
published by an authorized method at least annually thereafter.
(3) Methods of publication. The methods authorized for publication
of the indexes contemplated in this paragraph are:
(i) Publication in the Federal Register;
(ii) Commercial publication, provided that such commercial
publication is readily available to members of the public, or will be
made available upon request and payment of costs (if this method is
utilized, information on the cost of copies and the address from which
they may be obtained shall be published in the Federal Register); or
(iii) Furnishing internally reproduced copies upon request, at cost
not to exceed the direct cost of duplication in accordance with subpart
D of this part, provided that it is determined, by an order published in
the Federal Register, that the publication of the index by methods
Sec. 701.65(d)(3) (i) or (ii) would be unnecessary or impracticable.
Such order shall state the cost of copies and the address from which
they may be obtained. The Chief of Naval Operations (N09B30) is
authorized to issue such an order in a proper case.
(4) Public inspection of indexes. In addition to publication by one
of the foregoing methods, each index will be made available for public
inspection and copying in accordance with Sec. 701.65(e) at the
locations where Department of
[[Page 86]]
the Navy records are available for public inspection.
(e) Where records may be inspected. Locations and times at which
Department of the Navy records, and indexes thereof, are available for
public inspection and copying are shown in Sec. 701.32.
(f) Cost. Fees for copying services, if any, furnished at locations
shown in Sec. 701.32 shall be determined in accordance with subpart D of
this part.
(g) Records of the United States Navy-Marine Corps Court of Military
Review. The United States Navy-Marine Corps Court of Military Review is
deemed to be a ``court of the United States'' within the meaning of 5
U.S.C. 551 and is therefore excluded from the requirements of 5 U.S.C.
552. Nevertheless, unpublished decisions of the United States Navy-
Marine Corps Court of Military Review, although not indexed, are
available for public inspection at the location shown in Sec. 701.32(c).
Sec. 701.66 Publication of proposed regulations for public comment.
(a) Discussion. The requirements of this section are not imposed by
statute, but are the implementation of policies and procedures created
administratively in 32 CFR part 336. In effect, the pertinent provisions
of 32 CFR part 336 establish, within the Department of Defense and its
components, procedures that are analogous to the public rulemaking
procedures applicable to some functions of other Federal agencies under
5 U.S.C. 553. While the administrative policy of encouraging the maximum
practicable public participation in the Department of the Navy
rulemaking shall be diligently followed, determinations by the
Department of the Navy as to whether a proposed regulatory requirement
originated by it comes within the purview of this paragraph and the
corresponding provisions of 32 CFR part 336, and as to whether inviting
public comment is warranted, shall be conclusive and final.
(b) Classes of documents affected. Each proposed regulation or other
document of a class described in Sec. 701.64(a) (or a proposed revision
of an adopted document of any of those classes) which would
``originate'' within the Department of the Navy a requirement of general
applicability and future effect for implementing, interpreting, or
prescribing law or policy, or practice and procedure requirements
constituting authority for prospective actions having substantial and
direct impact on the public, or a significant portion of the public,
must be evaluated to determine whether inviting public comment prior to
issuance is warranted. Documents that merely implement regulations
previously issued by higher naval authorities or by the Department of
Defense will not be deemed to ``originate'' requirements within the
purview of this section. If a proposed document is within the purview of
this section, publication to invite public comment will be warranted
unless, upon evaluation, it is affirmatively determined both that a
significant and legitimate interest of the Department of the Navy or the
public will be served by omitting such publication for public comment,
and that the document is subject to one or more of the following
exceptions:
(1) It pertains to a military or foreign affairs function of the
United States which has been determined under the criteria of an
Executive Order or statute to require a security classification in the
interests of national defense or foreign policy;
(2) It relates to naval management, naval military or civilian
personnel, or public contracts (e.g., Navy Procurement Directives),
including nonappropriated fund contracts;
(3) It involves interpretative rules, general statements of policy,
or rules of agency organization, procedure, or practice; or
(4) It is determined with regard to the document, for good cause,
that inviting public comment is impracticable, unnecessary, or contrary
to the public interest.
(c) Procedures--(1) Normal case. Unless the official having
cognizance of a proposed regulatory document determines under the
criteria of Sec. 701.66(b) that inviting public comment is not
warranted, he or she shall cause it to be published in the Federal
Register with an invitation for the public to submit comments in the
form of written data, views, or arguments during a specified period of
not less than 30 days
[[Page 87]]
following the date of publication. An opportunity for oral presentation
normally will not be provided, but may be provided at the sole
discretion of the official having cognizance of the proposed directive
if he or she deems it to be in the best interest of the Department of
the Navy or the public to do so. After careful consideration of all
relevant matters presented within the period specified for public
comment, the proposed document may be issued in final form. After
issuance, the adopted document, and a preamble explaining the
relationship of the adopted document to the proposed document and the
nature and effect of public comments, shall be published in the Federal
Register for the guidance of the public.
(2) Where public comment is not warranted. The official having
cognizance of a proposed document within the purview of this paragraph
shall, if he or she determines that inviting public comment concerning
the document is not warranted under the criteria of Sec. 701.66(b),
incorporate that determination, and the basis therefor, in the document
when it is issued or submitted to a higher authority for issuance. After
issuance, such document shall be published in the Federal Register for
the guidance of the public, if required under Sec. 701.64(b).
Sec. 701.67 Petitions for issuance, revision, or cancellation of regulations affecting the public.
In accordance with the provisions of 32 CFR part 336, the Department
of the Navy shall accord any interested person the right to petition, in
writing, for the issuance, revision, or cancellation of regulatory
document that originates, or would originate, for the Department of the
Navy, a policy, requirement, or procedure which is, or would be, within
the purview of Sec. 701.66. The official having cognizance of the
particular regulatory document involved, or having cognizance of the
subject matter of a proposed document, shall give full and prompt
consideration to any such petition. Such official may, at his or her
absolute discretion, grant the petitioner an opportunity to appear, at
his or her own expense, for the purpose of supporting the petition, if
this is deemed to be compatible with orderly conduct of public business.
The petitioner shall be advised in writing of the disposition, and the
reasons for the disposition, of any petition within the purview of this
section.
Subpart F--Department of the Navy Privacy Act Program
Authority: Pub. L. 93-579, 88 stat. 1896 (5 U.S.C. 552a).
Source: 59 FR 55348, Nov. 7, 1994, unless otherwise noted.
Sec. 701.100 Purpose.
Subparts F and G of this part implement the Privacy Act (5 U.S.C.
552a), and DoD Directive 5400.11 \1\, and DoD 5400.11-R \2\, (see 32 CFR
part 310) and provides Department of the Navy policies and procedures
for:
---------------------------------------------------------------------------
\1\ Copies may be obtained, at cost, from the National Technical
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
\2\ See footnote 1 to Sec. 701.100.
---------------------------------------------------------------------------
(a) Governing the collection, safeguarding, maintenance, use,
access, amendment, and dissemination of personal information kept by
Department of the Navy in systems of records;
(b) Notifying individuals if any systems of records contain a record
pertaining to them;
(c) Verifying the identity of individuals who request their records
before the records are made available to them;
(d) Notifying the public of the existence and character of each
system of records.
(e) Exempting systems of records from certain requirements of the
Privacy Act; and
(f) Governing the Privacy Act rules of conduct for Department of the
Navy personnel, who will be subject to criminal penalties for
noncompliance with 5 U.S.C. 552a, as amended by the Computer Matching
Act of 1988.
Sec. 701.101 Applicability.
This subpart and subpart G of this part apply throughout the
Department of the Navy. It is also applicable to
[[Page 88]]
contractors by contract or other legally binding action, whenever a
Department of the Navy contract provides for the operation of a system
of records or portion of a system of records to accomplish a Department
of the Navy function. For the purposes of any criminal liabilities
adjudged, any contractor or any employee of such contractor is
considered to be an employee of Department of the Navy. In case of a
conflict, this subpart and subpart G of this part take precedence over
any existing Department of the Navy directive that deals with the
personal privacy and rights of individuals regarding their personal
records, except for disclosure of personal information required by 5
U.S.C. 552 (1988) as amended by the Freedom of Information Reform Act
and implemented by Secretary of the Navy Instruction 5720.42E \3\,
``Department of the Navy Freedom of Information Act Program.''
---------------------------------------------------------------------------
\3\ Copies available from Chief of Naval Operations (N09B30), 2000
Navy Pentagon, Washington, DC 20350-2000.
---------------------------------------------------------------------------
Sec. 701.102 Definitions.
For the purposes of this subpart and subpart G of this part, the
following meanings apply.
(a) Access. The review or copying of a record or parts thereof
contained in a system of records by any individual.
(b) Agency. For the purposes of disclosing records subject to the
Privacy Act between or among Department of Defense (DoD) components, the
Department of Defense is considered a single agency. For all other
purposes, Department of the Navy is considered an agency within the
meaning of Privacy Act.
(c) Confidential source. A person or organization who has furnished
information to the Federal Government either under an express promise
that the person's or the organization's identity will be held in
confidence or under an implied promise of such confidentiality if this
implied promise was made before September 27, 1975.
(d) Defense Data Integrity Board. Consists of members of the Defense
Privacy Board, as outlined in DoD Directive 5400.11 and, in addition,
the DoD Inspector General or the designee, when convened to oversee,
coordinate and approve or disapprove all DoD component computer matching
covered by the Privacy Act.
(e) Disclosure. The transfer of any personal information from a
system of records by any means of communication (such as oral, written,
electronic, mechanical, or actual review), to any person, private
entity, or government agency, other than the subject of the record, the
subject's designated agent or the subject's legal guardian.
(f) Federal personnel. Officers and employees of the Government of
the United States, members of the uniformed services (including members
of the Reserve Components), individuals or survivors thereof, entitled
to receive immediate or deferred retirement benefits under any
retirement program of the Government of the United States (including
survivor benefits).
(g) Individual. A living citizen of the United States or alien
lawfully admitted to the U.S. for permanent residence. The legal
guardian of an individual has the same rights as the individual and may
act on his or her behalf. No rights are vested in the representative of
a deceased person under this instruction and the term ``individual''
does not embrace an individual acting in a non-personal capacity (for
example, sole proprietorship or partnership).
(h) Individual access. Access to information pertaining to the
individual by the individual or his or her designated agent or legal
guardian.
(i) Maintain. Includes maintain, collect, use, or disseminate.
(j) Member of the public. Any individual or party acting in a
private capacity.
(k) Minor. Under this subpart and subpart G of this part, a minor is
an individual under 18 years of age, who is not a member of the U.S.
Navy or Marine Corps, nor married.
(l) Official use. Under this subpart and subpart G of this part,
this term is used when Department of the Navy officials and employees
have a demonstrated need for the use of any record or the information
contained therein in the performance of their official duties.
(m) Personal information. Information about an individual that is
intimate or
[[Page 89]]
private to the individual, as distinguished from information related
solely to the individual's official functions or public life.
(n) Privacy Act (PA) request. A request from an individual for
notification as to the existence of, access to, or amendment of records
pertaining to that individual. These records must be maintained in a
system of records.
(o) Record. Any item, collection, or grouping of information about
an individual that is maintained by a naval activity including, but not
limited to, the individual's education, financial transactions, and
medical, criminal, or employment history, and that contains the
individual's name or other identifying particulars assigned to the
individual, such as a finger or voice print or a photograph.
(p) Review authority. An official charged with the responsibility to
rule on administrative appeals of initial denials of requests for
notification, access, or amendment of records. The Secretary of the Navy
has delegated his review authority to the Assistant Secretary of the
Navy (Manpower and Reserve Affairs (ASN(M&RA)), the General Counsel
(OGC), and the Judge Advocate General (NJAG). Additionally, the Office
of Personnel Management (OPM) is the review authority for civilian
official personnel folders or records contained in any other OPM record.
(q) Risk assessment. An analysis which considers information
sensitivity, vulnerability, and cost to a computer facility or word
processing center in safeguarding personal information processed or
stored in the facility or center.
(r) Routine use. Disclosure of a record outside the Department of
Defense for a purpose that is compatible with the purpose for which the
record was collected and maintained by the Department of Defense. The
routine use must have been included in the notice for the system of
records published in the Federal Register.
(s) Statistical record. A record maintained only for statistical
research, or reporting purposes, and not used in whole or in part in
making any determination about a specific individual.
(t) System manager. An official who has overall responsibility for a
system of records. He or she may serve at any level in Department of the
Navy. Systems managers are indicated in the published record systems
notices. If more than one official is indicated as a system manager,
initial responsibility resides with the manager at the appropriate level
(i.e., for local records, at the local activity).
(u) System of records. A group of records under the control of a
Department of the Navy activity from which information is retrieved by
the individual's name or by some identifying number, symbol, or other
identifying particular assigned to the individual. System notices for
all Privacy Act systems of records must be published in the Federal
Register and are also published in periodic Chief of Naval Operations
Notes (OPNAVNOTEs) 5211 \4\.
---------------------------------------------------------------------------
\4\ See footnote 3 to Sec. 701.101.
---------------------------------------------------------------------------
(v) Word processing equipment. Any combination of electronic
hardware and computer software integrated in a variety of forms
(firmware, programmable software, hard wiring, or similar equipment)
that permits the processing of textual data. Generally, the equipment
contains a device to receive information, a computer-like processor with
various capabilities to manipulate the information, a storage medium,
and an output device.
(w) Word processing system. A combination of equipment employing
automated technology, systematic procedures, and trained personnel for
the primary purpose of manipulating human thoughts and verbal or written
communications into a form suitable to the originator. The results are
written or graphic presentations intended to communicate verbally or
visually with another individual.
(x) Working day. All days excluding Saturday, Sunday, and legal
holidays.
Sec. 701.103 Policy.
It is the policy of Department of the Navy to:
(a) Ensure that all its personnel comply fully with 5 U.S.C. 552a,
DoD Directive 5400.11 and DoD 5400.11-R, to protect individuals from
unwarranted invasions of privacy. Individuals covered by this protection
are living citizens of the U.S. or aliens lawfully admitted for
[[Page 90]]
permanent residence. A legal guardian of an individual or parent of a
minor when acting on the individual's or minor's behalf, has the same
rights as the individual or minor. (A member of the Armed Forces is not
a minor for the purposes of this subpart and subpart G of this part).
(b) Collect, maintain, and use only that personal information needed
to support a Navy function or program as authorized by law or E.O., and
disclose this information only as authorized by 5 U.S.C. 552a and this
subpart and subpart G of this part. In assessing need, consideration
shall be given to alternatives, such as use of information not
individually identifiable or use of sampling of certain data for certain
individuals only. Additionally, consideration is to be given to the
length of time information is needed, and the cost of maintaining the
information compared to the risks and adverse consequences of not
maintaining the information.
(c) Keep only personal information that is timely, accurate,
complete, and relevant to the purpose for which it was collected.
(d) Let individuals have access to, and obtain copies of, all or
portions of their records, subject to exemption procedures authorized by
law and this subpart and subpart G of this part.
(e) Let individuals request amendment of their records when
discrepancies proven to be erroneous, untimely, incomplete, or
irrelevant are noted.
(f) Let individuals request an administrative review of decisions
that deny them access, or refuse to amend their records.
(g) Ensure that adequate safeguards are enforced to prevent misuse,
unauthorized disclosure, alteration, or destruction of personal
information in records.
(h) Maintain no records describing how an individual exercises his
or her rights guaranteed by the First Amendment (freedom of religion,
political beliefs, speech, and press; peaceful assemblage; and petition
for redress of grievances), unless they are:
(1) Expressly authorized by statute;
(2) Authorized by the individual;
(3) Within the scope of an authorized law enforcement activity; or
(4) For the maintenance of certain items of information relating to
religious affiliation for members of the naval service who are
chaplains. This should not be construed, however, as restricting or
excluding solicitation of information which the individual is willing to
have in his or her record concerning religious preference, particularly
that required in emergency situations.
(5) Maintain only systems of records which have been published in
the Federal Register, in accordance with periodic Chief of Naval
Operations Notes (OPNAVNOTEs) 5211 and Sec. 701.105. These OPNAVNOTEs
5211 provide a listing of all Department of the Navy Privacy Act systems
of records and identify the Office of Personnel Management (OPM)
government-wide systems containing information on Department of the Navy
civilian employees, even though technically, Department of the Navy does
not have cognizance over them. A Privacy Act systems notice outlines
what kinds of information may be collected and maintained by naval
activities. When collecting/maintaining information in a Privacy Act
system of records, review the systems notice to ensure activity
compliance is within the scope of the system. If you determine the
systems notice does not meet your needs, contact the systems manager or
Chief of Naval Operations (N09B30) with your concerns so that amendment
of the system may be considered.
Sec. 701.104 Responsibility and authority.
(a) Chief of Naval Operations (CNO). CNO is designated as the
official responsible for administering and supervising the execution of
5 U.S.C. 552a, DoD Directive 5400.11, and DoD 5400.11-R. CNO has
designated the Assistant Vice Chief of Naval Operations (N09B30) as
principal Privacy Act Coordinator for the Department of the Navy to:
(1) Set Department of the Navy policy on the provisions of the
Privacy Act.
(2) Serve as principal advisor on all Privacy Act matters.
(3) Oversee the administration of the Privacy Act program, which
includes
[[Page 91]]
preparing the Department of the Navy Privacy Act report for submission
to Congress.
(4) Develop Navy-wide Privacy Act training program and serve as
training-oversight manager.
(5) Conduct staff assistance visits within Department of the Navy to
review compliance with 5 U.S.C. 552a and this subpart and subpart G of
this part.
(6) Coordinate and prepare responses for Privacy Act requests
received for Office of the Secretary of the Navy records.
(b) Commandant of the Marine Corps (CMC). CMC is responsible for
administering and supervising the execution of this subpart and subpart
G of this part within the Marine Corps. The Commandant has designated
the Director, Manpower Management Information Systems Division (HQMC
(Code MI)) as the Privacy Act coordinator for Headquarters, U.S. Marine
Corps.
(c) Privacy Act Coordinator. Each addressee is responsible for
implementing and administering a Privacy Act program under this subpart
and subpart G of this part. Each addressee shall designate a Privacy Act
Coordinator to:
(1) Serve as principal point of contact on Privacy Act matters.
(2) Provide training for activity/command personnel on the
provisions of 5 U.S.C. 552a and this subpart and subpart G of this part.
(3) Issue implementing instruction which designates the activity's
Privacy Act Coordinator, Privacy Act records disposition, Privacy Act
processing procedures, identification of Privacy Act systems of records
under their cognizance, and training aids for those personnel involved
with systems of records.
(4) Review internal directives, practices, and procedures, including
those having Privacy Act implications and where Privacy Act Statements
(PASs) are needed.
(5) Compile input and submit consolidated Privacy Act report to
Echelon 2 Privacy Act Coordinator, who, in turn, will provide
consolidated report to CNO (N09B30).
(6) Maintain liaison with records management officials (i.e.,
maintenance and disposal procedures and standards, forms, and reports),
as appropriate.
(7) Provide guidance on handling Privacy Act requests and scope of
Privacy Act exemptions.
(8) Conduct staff assistance visits within command and lower echelon
commands to ensure compliance with the Privacy Act.
(9) Echelon 2 Privacy Act Coordinators shall provide CNO (N09B30)
with a complete listing of all Privacy Act Coordinators under their
jurisdiction. Such information should include activity name and address,
office code, name of Privacy Act Coordinator, commercial and DSN
telephone number, and FAX number, if applicable.
(d) Release authority. Officials having cognizance over the
requested subject matter are authorized to respond to requests for
notification, access, and/or amendment of records. These officials could
also be systems managers (see Sec. 701.104(g)).
(e) Denial authority. Within the Department of the Navy, the
following chief officials, their respective vice commanders, deputies,
principal assistants, and those officials specifically designated by the
chief official are authorized to deny requests, either in whole or in
part, for notification, access and amendment, made under this subpart
and subpart G of this part, when the records relate to matters within
their respective areas of responsibility or chain of command:
(1) Department of the Navy. Civilian Executive Assistants; CNO; CMC;
Chief of Naval Personnel; Commanders of the Naval Systems Commands,
Office of Naval Intelligence, Naval Security Group Command, Naval
Imaging Command, and Naval Computer and Telecommunications Command;
Chief, Bureau of Medicine and Surgery; Auditor General of the Navy;
Naval Inspector General; Director, Office of Civilian Personnel
Management; Chief of Naval Education and Training; Commander, Naval
Reserve Force; Chief of Naval Research; Commander, Naval Oceanography
Command; heads of Department of the Navy Staff Offices, Boards, and
Councils; Flag Officers and General Officers. NJAG and his Deputy, and
OGC and his Deputies are excluded from this grant of authorization.
While NJAG
[[Page 92]]
and OGC are not denial authorities, they are authorized to further
delegate the authority conferred here to other senior officers/officials
within NJAG and OGC.
(2) For the shore establishment.(i) All officers authorized under
Article 22, Uniform Code of Military Justice (UCMJ) or designated in
section 0120, Manual of the Judge Advocate General (JAGINST 5800.7C)
\5\, to convene general courts-martial.
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\5\ Copies available from the Judge Advocate General, Navy
Department, 200 Stovall Street, Alexandria, VA 22332-2400.
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(ii) Commander, Naval Investigative Service Command.
(iii) Deputy Commander, Naval Legal Service Command.
(3) In the Operating Forces. All officers authorized by Article 22,
Uniform Code of Military Justice (UCMJ), or designated in section 0120,
Manual of the Judge Advocate General (JAGINST 5800.7C), to convene
general courts-martial.
(f) Review authority. (1) The Assistant Secretary of the Navy
(Manpower and Reserve Affairs), is the Secretary's designee, and shall
act upon requests for administrative review of initial denials of
requests for amendment of records related to fitness reports and
performance evaluations of military personnel (see Sec. 701.111(c)(3)).
(2) The Judge Advocate General and General Counsel, as the
Secretary's designees, shall act upon requests for administrative review
of initial denials of records for notification, access, or amendment of
records, as set forth in Sec. 701.111(c)(2) and (4).
(3) The authority of the Secretary of the Navy (SECNAV), as the head
of an agency, to request records subject to the Privacy Act from an
agency external to the Department of Defense for civil or criminal law
enforcement purposes, under subsection (b)(7) of 5 U.S.C. 552a, is
delegated to the Commandant of the Marine Corps, the Director of Naval
Intelligence, the Judge Advocate General, and the General Counsel.
(g) Systems manager. Systems managers, as designated in Department
of the Navy's compilation of systems notices (periodic Chief of Naval
Operations Notes (OPNAVNOTEs) 5211 \6\, ``Current Privacy Act
Issuances'') shall:
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\6\ See footnote 3 to Sec. 701.101.
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(1) Ensure the system has been published in the Federal Register and
that any additions or significant changes are submitted to CNO (N09B30)
for approval and publication. The systems of records should be
maintained in accordance with the systems notices as published in the
periodic Chief of Naval Operations Notes (OPNAVNOTEs) 5211, ``Current
Privacy Act Issuances.''
(2) Maintain accountability records of disclosures.
(h) Department of the Navy employees. Each employee of the
Department of the Navy has certain responsibilities for safeguarding the
rights of others. These include:
(1) Not disclosing any information contained in a system of records
by any means of communication to any person or agency, except as
authorized by this subpart and subpart G of this part.
(2) Not maintaining unpublished official files which would fall
under the provisions of 5 U.S.C. 552a.
(3) Safeguarding the privacy of individuals and confidentiality of
personal information contained in a system of records.
Sec. 701.105 Systems of records.
To be subject to this subpart and subpart G of this part, a ``system
of records'' must consist of ``records'' that are retrieved by the name,
or some other personal identifier, of an individual and be under the
control of Department of the Navy.
(a) Retrieval practices. (1) Records in a group of records that are
not retrieved by personal identifiers are not covered by this subpart
and subpart G of this part, even if the records contain information
about individuals and are under the control of Department of the Navy.
The records must be retrieved by personal identifiers to become a system
of records.
(2) If records previously not retrieved by personal identifiers are
rearranged
[[Page 93]]
so they are retrieved by personal identifiers, a new system notice must
be submitted in accordance with Sec. 701.107.
(3) If records in a system of records are rearranged so retrieval is
no longer by personal identifiers, the records are no longer subject to
this subpart and subpart G of this part and the records system notice
should be deleted in accordance with Sec. 701.107.
(b) Recordkeeping standards. A record maintained in a system of
records subject to this subpart and subpart G of this part must meet the
following criteria:
(1) Be accurate. All information in the record must be factually
correct.
(2) Be relevant. All information contained in the record must be
related to the individual who is the record subject and also must be
related to a lawful purpose or mission of the Department of the Navy
activity maintaining the record.
(3) Be timely. All information in the record must be reviewed
periodically to ensure that it has not changed due to time or later
events.
(4) Be complete. It must be able to stand alone in accomplishing the
purpose for which it is maintained.
(5) Be necessary. All information in the record must be needed to
accomplish a Department of the Navy mission or purpose established by
Federal Law or E.O. of the President.
(c) Authority to establish systems of records. Identify the specific
Federal statute or E.O. of the President that authorizes maintaining
each system of records. When a naval activity uses its ``internal
housekeeping'' statute, i.e., 5 U.S.C. 301, Departmental Regulations,
the naval instruction that implements the statute should also be
identified. A statute or E.O. authorizing a system of records does not
negate the responsibility to ensure the information in the system of
records is relevant and necessary.
(d) Exercise of First Amendment rights. (1) Do not maintain any
records describing how an individual exercises rights guaranteed by the
First Amendment of the U.S. Constitution unless expressly authorized by
Federal law; the individual; or pertinent to and within the scope of an
authorized law enforcement activity.
(2) First amendment rights include, but are not limited to, freedom
of religion, freedom of political beliefs, freedom of speech, freedom of
the press, the right to assemble, and the right to petition.
(e) System manager's evaluations and reviews. (1) Evaluate each new
system of records. Before establishing a system of records, evaluate the
information to be included and consider the following:
(i) The relationship of each item of information to be collected and
retained to the purpose for which the system is maintained (all
information must be relevant to the purpose);
(ii) The specific impact on the purpose or mission if each category
of information is not collected (all information must be necessary to
accomplish a lawful purpose or mission.);
(iii) The ability to meet the informational needs without using
personal identifiers (will anonymous statistical records meet the
needs?);
(iv) The length of time each item of information must be kept;
(v) The methods of disposal;
(vi) The cost of maintaining the information; and
(vii) Whether a system already exists that serves the purpose of the
new system.
(2) Evaluate and review all existing systems of records.
(i) When an alteration or amendment of an existing system is
prepared pursuant to Sec. 701.107(b) and (c), do the evaluation
described in Sec. 701.105(e).
(ii) Conduct the following reviews annually and be prepared to
report, in accordance with Sec. 701.104(c)(8), the results and
corrective actions taken to resolve problems uncovered.
(A) Training practices to ensure all personnel are familiar with the
requirements of 5 U.S.C. 552a, and DoD Directive 5400.11, ``DoD Privacy
Program'', this subpart and subpart G of this part, and any special
needs their specific jobs entail.
(B) Recordkeeping and disposal practices to ensure compliance with
this subpart and subpart G of this part.
(C) Ongoing computer matching programs in which records from the
system have been matched with non-DoD
[[Page 94]]
records to ensure that the requirements of Sec. 701.115 have been met.
(D) Actions of Department of the Navy personnel that resulted in
either Department of the Navy being found civilly liable or a person
being found criminally liable under 5 U.S.C. 552a, to determine the
extent of the problem and find the most effective way of preventing the
problem from occurring in the future.
(E) Each system of records notice to ensure it accurately describes
the system. Where major changes are needed, alter the system notice in
accordance with Sec. 701.107(b). If minor changes are needed, amend the
system notice pursuant to Sec. 701.107(c).
(iii) Every even-numbered year, review a random sample of Department
of the Navy contracts that provide for the operation of a system of
records to accomplish a Department of the Navy function, to ensure the
wording of each contract complies with the provisions of 5 U.S.C. 552a
and Sec. 701.105(h).
(iv) Every three years, beginning in 1992, review the routine use
disclosures associated with each system of records to ensure the
recipient's use of the records continues to be compatible with the
purpose for which the information was originally collected.
(v) Every three years, beginning in 1993, review each system of
records for which exemption rules have been established to determine
whether each exemption is still needed.
(vi) When directed, send the reports through proper channels to the
CNO (N09B30).
(f) Discontinued information requirements. (1) Immediately stop
collecting any category or item of information about individuals that is
no longer justified, and when feasible, remove the information from
existing records.
(2) Do not destroy records that must be kept in accordance with
retention and disposal requirements established under SECNAVINST 5212.5
\7\, ``Disposal of Navy and Marine Corps Records.''
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\7\ Copies available from OPNAV/SECNAV Directives Control Office,
Washington Navy Yard, Building 200, Washington, DC 20350-2000.
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(g) Review records before disclosing outside the Federal government.
Before disclosing a record from a system of records to anyone outside
the Federal government, take reasonable steps to ensure the record which
is being disclosed is accurate, relevant, timely, and complete for the
purposes it is being maintained.
(h) Federal government contractors--(1) Applicability to Federal
government contractors. (i) When a naval activity contracts for the
operation of a system of records to accomplish its function, the
activity must ensure compliance with this subpart and subpart G of this
part and 5 U.S.C. 552a. For the purposes of the criminal penalties
described in 5 U.S.C. 552a, the contractor and its employees shall be
considered employees of the agency during the performance of the
contract.
(ii) Consistent with Parts 24 and 52 of the Federal Acquisition
Regulation (FAR), contracts for the operation of a system of records
shall identify specifically the record system and the work to be
performed, and shall include in the solicitations and resulting contract
the terms as prescribed by the FAR.
(iii) If the contractor must use records that are subject to this
subpart and subpart G of this part to perform any part of a contract,
the contractor activities are subject to this subpart and subpart G of
this part.
(iv) This subpart and subpart G of this part do not apply to records
of a contractor that are:
(A) Established and maintained solely to assist the contractor in
making internal contractor management decisions, such as records
maintained by the contractor for use in managing the contract;
(B) Maintained as internal contractor employee records, even when
used in conjunction with providing goods or services to the naval
activity;
(C) Maintained as training records by an educational organization
contracted by a naval activity to provide training when the records of
the contract students are similar to and commingled with training
records of other students, such as admission forms, transcripts, and
academic counseling and similar records; or
(D) Maintained by a consumer reporting agency to which records have
been disclosed under contract in accordance with 31 U.S.C. 952d.
[[Page 95]]
(v) For contracting that is subject to this subpart and subpart G of
this part, naval activities shall publish instructions that:
(A) Furnish Privacy Act guidance to personnel who solicit, award, or
administer Government contracts;
(B) Inform prospective contractors of their responsibilities under
this subpart and subpart G of this part and the Department of the Navy
Privacy Program;
(C) Establish an internal system for reviewing contractor's
performance for compliance with the Privacy Act; and
(D) Provide for the biennial review of a random sample of contracts
that are subject to this subpart and subpart G of this part.
(2) Contracting procedures. The Defense Acquisition Regulatory (DAR)
Council, which oversees the implementation of the FAR within the
Department of Defense, is responsible for developing the specific
policies and procedures for soliciting, awarding, and administering
contracts that are subject to this subpart and subpart G of this part
and 5 U.S.C. 552a.
(3) Contractor compliance. Naval activities shall establish contract
surveillance programs to ensure contractors comply with the procedures
established by the DAR Council under the preceding subparagraph.
(4) Disclosing records to contractors. Disclosing records to a
contractor for use in performing a contract let by a naval activity is
considered a disclosure within Department of the Navy. The contractor is
considered the agent of Department of the Navy when receiving and
maintaining the records for that activity.
Sec. 701.106 Safeguarding records in systems of records.
Establish appropriate administrative, technical, and physical
safeguards to ensure the records in every system of records are
protected from unauthorized alteration, destruction, or disclosure.
Protect the records from reasonably anticipated threats or hazards that
could result in substantial harm, embarrassment, inconvenience, or
unfairness to any individual on whom information is maintained.
(a) Minimum standards. (1) Conduct risk analysis and management
planning for each system of records. Consider sensitivity and use of the
records, present and projected threats and vulnerabilities, and present
and projected cost-effectiveness of safeguards. The risk analysis may
vary from an informal review of a small, relatively insensitive system
to a formal, fully quantified risk analysis of a large, complex, and
highly sensitive system.
(2) Train all personnel operating a system of records or using
records from a system of records in proper record security procedures.
(3) Label information exempt from disclosure under this subpart and
subpart G of this part to reflect their sensitivity, such as ``FOR
OFFICIAL USE ONLY,'' ``PRIVACY ACT SENSITIVE: DISCLOSE ON A NEED-TO-KNOW
BASIS ONLY,'' or some other statement that alerts individuals of the
sensitivity to the records.
(4) Administer special administrative, physical, and technical
safeguards to protect records processed or stored in an automated data
processing or word processing system to protect them from threats unique
to those environments.
(b) Records disposal. (1) Dispose of records from systems of records
so as to prevent inadvertent disclosure. Disposal methods are considered
adequate if the records are rendered unrecognizable or beyond
reconstruction (i.e., such as tearing, burning, melting, chemical
decomposition, burying, pulping, pulverizing, shredding, or mutilation).
Magnetic media may be cleared by completely erasing, overwriting, or
degaussing the tape.
(2) The transfer of large volumes of records (e.g., printouts and
computer cards) in bulk to a disposal activity such as a Defense
Reutilization and Marketing Office for authorized disposal is not a
disclosure of records, if the volume of records, coding of the
information, or some other factor render it impossible to recognize any
personal information about a specific individual.
(3) When disposing or destroying large quantities of records from a
system of records, care must be taken to ensure that the bulk of the
records is
[[Page 96]]
maintained to prevent easy identification of specific records. If such
bulk is maintained, no special procedures are required. If bulk is not
maintained, or if the form of the records makes individually
identifiable information easily discernable, dispose of the records in
accordance with Sec. 701.106(b)(1).
Sec. 701.107 Criteria for creating, altering, amending and deleting Privacy Act systems of records.
(a) Criteria for a new system of records. A new system of records is
one for which no existing system notice has been published in the
Federal Register. If a notice for a system of records has been canceled
or deleted, and it is determined that it should be reinstated or reused,
a new system notice must be published in the Federal Register. Advance
public notice must be given before a naval activity may begin to collect
information for or use a new system of records. The following procedures
apply:
(1) Describe in the record system notice the contents of the record
system and the purposes and routine uses for which the information will
be used and disclosed.
(2) The public shall be given 30 days to comment on any proposed
routine uses before the routine uses are implemented.
(3) The notice shall contain the date the system of records will
become effective.
(b) Criteria for an alteration to a system of records notice. A
system is considered altered when any one of the following actions occur
or is proposed:
(1) A significant increase or change in the number or types of
individuals about whom records are maintained. For example, a decision
to expand a system of records that originally covered personnel assigned
to only one naval activity to cover personnel at several installations
would constitute an altered system. An increase or decrease in the
number of individuals covered due to normal growth or decrease is not an
alteration.
(2) A change that expands the types or categories of information
maintained. For example, a personnel file that has been expanded to
include medical records would be an alteration.
(3) A change that alters the purpose for which the information is
used. In order to be an alteration, the change must be one that is not
reasonably inferred from any of the existing purposes.
(4) A change to equipment configuration (either hardware or
software) that creates substantially greater use of records in the
system. For example, placing interactive computer terminals at regional
offices when the system was formerly used only at the headquarters would
be an alteration.
(5) A change in the manner in which records are organized or in the
method by which records are retrieved.
(6) Combining record systems due to a reorganization within
Department of the Navy.
(7) Retrieving by Social Security Numbers (SSNs), records that
previously were retrieved only by names would be an alteration if the
present notice failed to indicate retrieval by SSNs. An altered system
of records must be published in the Federal Register. Submission for an
alteration must contain a narrative statement, the specific changes
altering the system, and the system of records notice.
(c) Criteria for amending a systems of records notice. Minor changes
to published system of records notices are considered amendments. All
amendments should be forwarded to CNO (N09B30) for publication in the
Federal Register. When submitting an amendment to a system of records
notice, the naval activity must include a description of the specific
changes proposed and the system of records notice.
(d) Criteria for deleting a system of records notice. When a system
of records is discontinued, incorporated into another system, or
determined to be no longer subject to this subpart and subpart G of this
part, a deletion notice must be published in the Federal Register. The
deletion notice shall include the system identification number, system
name, and the reason for deleting it. If a system is deleted through
incorporation into or merger with another system, identify the successor
system in the deletion notice.
[[Page 97]]
Sec. 701.108 Collecting information about individuals.
(a) Collecting directly from the individual. To the greatest extent
practicable, collect information for systems of records directly from
the individual to whom the record pertains if the record may be used to
make an adverse determination about the individual's rights, benefits,
or privileges under the Federal programs.
(b) Collecting information about individuals from third persons. It
might not always be practical to collect all information about an
individual directly from that person, such as verifying information
through other sources for security or employment suitability
determinations; seeking other opinions, such as a supervisor's comments
on past performance or other evaluations; obtaining the necessary
information directly from the individual would be exceptionally
difficult or would result in unreasonable costs or delays; or, the
individual requests or consents to contacting another person to obtain
the information.
(c) Soliciting the social security number (SSN). (1) It is unlawful
for any Federal, State, or local government agency to deny an individual
a right, benefit, or privilege provided by law because the individual
refuses to provide his or her SSN. However, this prohibition does not
apply if a Federal law requires that the SSN be provided, or the SSN is
required by a law or regulation adopted before January 1, 1975, to
verify the individual's identity for a system of records established and
in use before that date.
(2) Before requesting an individual to provide the SSN, the
individual must be advised whether providing the SSN is mandatory or
voluntary; by what law or other authority the SSN is solicited; and what
uses will be made of the SSN.
(3) The preceding advice relates only to the SSN. If other
information about the individual is solicited for a system of records, a
Privacy Act statement (PAS) also must be provided to him/her.
(4) The notice published in the Federal Register for each system of
records containing SSNs solicited from individuals must indicate the
authority for soliciting the SSNs and whether it is mandatory for the
individuals to provide their SSNs. E.O. 9397 requires federal agencies
to use SSNs as numerical identifiers for individuals in most federal
records systems, however, it does not make it mandatory for individuals
to provide their SSNs.
(5) When entering military service or civilian employment with the
Department of the Navy, individuals must provide their SSNs. This is
then the individual's numerical identifier and is used to establish
personnel, financial, medical, and other official records (as authorized
by E.O. 9397). The individuals must be given the notification described
above. Once the individual has provided his or her SSN to establish the
records, a notification is not required when the SSN is requested only
for identification or to locate the records.
(6) The Federal Personnel Manual \8\ must be consulted when
soliciting SSNs for use in systems of records maintained by the Office
of Personnel Management.
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\8\ Copies available from the Office of Personnel Management, 1900 E
Street, Washington, DC 20415.
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(7) A Department of the Navy activity may request an individual's
SSN even though it is not required by Federal statute, or is not for a
system of records in existence and operating prior to January 1, 1975.
However, the separate Privacy Act Statement for the SSN, alone, or a
merged Privacy Act Statement covering both the SSN and other items of
personal information, must make clear that disclosure of the number is
voluntary. If the individual refuses to disclose his or her SSN, the
activity must be prepared to identify the individual by alternate means.
(d) Contents of Privacy Act Statement.(1) When an individual is
requested to furnish information about himself/herself for a system of
records, a Privacy Act Statement must be provided to the individual,
regardless of the method used to collect the information (i.e., forms,
personal or telephonic interview, etc). If the information requested
will not be included in a
[[Page 98]]
system of records, a Privacy Act Statement is not required.
(2) The Privacy Act Statement shall include the following:
(i) The Federal law or E.O. that authorizes collecting the
information (i.e., E.O. 9397 authorizes collection of SSNs);
(ii) Whether or not it is mandatory for the individual to provide
the requested information (It is only mandatory when a Federal law or
E.O. of the President specifically imposes a requirement to furnish the
information and provides a penalty for failure to do so. If furnishing
information is a condition for granting a benefit or privilege
voluntarily sought by the individual, it is voluntary for the individual
to give the information.);
(iii) The principle purposes for collecting the information;
(iv) The routine uses that will be made of the information (i.e., to
whom and why it will be disclosed outside the Department of Defense);
and
(v) The possible effects on the individual if the requested
information is not provided.
(3) The Privacy Act Statement must appear on the form used to
collect the information or on a separate form that can be retained by
the individual collecting the information. If the information is
collected by means other than a form completed by the individual, i.e.,
solicited over the telephone, the Privacy Act Statement should be read
to the individual and if requested by the individual, a copy sent to
him/her. There is no requirement that the individual sign the Privacy
Act Statement.
(e) Format for Privacy Act Statement. When forms are used to collect
information about individuals for a system of records, the Privacy Act
Statement shall appear as follows (listed in the order of preference):
(1) Immediately below the title of the form,
(2) Elsewhere on the front page of the form (clearly indicating it
is the Privacy Act Statement),
(3) On the back of the form with a notation of its location below
the title of the form, or
(4) On a separate form which the individual may keep.
Sec. 701.109 Access to records.
(a) Individual access to records-- (1) Right of access. Only
individuals who are subjects of records maintained in systems of records
and by whose personal identifiers the records are retrieved have the
right of individual access under this subpart and subpart G of this
part, unless they provide written authorization for their representative
to act on their behalf. Legal guardians or parents acting on behalf of a
minor child also have the right of individual access under this subpart
and subpart G of this part.
(2) Notification of record's existence. Each naval activity shall
establish procedures for notifying an individual, in response to his or
her request, if a system of records identified by him/her contains a
record pertaining to the individual.
(3) Individual request for access. Individuals shall address
requests for access to records in systems of records to the system
manager or the office designated in the Department of the Navy
compilation of system notices (periodic Chief of Naval Operations Notes
(OPNAVNOTEs) 5211, ``Current Privacy Act Issuances'').
(4) Verifying identity. (i) An individual shall provide reasonable
verification of identity before obtaining access to records.
(ii) When requesting records in writing, naval activities may not
insist that a requester submit a notarized signature. The courts have
ruled that an alternative method of verifying identity must be
established for individuals who do not have access to notary services.
This alternative permits requesters to provide an unsworn declaration
that states ``I declare under perjury or penalty under the laws of the
United States of American that the foregoing is true and correct.''
(iii) When an individual seeks access in person, identification can
be verified by documents normally carried by the individual (i.e.,
identification card, driver's license, or other license, permit or pass
normally used for identification purposes).
(iv) When access is requested other than in writing, identity may be
verified by the individual's providing minimum identifying data such as
full
[[Page 99]]
name, date and place of birth, or other information necessary to locate
the record sought. If the information sought is sensitive, additional
identifying data may be required. Telephonic requests should not be
honored.
(v) Allow an individual to be accompanied by a person of his or her
choice when viewing the record; however, require the individual to
provide written authorization to have the record discussed in front of
the other person.
(vi) Do not deny access to an individual who is the subject of the
record solely for refusing to divulge his or her SSN, unless it is the
only means of retrieving the record or verifying identity.
(vii) Do not require the individual to explain why he or she is
seeking access to a record under this subpart and subpart G of this
part.
(viii) Only a designated denial authority may deny access. The
denial must be in writing and contain the information required by
Sec. 701.109(d).
(5) Blanket requests not honored. Do not honor requests from
individuals for notification and/or access concerning all Department of
the Navy systems of records. In these instances, notify the individual
that requests for notification and/or access must be directed to the
appropriate system manager for the particular record system being
requested, as indicated in the periodic Chief of Naval Operations Notes
(OPNAVNOTEs) 5211, ``Current Privacy Act Issuances''; and the request
must either designate the particular system of records to be searched,
or provide sufficient information for the system manager to identify the
appropriate system. Also, provide the individual with any other
information needed for obtaining consideration of his or her request.
(6) Granting individual access to records. (i) Grant the individual
access to the original record (or exact copy) without any changes or
deletions, other than those made in accordance with Sec. 701.113.
(ii) Grant the individual's request for an exact copy of the record,
upon the signed authorization of the individual, and provide a copy to
anyone designated by the individual. In either case, the copying fees
may be assessed to the individual pursuant to Sec. 701.109(b).
(iii) If requested, explain any record or portion of a record that
is not understood, as well as any changes or deletions.
(7) Illegible or incomplete records. Do not deny an individual
access solely because the physical condition or format of the record
does not make it readily available (i.e., when the record is in a
deteriorated state or on magnetic tape). Either prepare an extract or
recopy the document exactly.
(8) Access by parents and legal guardians. (i) The parent of any
minor, or the legal guardian of any individual declared by a court of
competent jurisdiction to be incompetent due to physical or mental
incapacity or age, may obtain access to the record of the minor or
incompetent individual if the parent or legal guardian is acting on
behalf or for the benefit of the minor or incompetent. However, with
respect to access by parents and legal guardians to medical records and
medical determinations about minors, use the following procedures:
(A) In the United States, the laws of the state where the records
are located might afford special protection to certain medical records
(i.e., drug and alcohol abuse treatment, and psychiatric records). The
state statutes might apply even if the records are maintained by a naval
medical facility.
(B) For installations located outside the U.S., the parent or legal
guardian of a minor shall be denied access if all four of the following
conditions are met:
(1) The minor at the time of the treatment or consultation was 15,
16, or 17 years old;
(2) The treatment or consultation was within a program authorized by
law or regulation to provide confidentiality to the minor;
(3) The minor indicated a desire that the treatment or consultation
record be handled in confidence and not disclosed to a parent or
guardian; and
(4) The parent or legal guardian does not have the written
authorization of the minor or a valid court order granting access.
[[Page 100]]
(ii) A minor or incompetent has the same right of access as any
other individual under this subpart and subpart G of this part. The
right of access of the parent or legal guardian is in addition to that
of the minor or incompetent.
(9) Access to information compiled in reasonable anticipation of a
civil proceeding. (i) An individual is not entitled under this subpart
and subpart G of this part to access information compiled in reasonable
anticipation of a civil action or proceeding.
(ii) The term ``civil action or proceeding'' includes quasi-judicial
and pre-trial judicial proceedings, as well as formal litigation.
(iii) Section 701.109(9)(i) and (ii) do not prohibit access to
records compiled or used for purposes other than litigation, nor
prohibit access to systems of records solely because they are frequently
subject to litigation. The information must have been compiled for the
primary purpose of litigation.
(10) Personal notes or records not under the control of the
Department of the Navy. (i) Certain documents under the control of a
Department of the Navy employee and used to assist him/her in performing
official functions are not considered Department of the Navy records
within the meaning of this subpart and subpart G of this part. These
documents are not systems of records that are subject to this subpart
and subpart G of this part, if they are:
(A) Maintained and discarded solely at the discretion of the author;
(B) Created only for the author's personal convenience;
(C) Not the result of official direction or encouragement, whether
oral or written; and
(D) Not shown to other persons for any reason or filed in agency
files.
(11) Relationship between the Privacy Act and FOIA. In some
instances, individuals requesting access to records pertaining to
themselves may not know which Act to cite as the appropriate statutory
authority. The following guidelines are to ensure that the individuals
receive the greatest degree of access under both Acts:
(i) Access requests that specifically state or reasonably imply that
they are made under 5 U.S.C. 552 (1988) as amended by the Freedom of
Information Reform Act of 1986, are processed under Secretary of the
Navy Instruction 5720.42E, ``Department of the Navy Freedom of
Information Act Program.''
(ii) Access requests that specifically state or reasonably imply
that they are made under 5 U.S.C. 552a are processed under this subpart
and subpart G of this part.
(iii) Access requests that cite both 5 U.S.C. 552a, as amended by
the Computer Matching Act of 1988 and 5 U.S.C. 552 (1988) as amended by
the Freedom of Information Reform Act are processed under the Act that
provides the greater degree of access. Inform the requester which
instruction was used in granting or denying access.
(iv) Do not penalize the individual access to his or her records
otherwise releasable under 5 U.S.C. 552a and periodic Chief of Naval
Operations Notes (OPNAVNOTEs) 5211, ``Current Privacy Act Issuances'',
simply because he or she failed to cite the appropriate statute or
instruction.
(12) Time Limits. Acknowledge requests for access made under Privacy
Act or this subpart and subpart G of this part within 10 working days
after receipt, and advise the requester of your decision to grant/deny
access within 30 working days.
(b) Reproduction fees. Normally, only one copy of any record or
document will be provided. Checks or money orders for fees should be
made payable to the Treasurer of the United States and deposited to the
miscellaneous receipts of the treasury account maintained at the finance
office servicing the activity.
(1) Fee schedules shall include only the direct cost of reproduction
and shall not include costs of:
(i) Time or effort devoted to searching for or reviewing the record
by naval personnel;
(ii) Fees not associated with the actual cost of reproduction;
(iii) Producing a copy when it must be provided to the individual
without cost under another regulation, directive, or law;
(iv) Normal postage;
(v) Transportation of records or personnel; or
[[Page 101]]
(vi) Producing a copy when the individual has requested only to
review the record and has not requested a copy to keep, and the only
means of allowing review is to make a copy (e.g., the record is stored
in a computer and a copy must be printed to provide individual access,
or the naval activity does not wish to surrender temporarily the
original record for the individual to review).
(2) Fee schedules.
(i) Office copy (per page)............$.10
(ii) Microfiche (per fiche)............$.25
(3) Fee waivers. Waive fees automatically if the direct cost of
reproduction is less than $15, unless the individual is seeking an
obvious extension or duplication of a previous request for which he or
she was granted a waiver. Decisions to waive or reduce fees that exceed
$15 are made on a case-by-case basis.
(c) Denying individual access. (1) Deny the record subject access to
requested record only if it was compiled in reasonable anticipation of a
civil action or proceeding or is in a system of records that has been
exempt from the access provisions of Sec. 701.113.
(2) Deny the individual access only to those portions of the record
for which the denial will serve a legitimate government purpose. An
individual may be refused access for failure to comply with established
procedural requirements, but must be told the specific reason for the
refusal and the proper access procedures.
(3) Deny the individual access to his or her medical and
psychological records if it is determined that access could have an
adverse affect on the mental or physical health of the individual. This
determination normally should be made in consultation with a medical
practitioner. If it is medically indicated that access could have an
adverse mental or physical effect on the individual, provide the record
to a medical practitioner named by the individual, along with an
explanation of why access without medical supervision could be harmful
to the individual. In any case, do not require the named medical
practitioner to request the record for the individual. If, however, the
individual refuses or fails to designate a medical practitioner, access
shall be refused. The refusal is not considered a denial for reporting
purposes under the Privacy Act.
(d) Notifying the individual. Written denial of access must be given
to the individual. The denial letter shall include:
(1) The name, title, and signature of a designated denial authority;
(2) The date of the denial;
(3) The specific reason for the denial, citing the appropriate
subsections of 5 U.S.C. 552a or this subpart and subpart G of this part
authorizing the denial;
(4) The individual's right to appeal the denial within 60 calendar
days of the date the notice is mailed; and
(5) The title and address of the review authority.
Sec. 701.110 Amendment of records.
(a) Individual review and amendment. Encourage individuals to review
periodically, the information maintained about them in systems of
records, and to avail themselves of the amendment procedures established
by this subpart and subpart G of this part.
(1) Right to amend. An individual may request to amend any record
retrieved by his or her personal identifier from a system of records,
unless the system has been exempt from the amendment procedures under
this subpart. Amendments under this subpart and subpart G of this part
are limited to correcting factual matters, not matters of opinion (i.e.,
information contained in evaluations of promotion potential or
performance appraisals). When records sought to be amended are covered
by another issuance, the administrative procedures under that issuance
must be exhausted before using the Privacy Act. In other words, the
Privacy Act may not be used to avoid the administrative procedures
required by the issuance actually covering the records in question.
(2) In writing. Amendment requests shall be in writing, except for
routine administrative changes, such as change of address.
(3) Content of amendment request. An amendment request must include
a description of the information to be amended; the reason for the
amendment; the type of amendment action
[[Page 102]]
sought (i.e., deletion, correction, or addition); and copies of
available documentary evidence supporting the request.
(b) Burden of proof. The individual must provide adequate support
for the request.
(c) Verifying identity. The individual may be required to provide
identification to prevent the inadvertent or intentional amendment of
another's record. Use the verification guidelines provided in
Sec. 701.109(a)(4).
(d) Limits on amending judicial and quasi-judicial evidence and
findings. This subpart and subpart G of this part do not permit the
alteration of evidence presented in the course of judicial or quasi-
judicial proceedings. Amendments to such records must be made in
accordance with procedures established for such proceedings. This
subpart and subpart G of this part do not permit a collateral attack on
a judicial or quasi-judicial finding; however, this subpart and subpart
G of this part may be used to challenge the accuracy of recording the
finding in a system of records.
(e) Standards for amendment request determinations. The record which
the individual requests to be amended must meet the recordkeeping
standards established in Sec. 701.105. The record must be accurate,
relevant, timely, complete, and necessary. If the record in its present
state does not meet each of the criteria, grant the amendment request to
the extent necessary to meet them.
(f) Time limits. Within 10 working days of receiving an amendment
request, the systems manager shall provide the individual a written
acknowledgement of the request. If action on the amendment request is
completed within the 10 working days and the individual is so informed,
no separate acknowledgment is necessary. The acknowledgment must clearly
identify the request and advise the individual when to expect
notification of the completed action. Only under exceptional
circumstances should more than 30 working days be required to complete
the action on an amendment request.
(g) Granting an amendment request in whole or in part--(1) Notify
the requester. To the extent the amendment request is granted, the
systems manager shall notify the individual and make the appropriate
amendment.
(2) Notify previous recipients. Notify all previous recipients of
the information (as reflected in the disclosure accounting record) that
the amendment has been made and provide each a copy of the amended
record. Recipients who are known to be no longer retaining the record
need not be advised of the amendment. If it is known that other naval
activities, DoD components, or Federal agencies have been provided the
information that now requires amendment, or if the individual requests
that these agencies be notified, provide the notification of amendment
even if those activities or agencies are not listed on the disclosure
accounting form.
(h) Denying an amendment request in whole or in part. If the
amendment request is denied in whole or in part, promptly notify the
individual in writing. Include in the notification to the individual the
following:
(1) Those sections of 5 U.S.C. 552a or this subpart and subpart G of
this part upon which the denial is based;
(2) His or her right to appeal to the head of the activity for an
independent review of the initial denial;
(3) The procedures for requesting an appeal, including the title and
address of the official to whom the appeal should be sent; and
(4) Where the individual can receive assistance in filing the
appeal.
(i) Requests for amending OPM records. The records in an OPM
government-wide system of records are only temporarily in the custody of
naval activities. Requests for amendment of these records must be
processed in accordance with OPM Regulations and the Federal Personnel
Manual. The denial authority may deny a request, but all denials are
subject to review by the Assistant Director for Workforce Information,
Personnel Systems Oversight Group, Office of Personnel Management, 1900
E Street, NW, Washington, DC 20415.
(j) Individual's statement of disagreement. (1) If the review
authority refuses to amend the record as requested, the
[[Page 103]]
individual may submit a concise statement of disagreement listing the
reasons for disagreeing with the refusal to amend.
(2) If possible, incorporate the statement of disagreement into the
record. If that is not possible, annotate the record to reflect that the
statement was filed and maintain the statement so that it can be readily
obtained when the disputed information is used or disclosed.
(3) Furnish copies of the statement of disagreement to all
individuals listed on the disclosure accounting form (except those known
to be no longer retaining the record), as well as to all other known
holders of copies of the record.
(4) Whenever the disputed information is disclosed for any purpose,
ensure that the statement of disagreement also is used or disclosed.
(k) Department of the Navy statement of reasons. (1) If the
individual files a statement of disagreement, the naval activity may
file a statement of reasons containing a concise summary of the
activity's reasons for denying the amendment request.
(2) The statement of reasons shall contain only those reasons given
to the individual by the appellate official and shall not contain any
comments on the individual's statement of disagreement.
(3) At the discretion of the naval activity, the statement of
reasons may be disclosed to those individuals, activities, and agencies
that receive the statement of disagreement.
Sec. 701.111 Privacy Act appeals.
(a) How to file an appeal. The following guidelines shall be
followed by individuals wishing to appeal a denial of notification,
access, or amendment of records.
(1) The appeal must be received by the cognizant review authority
(i.e., ASN (M&RA), NJAG, OGC, or OPM) within 60 calendar days of the
date of the response.
(2) The appeal must be in writing and requesters should provide a
copy of the denial letter and a statement of their reasons for seeking
review.
(b) Time of receipt. The time limits for responding to an appeal
commence when the appeal reaches the office of the review authority
having jurisdiction over the record. Misdirected appeals should be
referred expeditiously to the proper review authority.
(c) Review authorities. ASN (M&RA), NJAG, and OGC are authorized to
adjudicate appeals made to SECNAV. NJAG and OGC are further authorized
to delegate this authority to a designated Assistant NJAG and the
Principal Deputy General or Deputy General Counsel, respectively, under
such terms and conditions as they deem appropriate.
(1) If the record is from a civilian Official Personnel Folder or is
contained on any other OPM forms, send the appeal to the Assistant
Director for Workforce Information, Personnel Systems and Oversight
Group, Office of Personnel Management, 1900 E Street, NW, Washington, DC
20415. Records in all systems of records maintained in accordance with
the OPM government-wide systems notices are only in the temporary
custody of the Department of the Navy.
(2) If the record pertains to the employment of a present or former
Navy and Marine Corps civilian employee, such as Navy or Marine Corps
civilian personnel records or an employee's grievance or appeal file, to
the General Counsel, Navy Department, Washington, DC 20360-5110.
(3) If the record pertains to a present or former military member's
fitness reports or performance evaluations to the Assistant Secretary of
the Navy (Manpower and Reserve Affairs), Navy Department, Washington, DC
20350-1000.
(4) All other records dealing with present or former military
members to the Judge Advocate General, Navy Department, 200 Stovall
Street, Alexandria, VA 22332-2400.
(d) Appeal procedures. (1) If the appeal is granted, the review
authority shall advise the individual that his or her appeal has been
granted and provide access to the record being sought.
(2) If the appeal is denied totally or in part, the appellate
authority shall advise the reason(s) for denying the appeal, citing the
appropriate subsections of 5 U.S.C. 552a or this subpart and subpart G
of this part that apply; the date of the appeal determination; the name,
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title, and signature of the appellate authority; and a statement
informing the requester of his or her right to seek judicial relief in
the Federal District Court.
(e) Final action, time limits and documentation. (1) The written
appeal notification granting or denying access is the final naval
activity action on the initial request for access.
(2) All appeals shall be processed within 30 working days of
receipt, unless the appellate authority finds that an adequate review
cannot be completed within that period. If additional time is needed,
notify the applicant in writing, explaining the reason for the delay and
when the appeal will be completed.
(f) Denial of appeal by activity's failure to act. An individual may
consider his or her appeal denied if the appellate authority fails to:
(1) Take final action on the appeal within 30 working days of
receipt when no extension of time notice was given; or
(2) Take final action within the period established by the notice to
the appellate authority of the need for an extension of time to complete
action on the appeal.
Sec. 701.112 Disclosure of records.
(a) Conditions of disclosure. (1) 5 U.S.C. 552a prohibits an agency
from disclosing any record contained in a system of records to any
person or agency, except when the record subject gives written consent
for the disclosure or when one of the 12 conditions listed below in this
subsection applies.
(2) Except for disclosures made under 5 U.S.C. 552 (1988) as amended
by the Freedom of Information Reform Act of 1986 and Secretary of the
Navy Instruction 5720.42E, ``Department of the Navy Freedom of
Information Act Program,'' before disclosing any record from a system of
records to any recipient other than a Federal agency, make reasonable
efforts to ensure the record is accurate, relevant, timely, and complete
for Department of the Navy purposes. Records discovered to have been
improperly filed in the system of records should be removed before
disclosure.
(i) If validation cannot be obtained from the record itself, the
naval activity may contact the record subject (if reasonably available)
to verify the accuracy, timeliness, completeness, and relevancy of the
information.
(ii) If validation cannot be obtained from the record and the record
subject is not reasonably available, advise the recipient that the
information is believed to be valid as of a specific date and reveal any
factors bearing on the validity of the information.
(b) Nonconsensual disclosures. 5 U.S.C. 552a provides 12 instances
when a record in a system of records may be disclosed without the
written consent of the record subject:
(1) Disclosures within the Department of Defense. For purposes of
disclosing records, the Department of Defense is considered a single
agency; hence, a record may be disclosed to any officer or employee in
the Department of Defense (including private contractor personnel who
are engaged to perform services needed in connection with the operation
of a system of records for a DoD component), who have a need for the
record in the performance of their duties, provided this use is
compatible with the purpose for which the record is maintained. This
provision is based on the ``need to know'' concept.
(i) For example, this may include disclosure to personnel managers,
review boards, discipline officers, courts-martial personnel, medical
officers, investigating officers, and representatives of the Judge
Advocate General, Auditor General, Naval Inspector General, or the Naval
Investigative Service, who require the information in order to discharge
their official duties. Examples of personnel outside the Department of
the Navy who may be included are: Personnel of the Joint Staff, Armed
Forces Entrance and Examining Stations, Defense Investigative Service,
or the other military departments, who require the information in order
to discharge an official duty.
(ii) It may also include the transfer of records between naval
components and non-DoD agencies in connection with the Personnel
Exchange Program (PEP) and interagency support agreements. Disclosure
accountings are not required for intra-agency disclosure and disclosures
made in connection with interagency support agreements
[[Page 105]]
or the PEP. Although some disclosures authorized by this paragraph might
also meet the criteria for disclosure under other exceptions specified
in the following paragraphs of this section, they should be treated
under this paragraph for disclosure accounting purposes.
(2) Disclosures required by the FOIA. (i) A record must be disclosed
if required by 5 U.S.C. 552 (1988) as amended by the Freedom of
Information Reform Act of 1986, which is implemented by Secretary of the
Navy Instruction 5720.42E, ``Department of the Navy Freedom of
Information Act Program.''
(ii) 5 U.S.C. 552 (1988) as amended by the Freedom of Information
Reform Act of 1986 and Secretary of the Navy Instruction 5720.42E,
``Department of the Navy Freedom of Information Act Program'' require
that records be made available to any person requesting them in writing,
unless the record is exempt from disclosure under one of the nine FOIA
exemptions. Therefore, if a record is not exempt from disclosure, it
must be provided to the requester.
(iii) Certain records, such as personnel, medical, and similar
files, are exempt from disclosure under exemption (b)(6) of 5 U.S.C. 552
(1988) as amended by the Freedom of Information Act Reform Act of 1986.
Under that exemption, disclosure of information pertaining to an
individual can be denied only when the disclosure would be a clearly
unwarranted invasion of personal privacy. The first step is to determine
whether a viable personal privacy interest exists in these records
involving an identifiable living person. The second step is to consider
how disclosure would benefit the general public in light of the content
and context of the information in question. The third step is to
determine whether the identified public interests qualify for
consideration. The fourth step is to balance the personal privacy
interests against the qualifying public interest. Numerous factors must
be considered such as: The nature of the information to be disclosed
(i.e., Do individuals normally have an expectation of privacy in the
type of information to be disclosed?); importance of the public interest
served by the disclosure and probability of further disclosure which may
result in an unwarranted invasion of privacy; relationship of the
requester to the public interest being served; newsworthiness of the
individual to whom the information pertains (i.e., high ranking officer,
public figure); degree of sensitivity of the information from the
standpoint of the individual or the individual's family, and its
potential for being misused to the harm, embarrassment, or inconvenience
of the individual or the individual's family; the passage of time since
the event which is the topic of the record (i.e., to disclose that an
individual has been arrested and is being held for trial by court-
martial is normally permitted, while to disclose an arrest which did not
result in conviction might not be permitted after the passage of time);
and the degree to which the information is already in the public domain
or is already known by the particular requester.
(iv) Records or information from investigatory records, including
personnel security investigatory records, are exempt from disclosure
under the broader standard of ``an unwarranted invasion of personal
privacy'' found in exemption (b)(7)(C) of 5 U.S.C. 552. This broader
standard applies only to records or information compiled for law
enforcement purposes.
(v) A disclosure under 5 U.S.C. 552 about military members must be
in accordance with Secretary of the Navy Instruction 5720.42E,
``Department of the Navy Freedom of Information Act Program'', but the
following information normally may be disclosed from military personnel
records (except for those personnel assigned to sensitive or routinely
deployable units, or located in a foreign territory), without a clearly
unwarranted invasion of personal privacy: Full name, rank, date of rank,
base pay, past duty stations, present duty station and future duty
station (if finalized), unless the stations have been determined by the
Department of the Navy to be sensitive, routinely deployable, or located
in a foreign territory, office or duty telephone number, source of
commission, promotion
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sequence number, awards and decorations, attendance at professional
military schools, and duty status at any given time.
(vi) The following information normally may be disclosed from
civilian employee records about CONUS employees: Full name, present and
past position titles and occupational series, present and past grades,
present and past annual salary rates (including performance awards or
bonuses, incentive awards, merit pay amount, Meritorious and
Distinguished Executive Ranks, and allowances and differentials), past
duty stations, present duty station and future duty station (if
finalized), including room numbers, shop designations, or other
identifying information regarding buildings or places of employment,
unless the duty stations have been determined by the Department of the
Navy to be sensitive, routinely deployable, or located in a foreign
territory, position descriptions, identification of job elements, and
those performance standards (but not actual performance appraisals) that
the disclosure of which would not interfere with law enforcement
programs or severely inhibit Department of the Navy effectiveness.
(viii) Disclosure of home addresses and home telephone numbers
normally is considered a clearly unwarranted invasion of personal
privacy and is prohibited. However, they may be disclosed if the
individual has consented to the disclosure; the disclosure is required
by the FOIA; the disclosure is required by another law, such as 42
U.S.C. 653, which provides assistance to states in locating parents who
have defaulted on child support payments, or the collection of alimony,
and to state and local tax authorities for the purpose of enforcing tax
laws. However, care must be taken prior to release to ensure that a
written record is prepared to document the reasons for the release
determination.
(A) When compiling home addresses and telephone numbers, the
individual may be offered the option of authorizing disclosure of the
information without further consent for specific purposes, such as
locator services. In that case, the information may be disclosed for the
stated purpose without further consent. If the information is to be
disclosed for any other purpose, a signed consent permitting the
additional disclosure must be obtained from the individual.
(B) Before listing home addresses and telephone numbers in
Department of the Navy telephone directories, give the individual the
opportunity to refuse such a listing. If the individual requests that
the home address or telephone number not be listed in the directory, do
not assess any additional fee associated with maintaining an unlisted
number for government-owned telephone services.
(C) The sale or rental of lists of names and addresses is prohibited
unless such action is specifically authorized by Federal law. This does
not prohibit the disclosure of names and addresses made under Secretary
of the Navy Instruction 5720.42E, ``Department of the Navy Freedom of
Information Act Program.''
(D) In response to FOIA requests, information concerning special and
general courts-martial results (e.g., records of trial) are releasable.
However, information regarding summary courts-martial and non-judicial
punishment are generally not releasable. The balancing of interests must
be done. It is possible that in a particular case, information regarding
non-judicial punishment should be disclosed pursuant to a FOIA request
(i.e., the facts leading to a nonjudicial punishment are particularly
newsworthy or the case involves a senior official abusing the public
trust through office-related misconduct, such as embezzlement).
Announcement of nonjudicial punishment dispositions under JAGMAN,
subsection 0107, is a proper exercise of command authority and not a
release of information under FOIA or this subpart and subpart G of this
part. Exceptions to this policy must be coordinated with CNO (N09B30) or
CMC (MI-3) prior to responding to requesters, including all requests for
this type of information from members of Congress.
(3) Disclosures for established routine uses. (i) Records may be
disclosed outside the Department of the Navy if the disclosure is for an
established routine use.
(ii) A routine use shall:
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(A) Be compatible with and related to the purpose for which the
record was created;
(B) Identify the persons or organizations to whom the record may be
disclosed;
(C) Identify specifically the uses for which the information may be
employed by the receiving person or organization; and
(D) Have been published previously in the Federal Register.
(iii) A routine use shall be established for each user of the
information outside the Department of the Navy who needs the information
for an official purpose.
(iv) Routine uses may be established, discontinued, or amended
without the consent of the individuals to whom the records pertain.
However, new and amended routine uses must be published in the Federal
Register at least 30 days before the information may be disclosed under
their provisions.
(v) In addition to the routine uses established by the Department of
the Navy for each system of records, common ``Blanket Routine Uses,''
applicable to all record systems maintained with the Department of the
Navy, have been established. These ``Blanket Routine Uses'' are
published at the beginning of the Department of the Navy's Federal
Register compilation of record systems notices rather than at each
system notice and are also reflected in periodic Chief of Naval
Operations Notes (OPNAVNOTEs) 5211, ``Current Privacy Act Issuances.''
Unless a system notice specifically excludes a system of records from a
``Blanket Routine Use,'' all ``Blanket Routine Uses'' apply to that
system.
(vi) If the recipient has not been identified in the Federal
Register or if the recipient, though identified, intends to employ the
information for a purpose not published in the Federal Register, the
written consent of the individual is required before the disclosure can
be made.
(4) Disclosures to the Bureau of the Census. Records may be
disclosed to the Bureau of the Census for purposes of planning or
carrying out a census, survey, or related activities authorized by 13
U.S.C. 8.
(5) Disclosures for statistical research or reporting. Records may
be disclosed to a recipient for statistical research or reporting if:
(i) Prior to the disclosure, the recipient has provided adequate
written assurance that the records shall be used solely for statistical
research or reporting; and
(ii) The records are transferred in a form that does not identify
individuals.
(6) Disclosures to the National Archives and Records Administration.
(i) Records may be disclosed to the National Archives and Records
Administration for evaluation to determine whether the records have
sufficient historical or other value to warrant preservation by the
Federal government. If preservation is warranted, the records will be
retained by the National Archives and Record Administration, which
becomes the official owner of the records.
(ii) Records may be disclosed to the National Archives and Records
Administration to carry out records management inspections required by
Federal law.
(iii) Records transferred to a Federal Records Center operated by
the National Archives and Records Administration for storage are not
within this category. Those records continue to be maintained and
controlled by the transferring naval activity. The Federal Records
Center is considered the agent of Department of the Navy and the
disclosure is made under Sec. 701.112(b)(1).
(7) Disclosures when requested for law enforcement purposes. (i) A
record may be disclosed to another agency or an instrumentality of any
governmental jurisdiction within or under the control of the U.S. for a
civil or criminal law enforcement activity if:
(A) The civil or criminal law enforcement activity is authorized by
law (federal, state or local); and
(B) The head of the agency (or his or her designee) has made a
written request to the naval activity specifying the particular record
or portion desired and the law enforcement purpose for which it is
sought.
(ii) Blanket requests for any and all records pertaining to an
individual shall not be honored. The requesting agency must specify each
record or
[[Page 108]]
portion desired and how each relates to the authorized law enforcement
activity.
(iii) If a naval activity discloses a record outside the Department
of Defense for law enforcement purposes without the individual's consent
and without an adequate written request, the disclosure must be under an
established routine use, such as the ``Blanket Routine Use'' for law
enforcement.
(iv) Disclosure to foreign law enforcement agencies is not governed
by the provisions of 5 U.S.C. 552a and this paragraph, but may be made
only under established ``Blanket Routine Uses,'' routine uses published
in the individual record system notice, or to other governing authority.
(8) Disclosure to protect the health or safety of an individual.
Disclosure may be made under emergency conditions involving
circumstances affecting the health and safety of an individual (i.e.,
when the time required to obtain the consent of the individual to whom
the records pertain might result in a delay which could impair the
health or safety of a person) provided notification of the disclosure is
sent to the record subject. Sending the notification to the last known
address is sufficient. In instances where information is requested by
telephone, an attempt will be made to verify the inquirer's and medical
facility's identities and the caller's telephone number. The requested
information, if then considered appropriate and of an emergency nature,
may be provided by return call.
(9) Disclosures to Congress.
(i) A record may be disclosed to either House of Congress at the
request of either the Senate or House of Representatives as a whole.
(ii) A record also may be disclosed to any committee, subcommittee,
or joint committee of Congress if the disclosure pertains to a matter
within the legislative or investigative jurisdiction of the committee,
subcommittee, or joint committee.
(iii) Disclosure may not be made to a Member of Congress requesting
in his or her individual capacity. However, for Members of Congress
making inquiries on behalf of individuals who are subjects of records, a
``Blanket Routine Use'' has been established to permit disclosures to
individual Members of Congress.
(A) When responding to a congressional inquiry made on behalf of a
constituent by whose identifier the record is retrieved, there is no
need to verify that the individual has authorized the disclosure to the
Member of Congress.
(B) The oral or written statement of a Congressional staff member is
sufficient to establish that a request has been received from the
individual to whom the record pertains.
(C) If the constituent inquiry is made on behalf of an individual
other than the record subject, provide the Member of Congress only that
information releasable under 5 U.S.C. 552. Advise the Member of Congress
that the written consent of the record subject is required before
additional information may be disclosed. Do not contact the record
subject to obtain consent for the disclosure to the Member of Congress
unless the Congressional office specifically requests it be done.
(10) Disclosures to the Comptroller General for the General
Accounting Office (GAO). Records may be disclosed to the Comptroller
General of the U.S., or authorized representative, in the course of the
performance of the duties of the GAO.
(11) Disclosures under court orders. (i) Records may be disclosed
under the order of a court of competent jurisdiction.
(ii) When a record is disclosed under this provision and the
compulsory legal process becomes a matter of public record, make
reasonable efforts to notify the individual to whom the record pertains.
Notification sent to the last known address of the individual is
sufficient. If the order has not yet become a matter of public record,
seek to be advised as to when it will become public. Neither the
identity or the party to whom the disclosure was made nor the purpose of
the disclosure shall be made available to the record subject unless the
court order has become a matter of public record.
(iii) The court order must bear the signature of a federal, state,
or local judge. Orders signed by court clerks or attorneys are not
deemed to be orders of a court of competent jurisdiction. A photocopy of
the order, regular on its
[[Page 109]]
face, will be sufficient evidence of the court's exercise of its
authority of the minimal requirements of SECNAVINST 5820.8A \9\,
``Release of Official Information for Litigation Purposes and Testimony
by Department of the Navy Personnel.''
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\9\ Copies available from the Judge Advocate General, Navy
Department, (Code 34), 200 Stovall Street, Alexandria, VA 22332-2400.
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(12) Disclosures to consumer reporting agencies. Certain information
may be disclosed to consumer reporting agencies (i.e., credit reference
companies such as TRW and Equifax, etc.) as defined by the Federal
Claims Collection Act of 1966 (31 U.S.C. 952d). Under the provisions of
that Act, the following information may be disclosed to a consumer
reporting agency:
(i) Name, address, taxpayer identification number (SSN), and other
information necessary to establish the identity of the individual;
(ii) The amount, status, and history of the claim; and
(iii) The agency or program under which the claim arose. 31 U.S.C.
952d specifically requires that the Federal Register notice for the
system of records from which the information will be disclosed indicate
that the information may be disclosed to a consumer reporting agency.
(c) Disclosures to commercial enterprises. Records may be disclosed
to commercial enterprises only under the criteria established by
Secretary of the Navy Instruction 5720.42E and 42 U.S.C. 653, Parent
Locator Service for Enforcement of Child Support.
(1) Any information required to be disclosed by Secretary of the
Navy Instruction 5720.42E and 42 U.S.C. 653, Parent Locator Service for
Enforcement of Child Support may be disclosed to a requesting commercial
enterprise.
(2) Commercial enterprises may present a consent statement signed by
the individual indicating specific conditions for disclosing information
from a record. Statements such as the following, if signed by the
individual, are considered sufficient to authorize the disclosure: I
hereby authorize the Department of the Navy to verify my SSN or other
identifying information and to disclose my home address and telephone
number to authorized representatives of (name of commercial enterprise)
to be used in connection with my commercial dealings with that
enterprise. All information furnished will be used in connection with my
financial relationship with (name of commercial enterprise).
(3) When a consent statement as described in the preceding
subsection is presented, provide the information to the commercial
enterprise, unless the disclosure is prohibited by another regulation or
Federal law.
(4) Blanket consent statements that do not identify the Department
of Defense or Department of the Navy, or that do not specify exactly the
information to be disclosed, may be honored if it is clear that the
individual, in signing the consent statement, was seeking a personal
benefit (i.e., loan for a house or automobile) and was aware of the type
of information necessary to obtain the benefit sought.
(5) Do not honor requests from commercial enterprises for official
evaluations of personal characteristics such as personal financial
habits.
(d) Disclosure of Health Care Records to the Public. This paragraph
applies to disclosure of information to the news media and the public
concerning individuals treated or hospitalized in Department of the Navy
medical facilities and, when the cost of care is paid by the Department
of the Navy, in non-Federal facilities.
(1) Disclosures without the individual's consent. Normally, the
following information may be disclosed without the individual's consent:
(i) Information required to be released by Secretary of the Navy
Instruction 5720.42E and OPM Regulations and the Federal Personnel
Manual, as well as the information listed in Sec. 701.112(b)(2)(v) for
military personnel and in Sec. 701.112(b)(2).
(ii) For civilian employees; and
(iii) General information concerning medical conditions, i.e., date
of admission or disposition; present medical assessment of the
individual's condition if the medical practitioner has volunteered the
information, i.e., the individual's condition presently is (stable)
(good) (fair) (serious) (critical), and the
[[Page 110]]
patient is (conscious) (semi-conscious) (unconscious).
(2) Disclosures with the individual's consent. With the individual's
informed consent, any information about the individual may be disclosed.
If the individual is a minor or has been declared incompetent by a court
of competent jurisdiction, the parent of the minor or appointed legal
guardian of the incompetent may give consent on behalf of the
individual.
(e) Disclosure of Personal Information on Group/Bulk Orders. Do not
use personal information including complete SSNs, home addresses and
phone numbers, dates of birth, etc., on group/bulk orders. This personal
information should not be posted on lists that everyone listed on the
orders sees. Such a disclosure of personal information violates the
Privacy Act and this subpart and subpart G of this part.
(f) Disclosure Accounting. Keep an accurate record of all
disclosures made from a record (including those made with the consent of
the individual) except those made to DoD personnel for use in performing
their official duties; and those made under the FOIA. Disclosure
accounting is to permit the individual to determine what agencies or
persons have been provided information from the record, enable
Department of the Navy activities to advise prior recipients of the
record of any subsequent amendments or statements of dispute concerning
the record, and provide an audit trial of Department of the Navy's
compliance with 5 U.S.C. 552a.
(1) Disclosure accountings shall contain the date of the disclosure;
a description of the information disclosed; the purpose of the
disclosure; and the name and address of the person or agency to whom the
disclosure was made.
(2) The record subject has the right of access to the disclosure
accounting except when the disclosure was made at the request of a civil
or criminal law enforcement agency under Sec. 701.112(b)(7); or when the
system of records has been exempted from the requirement to provide
access to the disclosure accounting.
(g) Methods of disclosure accounting. Since the characteristics of
various records maintained within the Department of the Navy vary
widely, no uniform method for keeping disclosure accountings is
prescribed. The primary criteria are that the selected method be one
which will:
(1) Enable an individual to ascertain what persons or agencies have
received disclosures pertaining to him/her;
(2) Provide a basis for informing recipients of subsequent
amendments or statements of dispute concerning the record; and
(3) Provide a means to prove, if necessary that the activity has
complied with the requirements of 5 U.S.C. 552a and this subpart and
subpart G of this part.
(h) Retention of Disclosure Accounting. Maintain a disclosure
accounting of the life of the record to which the disclosure pertains,
or 5 years after the date of the disclosure, whichever is longer.
Disclosure accounting records are normally maintained with the record,
as this will ensure compliance with Sec. 701.112(f).
Sec. 701.113 Exemptions.
(a) Using exemptions. No system of records is automatically exempt
from all provisions of 5 U.S.C. 552a. A system of records is exempt from
only those provisions of 5 U.S.C. 552a that are identified specifically
in the exemption rule for the system. Subpart G of this part contains
the systems designated as exempt, the types of exemptions claimed, the
authority and reasons for invoking the exemptions and the provisions of
5 U.S.C. 552a from which each system has been exempt. Exemptions are
discretionary on the part of Department of the Navy and are not
effective until published as a final rule in the Federal Register. The
naval activity maintaining the system of records shall make a
determination that the system is one for which an exemption may be
established and then propose an exemption rule for the system. Submit
the proposal to CNO (N09B30) for approval and publication in the Federal
Register.
(b) Types of exemptions. There are two types of exemptions permitted
by 5 U.S.C. 552a.
(1) General exemptions. Those that authorize the exemption of a
system of
[[Page 111]]
records from all but specifically identified provisions of 5 U.S.C.
552a.
(2) Specific exemptions. Those that allow a system of records to be
exempt from only a few designated provisions of 5 U.S.C. 552a.
(c) Establishing exemptions. (1) 5 U.S.C. 552a authorizes the
Secretary of the Navy to adopt rules designating eligible systems of
records as exempt from certain requirements. The Secretary of the Navy
has delegated the CNO (N09B30) to make a determination that the system
is one for which an exemption may be established and then propose and
establish an exemption rule for the system. No system of records within
Department of the Navy shall be considered exempt until the CNO (N09B30)
has approved the exemption and an exemption rule has been published as a
final rule in the Federal Register. A system of records is exempt from
only those provisions of 5 U.S.C. 552a that are identified specifically
in the Department of the Navy exemption rule for the system.
(2) No exemption may be established for a system of records until
the system itself has been established by publishing a notice in the
Federal Register, at least 30 days prior to the effective date,
describing the system. This allows interested persons an opportunity to
comment. An exemption may not be used to deny an individual access to
information that he or she can obtain under Secretary of the Navy
Instruction 5720.42E, ``Department of the Navy Freedom of Information
Act Program.''
(d) Exemption for classified material. All systems of records
maintained by the Department of the Navy shall be exempt under section
(k)(1) of 5 U.S.C. 552a, to the extent that the systems contains any
information properly classified under E.O. 12958 and that is required by
that E.O. to be kept secret in the interest of national defense or
foreign policy. This exemption is applicable to parts of all systems of
records including those not otherwise specifically designated for
exemptions herein which contain isolated items of properly classified
information.
Note: Department of the Navy Privacy Act systems of records which
contain classified information automatically qualify for a (k)(1)
exemption, without establishing an exemption rule.
(e) Exempt records in nonexempt systems. (1) An exemption rule
applies to the system of records for which it was established. If a
record from an exempt system is incorporated intentionally into a system
that has not been exempt, the published notice and rules for the
nonexempt system will apply to the record and it will not be exempt from
any provisions of 5 U.S.C. 552a.
(2) A record from one component's (i.e., Department of the Navy)
exempted system that is temporarily in the possession of another
component (i.e., Army) remains subject to the published system notice
and rules of the originating component's (i.e., Department of the Navy).
However, if the non-originating component incorporates the record into
its own system of records, the published notice and rules for the system
into which it is incorporated shall apply. If that system of records has
not been exempted, the record shall not be exempt from any provisions of
5 U.S.C. 552a.
(3) A record accidentally misfiled into a system of records is
governed by the published notice and rules for the system of records in
which it actually should have been filed.
(f) General exemptions--(1) Central Intelligence Agency (CIA). The
Department of the Navy is not authorized to establish an exemption for
records maintained by the CIA under subsection (j)(1) of 5 U.S.C. 552a.
(2) Law enforcement. (i) The general exemption provided by
subsection (j)(2) of 5 U.S.C. 552a may be established to protect
criminal law enforcement records maintained by Department of the Navy.
(ii) To be eligible for the (j)(2) exemption, the system of records
must be maintained by an element that performs, as one of its principal
functions, the enforcement of criminal laws. The Naval Investigative
Service, Naval Inspector General, and military police activities qualify
for this exemption.
(iii) Criminal law enforcement includes police efforts to detect,
prevent, control, or reduce crime, or to apprehend criminals, and the
activities of prosecution, court, correctional, probation, pardon, or
parole authorities.
[[Page 112]]
(iv) Information that may be protected under the (j)(2) exemption
includes:
(A) Information compiled for the purpose of identifying criminal
offenders and alleged criminal offenders consisting of only identifying
data and notations of arrests; the nature and disposition of criminal
charges; and sentencing, confinement, release, parole, and probation
status;
(B) Information compiled for the purpose of a criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; and
(C) Reports identifiable to an individual, compiled at any stage of
the enforcement process, from arrest, apprehension, indictment, or
preferral of charges through final release from the supervision that
resulted from the commission of a crime.
(v) The (j)(2) exemption does not apply to:
(A) Investigative records maintained by a naval activity having no
criminal law enforcement duties as one of its principle functions, or
(B) Investigative records compiled by any element concerning
individual's suitability, eligibility, or qualification for duty,
employment, or access to classified information, regardless of the
principle functions of the naval activity that compiled them.
(vi) The (j)(2) exemption established for a system of records
maintained by a criminal law enforcement activity cannot protect law
enforcement records incorporated into a nonexempt system of records or
any system of records maintained by an activity not principally tasked
with enforcing criminal laws. All system managers, therefore, are
cautioned to comply strictly with Department of the Navy regulations or
instructions prohibiting or limiting the incorporation of criminal law
enforcement records into systems other than those maintained by criminal
law enforcement activities.
(g) Specific exemptions. Specific exemptions permit certain
categories of records to be exempted from specific provisions of 5
U.S.C. 552a. Subsections (k)(1)-(7) of 5 U.S.C. 552a allow exemptions
for seven categories of records. To be eligible for a specific
exemption, the record must meet the corresponding criteria.
Note: Department of the Navy Privacy Act systems of records which
contain classified information automatically qualify for a (k)(1)
exemption, without an established exemption rule.
(1) (k)(1) exemption: Information properly classified under
Secretary of the Navy Instruction 5720.42E, ``Department of the Navy
Freedom of Information Act Program'' and E.O. 12958, in the interest of
national defense or foreign policy.
(2) (k)(2) exemption: Investigatory information (other than that
information within the scope of Sec. 701.113(f)(2) compiled for law
enforcement purposes. If maintaining the information causes an
individual to be ineligible for or denied any right, benefit, or
privilege that he or she would otherwise be eligible for or entitled to
under Federal law, then he or she shall be given access to the
information, except for the information that would identify a
confidential source (see Sec. 701.113(h), ``confidential source''). The
(k)(2) exemption, when established, allows limited protection on
investigative records maintained for use in personnel and administrative
actions.
(3) (k)(3) exemption: Records maintained in connection with
providing protective services to the President of the United States and
other individuals under 18 U.S.C. 3056.
(4) (k)(4) exemption: Records required by Federal law to be
maintained and used solely as statistical records that are not used to
make any determination about an identifiable individual, except as
provided by 13 U.S.C. 8.
(5) (k)(5) exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
Federal civilian employment, military service, Federal contracts, or
access to classified information, but only to the extent such material
would reveal the identity of a confidential source. (See
Sec. 701.113(h), ``confidential source''). This exemption allows
protection of confidential sources in background investigations,
employment inquiries, and similar inquiries used in personnel screening
to determine suitability, eligibility, or qualifications.
[[Page 113]]
(6) (k)(6) exemption: Testing or examination material used solely to
determine individual qualifications for appointment or promotion in the
Federal or military service if the disclosure would compromise the
objectivity or fairness of the testing or examination process.
(7) (k)(7) exemption: Evaluation material used to determine
potential for promotion in the military services, but only to the extent
that disclosure would reveal the identity of a confidential source. (See
Sec. 701.113(h), ``confidential source''.)
(h) Confidential Source. Promises of confidentiality are to be given
on a limited basis and only when essential to obtain the information
sought. Establish appropriate procedures for granting confidentiality
and designate those categories of individuals authorized to make such
promises.
[59 FR 55348, Nov. 7, 1994, as amended at 61 FR 2917, Jan. 30, 1996]
Sec. 701.114 Enforcement actions.
(a) Administrative remedies. An individual who alleges he or she has
been affected adversely by a naval activity's violation of 5 U.S.C. 552a
or this subpart and subpart G of this part shall be permitted to seek
relief from SECNAV through proper administrative channels.
(b) Civil court actions. After exhausting all administrative
remedies, an individual may file suit in Federal court against a naval
activity for any of the following acts:
(1) Denial of an amendment request. The activity head, or his or her
designee wrongfully refuses the individual's request for review of the
initial denial of an amendment or, after review, wrongfully refuses to
amend the record;
(2) Denial of access. The activity wrongfully refuses to allow the
individual to review the record or wrongfully denies his or her request
for a copy of the record;
(3) Failure to meet recordkeeping standards. The activity fails to
maintain an individual's record with the accuracy, relevance,
timeliness, and completeness necessary to assure fairness in any
determination about the individual's rights, benefits, or privileges
and, in fact, makes an adverse determination based on the record; or
(4) Failure to comply with Privacy Act. The activity fails to comply
with any other provision of 5 U.S.C. 552a or any rule or regulation
promulgated under 5 U.S.C. 552a and thereby causes the individual to be
adversely affected.
(c) Criminal penalties. Subsection (i)(1) of 5 U.S.C. 552a
authorizes three criminal penalties against individuals for violations
of its provisions. All three are misdemeanors punishable by fines of
$5,000.
(1) Wrongful disclosure. Any member or employee of Department of the
Navy who, by virtue of his or her employment or position, has possession
of or access to records and willfully makes a disclosure knowing that
disclosure is in violation of 5 U.S.C. 552a or this subpart and subpart
G of this part.
(2) Maintaining unauthorized records. Any member or employee of
Department of the Navy who willfully maintains a system of records for
which a notice has not been published under periodic Chief of Naval
Operations Notes (OPNAVNOTEs) 5211, ``Current Privacy Act Issuances.''
(3) Wrongful requesting or obtaining records. Any person who
knowingly and willfully requests or obtains information concerning an
individual under false pretenses.
Sec. 701.115 Computer matching program.
(a) General. 5 U.S.C. 552a and this subpart and subpart G of this
part are applicable to certain types of computer matching, i.e., the
computer comparison of automated systems of records. There are two
specific kinds of matching programs that are fully governed by 5 U.S.C.
552a and this subpart and subpart G of this part:
(1) Matches using records from Federal personnel or payroll systems
of records;
(2) Matches involving Federal benefit programs to accomplish one or
more of the following purposes:
(i) To determine eligibility for a Federal benefit.
(ii) To comply with benefit program requirements.
(iii) To effect recovery of improper payments or delinquent debts
from current or former beneficiaries.
[[Page 114]]
(b) The record comparison must be a computerized one. Manual
comparisons are not covered, involving records from two or more
automated systems of records (i.e., systems of records maintained by
Federal agencies that are subject to 5 U.S.C. 552a); or a Department of
the Navy automated systems of records and automated records maintained
by a non-Federal agency (i.e., State or local government or agent
thereof). A covered computer matching program entails not only the
actual computerized comparison, but also preparing and executing a
written agreement between the participants, securing approval of the
Defense Data Integrity Board, publishing a matching notice in the
Federal Register before the match begins, ensuring that investigation
and due process are completed, and taking ultimate action, if any.
Subpart G - Privacy Act Exemptions
Authority: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).
Source: 59 FR 55363, Nov. 7, 1994, unless otherwise noted.
Sec. 701.116 Purpose.
Subparts F and G of this part contain rules promulgated by the
Secretary of the Navy, pursuant to 5 U.S.C. 552a (j) and (k), and
subpart F, Sec. 70l.113, to exempt certain systems of Department of the
Navy records from specified provisions of 5 U.S.C. 552a.
Sec. 70l.117 Exemption for classified records.
All systems of records maintained by the Department of the Navy
shall be exempt from the requirements of the access provision of the
Privacy Act (5 U.S.C. 552a(d)) under the (k)(1) exemption, to the extent
that the system contains information properly classified under E.O.
12958 and that is required by that E.O. to be kept secret in the
interest of national defense or foreign policy. This exemption is
applicable to parts of all systems of records including those not
otherwise specifically designated for exemptions herein which contain
isolated items of properly classified information.
[59 FR 55363, Nov. 7, 1994, as amended at 61 FR 2917, Jan. 30, 1996]
Sec. 701.118 Exemptions for specific Navy record systems.
(a) System Identifier and Name: N01070-9, White House Support
Program.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)
(G) through (I), and (f).
Authority: 5 U.S.C. 552a(k) (1), (2), (3), and (5).
Reasons: Exempted portions of this system contain information which
has been properly classified under E.O. 12958, and which is required to
be kept secret in the interest of national defense or foreign policy.
Exempted portions of this system may also contain information considered
relevant and necessary to make a determination as to qualifications,
eligibility, or suitability for access to classified information, and
which was obtained by providing an express or implied promise to the
source that his or her identity would not be revealed to the subject of
the record. Exempted portions of this system may also contain
information collected and maintained in connection with providing
protective services to the President and other individuals protected
pursuant to 18 U.S.C. 3056. Exempted portions of this system may also
contain investigative records compiled for law enforcement purposes, the
disclosure of which could reveal the identity of sources who provide
information under an express or implied promise of confidentiality,
compromise investigative techniques and procedures, jeopardize the life
or physical safety of law-enforcement personnel, or otherwise interfere
with enforcement proceedings or adjudications.
(b) System Identifier and Name: N01131-1, Officer Selection and
Appointment System.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G)
through (I), and (f).
Authority: 5 U.S.C. 552a(k)(1), (5), (6), and (7).
[[Page 115]]
Reasons: Granting individuals access to portions of this system of
records could result in the disclosure of classified material, or the
identification of sources who provided information to the government
under an express or implied promise of confidentiality. Material will be
screened to permit access to unclassified material and to information
that does not disclose the identity of a confidential source.
(c) System Identifier and Name: N01133-2, Recruiting Enlisted
Selection System.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G)
through (I), and (f).
Authority: 5 U.S.C. 552a(k)(1), (5), (6), and (7).
Reasons: Granting individuals access to portions of this system of
records could result in the disclosure of classified material, or the
identification of sources who provided information to the government
under an express or implied promise of confidentiality. Material will be
screened to permit access to unclassified material and to information
that does not disclose the identity of a confidential source.
(d) System Identifier and Name: N01640-1, Individual Correctional
Records.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (c)(4), (d), (e)(2),
(e)(3), (e)(4)(G) through (I), (e)(5), (e)(8), (f), and (g).
Authority: 5 U.S.C. 552a(j)(2).
Reason: Granting individuals access to portions of these records
pertaining to or consisting of, but not limited to, disciplinary
reports, criminal investigations, and related statements of witnesses,
and such other related matter in conjunction with the enforcement of
criminal laws, could interfere with the orderly investigations, with the
orderly administration of justice, and possibly enable suspects to avoid
detection or apprehension. Disclosure of this information could result
in the concealment, destruction, or fabrication of evidence, and
jeopardize the safety and well-being of informants, witnesses and their
families, and law enforcement personnel and their families. Disclosure
of this information could also reveal and render ineffectual
investigative techniques, sources, and methods used by these components
and could result in the invasion of the privacy of individuals only
incidentally related to an investigation. The exemption of the
individual's right of access to portions of these records, and the
reasons therefor, necessitate the exemption of this system of records
from the requirement of the other cited provisions.
(e) System Identifier and Name: N01754-3, Navy Child Development
Services Program.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3) and (d).
Authority: 5 U.S.C. 552a(k)(2).
Reasons: Exemption is needed in order to encourage persons having
knowledge of abusive or neglectful acts toward children to report such
information, and to protect such sources from embarrassment or
recrimination, as well as to protect their right to privacy. It is
essential that the identities of all individuals who furnish information
under an express promise of confidentiality be protected. Additionally,
granting individuals access to information relating to criminal and
civil law enforcement, as well as the release of certain disclosure
accountings, could interfere with ongoing investigations and the orderly
administration of justice, in that it could result in the concealment,
alteration, destruction, or fabrication of information; could hamper the
identification of offenders and the disposition of charges; and could
jeopardize the safety and well being of parents and their children.
(f) System Identifier and Name: N03834-1, Special Intelligence
Personnel Access File.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)
(G) through (I), and (f).
Authority: 5 U.S.C. 552a(k) (1) and (5).
Reasons: Exempted portions of this system contain information that
has been properly classified under E.O. 12356, and that is required to
be kept
[[Page 116]]
secret in the interest of national defense or foreign policy. Exempted
portions of this system also contain information considered relevant and
necessary to make a determination as to qualifications, eligibility, or
suitability for access to classified information and was obtained by
providing an express or implied assurance to the source that his or her
identity would not be revealed to the subject of the record.
(g) System Identifier and Name: N04060-1, Navy and Marine Corps
Exchange Security Files.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(4) (G)
through (I), and (f).
Authority: 5 U.S.C. 552a(k)(2).
Reasons: Granting individuals access to information collected and
maintained by these activities relating to the enforcement of criminal
laws could interfere with orderly investigations, with orderly
administration of justice, and possibly enable suspects to avoid
detection or apprehension. Disclosure of this information could result
in the concealment, destruction, or fabrication of evidence, and could
also reveal and render ineffectual investigative techniques, sources,
and methods used by these activities.
(h) [Reserved]
(i) System identifier and name: N05041-1, Inspector General (IG)
Records.
(1) Exemption: Portions of this system of records may be exempt from
the provisions of 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and
(I); and (f).
(2) Authority: 5 U.S.C. 552a(k)(1) and (k)(2).
(3) Reasons: (i) From subsection (c)(3) because the release of the
disclosure accounting would permit individuals to obtain valuable
information concerning the nature of the investigation and would present
a serious impediment to the orderly conduct of any investigative
activities. Such accounting could result in the release of properly
classified information which would compromise the national defense or
disrupt foreign policy.
(ii) From subsections (d) and (f) because access to the records
would inform individuals of the existence and nature of the
investigation; provide information that might result in the concealment,
destruction, or fabrication of evidence; possibly jeopardize the safety
and well-being of informants, witnesses and their families; likely
reveal and render ineffectual investigatory techniques and methods and
sources of information; and possibly result in the invasion of the
personal privacy of third parties. Access could result in the release of
properly classified information which could compromise the national
defense or disrupt foreign policy. Amendment of the records would
interfere with the ongoing investigation and impose an impossible
administrative burden by requiring investigations to be continually
reinvestigated.
(iii) From subsection (e)(1) because in the course of the
investigation it is not always possible, at least in the early stages of
the inquiry, to determine relevance and or necessity as such
determinations may only occur after the information has bee evaluated.
Information may be obtained concerning the actual or potential violation
of laws or regulations other than those relating to the ongoing
investigation. Such information should be retained as it can aid in
establishing patterns of improper activity and can provide valuable
leads in the conduct of other investigations.
(iv) From subsection (e)(4)(G) and (H) because this system of
records is exempt from individual access pursuant to subsection (k)(1)
and (k)(2) of the Privacy Act of 1974.
(v) From subsection (e)(4)(I) because it is neccessary to protect
the confidentiality of sources and to protect the privacy and physical
safety of witnesses. Although the system is exempt from this
requirement, the Department of the Navy has published a notice in broad,
generic terms in the belief that this is all that subsection (e)(4)(I)
of the Act requires.
(j) System Identifier and Name: N05300-3, Faculty Professional
Files.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(4) (G) and
(H), and (f).
Authority: 5 U.S.C. 552a(k)(5).
Reasons: Exempted portions of this system contain information
considered
[[Page 117]]
relevant and necessary to make a release determination as to
qualifications, eligibility, or suitability for Federal employment, and
was obtained by providing an express or implied promise to the source
that his or her identity would not be revealed to the subject of the
record.
(k) System Identifier and Name: N05354-1, Equal Opportunity
Information Management System.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(4)(G) through
(I), and (f).
Authority: 5 U.S.C. 552a(k)(1) and (5).
Reasons: Granting access to information in this system of records
could result in the disclosure of classified material, or reveal the
identity of a source who furnished information to the Government under
an express or implied promise of confidentiality. Material will be
screened to permit access to unclassified material and to information
that will not disclose the identity of a confidential source.
(l) System Identifier and Name: N05520-1, Personnel Security
Eligibility Information System.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(4)(G) and
(I), and (f).
Authority: 5 U.S.C. 552a(k) (1), (2), (5), and (7).
Reasons: Granting individuals access to information collected and
maintained in this system of records could interfere with orderly
investigations; result in the disclosure of classified material;
jeopardize the safety of informants, witnesses, and their families;
disclose investigative techniques; and result in the invasion of privacy
of individuals only incidentally related to an investigation. Material
will be screened to permit access to unclassified information that will
not disclose the identity of sources who provide the information to the
government under an express or implied promise of confidentiality.
(m) System Identifier and Name: N05520-4, NIS Investigative Files
System.
Exemption (1): Portions of this system of records are exempt from
the following subsections of the Privacy Act: (c)(3), (c)(4), (d),
(e)(2), (e)(3), (e)(4)(G) through (I), (e)(5), (e)(8), (f), and (g).
Authority (1): 5 U.S.C. 552a(j)(2).
Reason (1): Granting individuals access to information collected and
maintained by this activity relating to the enforcement of criminal laws
could interfere with the orderly investigations, with the orderly
administration of justice, and possibly enable suspects to avoid
detection or apprehension. Disclosure of this information could result
in the concealment, destruction, or fabrication of evidence, and
jeopardize the safety and well-being of informants, witnesses and their
families, and law enforcement personnel and their families. Disclosure
of this information could also reveal and render ineffectual
investigative techniques, sources, and methods used by these components
and could result in the invasion of the privacy of individuals only
incidentally related to an investigation. The exemption of the
individual's right of access to portions of these records, and the
reasons therefor, necessitate the exemption of this system of records
from the requirement of the other cited provisions.
Exemption (2): Portions of this system of records are exempt from
the following subsections of the Privacy Act: (c)(3), (d), (e)(1),
(e)(4)(G) through (I), and (f).
Authority (2): 5 U.S.C. 552a(k) (1), (3), (4), (5) and (6).
Reason (2): The release of disclosure accountings would permit the
subject of an investigation to obtain valuable information concerning
the nature of that investigation, and the information contained, or the
identity of witnesses or informants, would therefor present a serious
impediment to law enforcement. In addition, disclosure of the accounting
would amount to notice to the individual of the existence of a record.
Access to the records contained in this system would inform the subject
of the existence of material compiled for law enforcement purposes, the
premature release of which could prevent the successful completion of
investigation, and lead to the improper influencing of witnesses, the
destruction of records, or the fabrication of testimony. Exempt portions
of this system also contain information that
[[Page 118]]
has been properly classified under E.O. 12958, and that is required to
be kept secret in the interest of national defense or foreign policy.
Exempt portions of this system also contain information considered
relevant and necessary to make a determination as to qualifications,
eligibility, or suitability for Federal civilian employment, military
service, Federal contracts, or access to classified information, and was
obtained by providing an express or implied assurance to the source that
his or her identity would not be revealed to the subject of the record.
The notice of this system of records published in the Federal Register
sets forth the basic statutory or related authority for maintenance of
the system.
The categories of sources of records in this system have been
published in the Federal Register in broad generic terms. The identity
of specific sources, however, must be withheld in order to protect the
confidentiality of the source, of criminal and other law enforcement
information. This exemption is further necessary to protect the privacy
and physical safety of witnesses and informants.
This system of records is exempted from procedures for notice to an
individual as to the existence of records pertaining to him/her dealing
with an actual or potential civil or regulatory investigation, because
such notice to an individual would be detrimental to the successful
conduct and/or completion of an investigation, pending or future. Mere
notice of the fact of an investigation could inform the subject or
others that their activities are under, or may become the subject of, an
investigation. This could enable the subjects to avoid detection, to
influence witnesses improperly, to destroy records, or to fabricate
testimony.
Exempt portions of this system containing screening board reports.
Screening board reports set forth the results of oral examination of
applicants for a position as a special agent with the Naval
Investigation Service Command. Disclosure of these records would reveal
the areas pursued in the course of the examination and thus adversely
affect the result of the selection process. Equally important, the
records contain the candid views of the members composing the board.
Release of the records could affect the willingness of the members to
provide candid opinions and thus diminish the effectiveness of a program
which is essential to maintaining the high standard of the Special Agent
Corps., i.e., those records constituting examination material used
solely to determine individual qualifications for appointment in the
Federal service.
(n) System identifier and name: N05520-5, Personnel Security Program
Management Records System.
Exemption: Portions of this system of records are exempt from the
following subsections of 5 U.S.C. 552a: (d)(1-5).
Authority: 5 U.S.C. 552a(k)(1) and (k)(5).
Reasons: Granting individuals access to information collected and
maintained in this system of records could result in the disclosure of
classified material; and jeopardize the safety of informants, and their
families. Further, the integrity of the system must be ensured so that
complete and accurate records of all adjudications are maintained.
Amendment could cause alteration of the record of adjudication.
(o) System Identifier and Name: N05527-1, Security Incident System.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (c)(4), (d), (e)(2),
and (e)(4)(G) through (I), (e)(5), (e)(8), (f) and (g).
Authority: 5 U.S.C. 552a(j)(2).
Reasons: Granting individuals access to information collected and
maintained by this component relating to the enforcement of criminal
laws could interfere with orderly administration of justice, and
possibly enable suspects to avoid detection or apprehension. Disclosure
of this information could result in concealment, destruction, or
fabrication of evidence, and jeopardize the safety and well being of
informants, witnesses and their families, and of law enforcement
personnel and their families. Disclosure of this information could also
reveal and render ineffectual investigative techniques, sources, and
methods used by this component, and could result in the invasion of
privacy of individuals only incidentally related
[[Page 119]]
to an investigation.The exemption of the individual's right of access to
his or her records, and the reason therefore, necessitate the exemption
of this system of records from the requirements of other cited
provisions.
(p) System Identifier and Name: N05527-4, Naval Security Group
Personnel Security/Access Files.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G)
through (I), and (f).Authority: 5 U.S.C. 552a(k)(1) through (k)(5).
Reasons: Exempt portions of this system contain information that has
been properly classified under E.O. 12958, and that is required to be
kept secret in the interest of national defense or foreign policy.
Exempt portions of this system also contain information considered
relevant and necessary to make a determination as to qualification,
eligibility or suitability for access to classified special intelligence
information, and that was obtained by providing an express or implied
promise to the source that his or her identity would not be revealed to
the subject of the record.
(q) System Identifier and Name: N05800-1, Legal Office Litigation/
Correspondence Files.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (d), (e)(1), and (f)(2), (3),
and (4).
Authority: 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and (k)(7).
Reasons: Subsection (d) because granting individuals access to
information relating to the preparation and conduct of litigation would
impair the development and implementation of legal strategy.
Accordingly, such records are exempt under the attorney-client
privilege. Disclosure might also compromise on-going investigations and
reveal confidential informants. Additionally, granting access to the
record subject would seriously impair the Navy's ability to negotiate
settlements or pursue other civil remedies. Amendment is inappropriate
because the litigation files contain official records including
transcripts, court orders, investigatory materials, evidentiary
materials such as exhibits, decisional memorandum and other case-related
papers. Administrative due process could not be achieved by the
``exparte'' correction of such materials.
Subsection (e)(1) because it is not possible in all instances to
determine relevancy or necessity of specific information in the early
stages of case development. What appeared relevant and necessary when
collected, ultimately may be deemed unnecessary upon assessment in the
context of devising legal strategy. Information collected during civil
litigation investigations which is not used during subject case is often
retained to provide leads in other cases or to establish patterns of
activity.
Subsection (f)(2), (3), and (4) because this record system is exempt
from the individual access provisions of subsection (d).
(r) System Identifier and Name: N05819-3, Naval Clemency and Parole
Board Files.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(4), (d), (e)(4)(G), and
(f).
Authority: 5 U.S.C. 552a(j)(2).
Reasons: Granting individuals access to records maintained by this
Board could interfere with internal processes by which Board personnel
are able to formulate decisions and policies with regard to clemency and
parole in cases involving naval prisoners and other persons under the
jurisdiction of the Board. Material will be screened to permit access to
all material except such records or documents as reflect items of
opinion, conclusion, or recommendation expressed by individual board
members or by the board as a whole.
The exemption of the individual's right to access to portions of
these records, and the reasons therefore, necessitate the partial
exemption of this system of records from the requirements of the other
cited provisions.
(s) System Identifier and Name: N06320-2, Family Advocacy Program
System.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3) and (d).
Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
[[Page 120]]
Reasons: Exemption is needed in order to encourage persons having
knowledge of abusive or neglectful acts toward children to report such
information, and to protect such sources from embarrassment or
recriminations, as well as to protect their right to privacy. It is
essential that the identities of all individuals who furnish information
under an express promise of confidentiality be protected. Additionally,
granting individuals access to information relating to criminal and
civil law enforcement, as well as the release of certain disclosure
accounting, could interfere with ongoing investigations and the orderly
administration of justice, in that it could result in the concealment,
alteration, destruction, or fabrication of information; could hamper the
identification of offenders or alleged offenders and the disposition of
charges; and could jeopardize the safety and well being of parents and
their children.
Exempted portions of this system also contain information considered
relevant and necessary to make a determination as to qualifications,
eligibility, or suitability for Federal employment and Federal
contracts, and that was obtained by providing an express or implied
promise to the source that his or her identity would not be revealed to
the subject of the record.
(t) System Identifier and Name: N12930-1, Human Resources Group
Personnel Records.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (d), (e)(4)(G) and (H), and
(f).
Authority: 5 U.S.C. 552a(k)(5) and (k)(6).
Reasons: Exempted portions of this system contain information
considered relevant and necessary to make a determination as to
qualifications, eligibility, or suitability for Federal employment, and
was obtained by providing express or implied promise to the source that
his or her identity would not be revealed to the subject of the record.
Exempted portions of this system also contain test or examination
material used solely to determine individual qualifications for
appointment or promotion in the Federal service, the disclosure of which
would comprise the objectivity or fairness of the testing or examination
process.
[59 FR 55363, Nov. 7, 1994, as amended at 61 FR 2917, Jan. 30, 1996; 62
FR 15615, Apr. 2, 1997]
Sec. 701.119 Exemptions for Specific Marine Corps Record Systems.
(a) System Identifier and Name: MMN00018, Base Security Incident
Reporting System.
Exemption: Portions of this system of records are exempt from the
following subsections of the Privacy Act: (c)(3), (c)(4), (d), (e) (2)
and (3), (e)(4)(G) through (I), (e)(5), (e)(8), (f), and (g).
Authority: 5 U.S.C. 552a(j)(2).
Reasons: Granting individuals access to information collected and
maintained by these activities relating to the enforcement of criminal
laws could interfere with orderly investigations, with the orderly
administration of justice, and might enable suspects to avoid detection
or apprehension. Disclosure of this information could result in the
concealment, destruction, or fabrication of evidence, and jeopardize the
safety and well being of informants, witnesses and their families, and
law enforcement personnel and their families. Disclosure of this
information could also reveal and render ineffectual investigative
techniques, sources, and methods used by this component, and could
result in the invasion of the privacy of individuals only incidentally
related to an investigation. The exemption of the individual's right of
access to his or her records, and the reasons therefore, necessitate the
exemption of this system of records from the requirements of other cited
provisions.
(b) System Identifier and Name: MIN00001, Personnel and Security
Eligibility and Access Information System.
Exemption: Portions of this system of records are exempt for the
following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G)
through (I), and (f).
Authority: 5 U.S.C. 552a(k)(2), (k)(3), and (k)(5), as applicable.
Reasons: Exempt portions of this system contain information that has
been properly classified under E.O. 12958, and that is required to be
kept secret in the interest of national defense or foreign policy.
[[Page 121]]
Exempt portions of this system also contain information considered
relevant and necessary to make a determination as to qualifications,
eligibility, or suitability for Federal civilian employment, military
service, Federal contracts, or access to classified, compartmented, or
otherwise sensitive information, and was obtained by providing an
expressed or implied assurance to the source that his or her identity
would not be revealed to the subject of the record.
Exempt portions of this system further contain information that
identifies sources whose confidentiality must be protected to ensure
that the privacy and physical safety of these witnesses and informants
are protected.
[59 FR 55363, Nov. 7, 1994, as amended at 61 FR 2917, Jan. 30, 1996]
PART 705--PUBLIC AFFAIRS REGULATIONS--Table of Contents
Sec.
705.1 Purpose.
705.2 Chief of Information and the Office of Information (CHINFO).
705.3 [Reserved]
705.4 Communication directly with private organizations and
individuals.
705.5 Taking of photos on board naval ships, aircraft and installations
by members of the general public.
705.6 Releasing public information material to the media.
705.7 Radio and television.
705.8 Motion pictures.
705.9 Availability of motion pictures to external audiences.
705.10 Still photography.
705.11 Supplying photographs and services to other than Navy and Marine
Corps.
705.12 Print media.
705.13 Commercial advertising.
705.14 Embarkation of media representatives.
705.15 Employment of Navy personnel as correspondents or staff members
of civilian news media.
705.16 Navy produced public information material.
705.17 Participation guidelines.
705.18 Authority and coordination.
705.19 Financing.
705.20 Use of Navy material and facilities.
705.21 Requests for Navy participation.
705.22 Relations with community groups.
705.23 Guest cruises.
705.24 Exhibits.
705.25 Navy Exhibit Center.
705.26 Exhibit availability report.
705.27--705.28 [Reserved]
705.29 Navy Art Collection.
705.30 Aerospace Education Workshop.
705.31 USS Arizona Memorial, Pearl Harbor.
705.32 Aviation events and parachute demonstrations.
705.33 Participation by Armed Forces bands, choral groups, and troops
in the public domain.
705.34 Other special events.
705.35 Armed Forces participation in events in the public domain.
705.36 Government transportation of civilians for public affairs
purposes.
705.37 Public affairs and public service awards.
Authority: 5 U.S.C. 301; 10 U.S.C. 5031.
Source: 41 FR 29101, July 15, 1976, unless otherwise noted.
Sec. 705.1 Purpose.
The regulations and rules in this part prescribe policies and
procedures for the Department of the Navy pertaining to public affairs
practices.
Sec. 705.2 Chief of Information and the Office of Information (CHINFO).
(a) The Chief of Information is the direct representative of the
Secretary of the Navy and of the Chief of Naval Operations in all public
affairs and internal relations matters. As such, the Chief of
Information has the authority to implement public affairs and internal
relations policies and to coordinate Navy and Marine Corps public
affairs and internal relations activities of mutual interest.
(b) The Chief of Information will keep Navy commands informed of
Department of Defense policies and requirements. No command within the
Department of the Navy, except Headquarters, Marine Corps, will deal
directly with the Office of the Assistant Secretary of Defense (Public
Affairs) on public affairs matters unless authorized to do so by the
Chief of Information.
(c) The Chief of Information will be consulted on all Navy public
affairs and internal relations matters and informed of all operations
and proposed plans and policies which have national or international
(and in the case of audio-visual material, regional) public affairs
aspects.
(d) The Chief of Information heads the Navy Office of Information,
the
[[Page 122]]
Navy Internal Relations Activity (NIRA), the Office of Information
Branch Offices (NAVINFOs), the Navy Public Affairs Center (NAVPACENs)
and the Fleet Home Town News Center (FHTNC). In addition, the Chief of
Information has responsibility (on behalf of the Secretary of the Navy
as Executive Agent for the Department of Defense) for the High School
News Service and has operational control of the U.S. Navy Band,
Washington, DC.
(e) The Navy Office of Information Branch Offices (NAVINFOs) are
located in Atlanta, Boston, Chicago, Dallas, Los Angeles, and New York.
As representatives of the Secretary of the Navy, Chief of Naval
Operations, and Chief of Information, the NAVINFOs have a primary
mission of providing direct liaison with local and regional mass
communications media.
(1) The function of the NAVINFOs are as follows:
(i) Establish and maintain close personal relationships with local
television, radio, film, publishing, and other mass-media organizations
including minority-group-oriented media.
(ii) Seek ways through these media to inform the public about naval
personnel and activities.
(iii) Provide assistance to media organizations and respond to their
interest in Navy programs, stories, and features. In this regard,
maintain informal liaison with various information offices afloat and
ashore in order to respond to requests from local media representatives,
particularly those from inland areas, who desire to visit fleet units or
activities ashore.
(iv) Provide advice on Navy cooperation and assistance, as
appropriate, to representatives of national industrial and commercial
organizations, including advertising agencies.
(v) Maintain a library of Navy motion picture films for use by local
television stations, distribute news films and audio material, and
otherwise perform normal audio-visual functions at the local level.
(vi) Provide personnel and other assistance as appropriate, to
special Command Information Bureaus and public information staffs of
other naval activities as directed by the Chief of Information.
(vii) Advise the Chief of Information on current trends and
significant problems relating to local media requirements.
(viii) Seek ways to support the long-range goals and immediate
priorities of the Navy.
(ix) Provide advice and assistance in the placement of news and
feature materials to the field activities of the Navy Recruiting
Command.
(x) Perform such other tasks as may be assigned by the Chief of
Information.
(2) Additionally, NAVINFO Los Angeles is the Navy representative for
all appropriate liaison with motion picture and network television
offices in the Hollywood area. Naval activities will channel all
requests for information or assistance from these media to NAVINFO Los
Angeles, which will coordinate with CHINFO.
(3) Additionally, NAVINFO New York is the Navy representative for
all appropriate liaison with television and radio networks in the New
York area and with magazine and book publishers in that area. Requests
for assistance originating from these media should be directed to
NAVINFO New York, which will coordinate with CHINFO.
(4) Except as specifically directed by CHINFO, the Branch Offices do
not have responsibility or authority for community relations or internal
relations.
(5) Direct liaison between NAVINFOs and Naval District public
affairs offices, Navy recruiters and other naval activities afloat and
ashore is encouraged.
(f) Areas covered by the respective offices are:
(1) NAVINFO Atlanta: Alabama, the District of Columbia, Florida,
Georgia, Kentucky, Maryland, Mississippi, North Carolina, South
Carolina, Tennessee, Virginia, and Southern West Virginia.
(2) NAVINFO Boston: Maine, Massachusetts, New Hampshire, Rhode
Island, and Vermont.
(3) NAVINFO Chicago: Illinois, Indiana, Iowa, Michigan, Minnesota,
Nebraska, North Dakota, Ohio, South Dakota, Wisconsin, and Northern West
Virginia.
[[Page 123]]
(4) NAVINFO Dallas: Arkansas, Colorado, Kansas, Louisiana, Missouri,
New Mexico, Oklahoma, and Texas.
(5) NAVINFO Los Angeles: Arizona, California, Idaho, Montana,
Nevada, Oregon, Utah, Washington, and Wyoming.
(6) NAVINFO New York: Connecticut, Delaware, New Jersey, New York,
and Pennsylvania.
(g) The Navy Public Affairs Centers (NAVPACENs) are located in
Norfolk and San Diego. The centers have a primary mission of producing
Navy stories for dissemination to the media through normal information
channels.
(1) The following tasks are included among the functions of the
NAVPACENs.
(i) Produce written, audio and photographic feature public
information material about fleet and shore personnel, units and
activities, as coordinated with and approved for policy and concept by
the respective fleet and shore commander concerned.
(ii) Serve as public affairs emergency reaction teams/resource
personnel responsive to the requirements of the CNO and CHINFO, and when
feasible and appropriate and as approved by CNO or CHINFO, serve as
public affairs emergency reaction teams/resource personnel in support of
Fleet Commanders.
(iii) Develop feature material to support the long range goals and
the immediate priorities of the Navy. Direct liaison is authorized with
the Navy Recruiting Command, Recruiting Areas, Recruiting Districts, and
other Commanders as appropriate to achieve this function.
(iv) Perform such other tasks as may be assigned by the Chief of
Information.
(2) NAVPACENs will have no public affairs news media
responsibilities which conflict with the basic public affairs
responsibilities of Fleet Commanders-in-Chief. Specifically, NAVPACENs
are excluded from responding to news media queries, releasing news
information, arranging news media embarkations, or any other day-to-day
news media services concerning the respective fleets. These
responsibilities remain with the Fleet Commander.
(3) NAVPACENs have no direct responsibility or authority for
community relations or internal relations and shall defer in these areas
to the cognizant Naval District Commandant.
(4) Direct liaison with Fleet Commanders-in-Chief and NAVINFOs is
appropriate and authorized. As approved by the Fleet CINCs, direct
liaison with forces afloat and shore activities under the Fleet CINCs is
appropriate.
(5) NAVPACENs will carry out their mission and functions in such a
manner as not to interfere with the public affairs responsibilities of
the District Commandants.
[44 FR 6389, Feb. 1, 1979]
Sec. 705.3 [Reserved]
Sec. 705.4 Communication directly with private organizations and individuals.
(a) Questions from the public and requests from groups or
individuals for pamphlets, photos, biographies, historical matter, etc.,
must be promptly answered. (32 CFR part 701, subparts A-D refers.)
(b) Assistance within the command's capabilities should (and in some
cases, must) be given. Where an established channel for obtaining the
item exists, such as a publication stocked by the Superintendent of
Documents (Government Printing Office), or photos, as explained in the
subparagraph below, the requester may be directed to it. Under some
circumstances, a charge may be made. (Consult part 701 or the command's
Freedom of Information authority for details.) If a lengthy search,
beyond the convenient manpower resources of the command, would be
required, the requester may be offered the opportunity of examining the
material at the command instead of copies being made.
(c) If a request is refused, the reason must be fully and
courteously explained, as required by part 701 of this chapter.
(d) Copies of released U.S. Navy photos may be purchased by the
general public.
(1) Photos made within the last 10 years may be purchased from the
Naval Photographic Center. Information on the conditions of sale can be
obtained
[[Page 124]]
by writing to the Commanding Officer, Naval Photographic Center, Naval
Station, Washington, DC 20390.
(2) Photos made more than 10 years prior to the current date may be
purchased from the National Archives. Details are available from: Audio-
Visual Branch National Archives and Records Service, General Services
Administration, Washington, DC 20408.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6390, Feb. 1, 1979]
Sec. 705.5 Taking of photos on board naval ships, aircraft and installations by members of the general public.
(a) Visitors will not be allowed to take photographic equipment on
board a naval ship or aircraft or into a naval activity or to take
photographs within a naval jurisdiction unless specially authorized by
the officer in command or higher authority.
(b) Guests of the Navy who wish to take photos within naval
jurisdictions will be advised of areas where photography is permitted.
An escort will be assigned to assure that security is maintained, unless
photography is permitted throughout the ship, aircraft or installation,
or the areas in which it is not permitted are appropriately guarded or
secured.
(c) If there is reason to believe that film exposed by a visitor or
media photographer contains classified information, the film will be
processed under Navy jurisdiction.
(1) Classified photos, if any, will be retained. All unclassified
film will be returned to the owner.
(2) When film exposed by civilian visitors or media representatives
in sensitive areas is beyond the capability of the local command to
process, it may be forwarded to the Commanding Officer, Naval
Photographic Center, for processing. Any special processing instructions
should be sent with the film.
Sec. 705.6 Releasing public information material to the media.
(a) Methods of releasing information:
(1) Release at the seat of government and/or as approved by the
Assistant Secretary of Defense (Public Affairs).
(i) Overall responsibility for release of information rests with the
Assistant Secretary of Defense (Public Affairs). The Chief of
Information is responsible for coordinating with him releases of
national and international interest (and in the case of audiovisual
material of regional interest) and for arranging for local release of
such material if considered appropriate by OASD(PA). Information of the
above types and also information proposed for release at the seat of
government, with the exception of ``spot news,'' as described in
paragraph (b) of this section, following.
(2) Releases by local commands:
(i) News of purely local interest may be released by the command
concerned. Higher and coordinating authorities (such as the District
Commandant) will be informed, when appropriate, that the release has
been made.
(ii) News of national or other wide interest may be released by a
local command under the following circumstances:
(A) The Assistant Secretary of Defense (Public Affairs), having
approved a release, directs that it be issued by the command concerned.
(B) An event of immediate and urgent news interest, such as a
disasterous accident, occurs at the command, and emergency announcements
must be made as delay in issuing information would be against the best
interests of the Navy. The officer in command will make a ``spot news''
release of all appropriate information considered releasable.
(1) Copies of spot news releases made (or a description if the
announcement is made orally) will be forwarded promptly to the Chief of
Information.
(2) If the situation is considered critical, the spot news release
will be forwarded by telephone or message.
(b) Means through which information is released to media:
(1) Navy oriented information material (written, taped, motion
picture, still photo) is regularly released to all media presumed to be
interested.
(2) Similar material is provided in response to query from a news
media representative. The material may be produced by the Navy, or the
newsman may be assisted in researching, filming, etc. himself.
(3) Exclusive releases:
[[Page 125]]
(i) Information concerning naval activities may be provided on an
exclusive basis only when a specific request or inquiry is received from
one news media representative for material not requested by other media.
(ii) In such cases, and assuming that the information is properly
releasable, the following rules will apply:
(A) If prior to the time information is given to the newsman making
the original inquiry or request substantially similar inquiries or
requests are received from other newsmen, the first inquirer will be so
informed, and subsequent inquirers will be advised that a prior request
has been received. None of the inquirers will be told the identity of
the individuals or media who have placed these similar inquiries.
(B) If not more than three similar requests are received, the
information will be provided simultaneously to each inquirer.
(C) If more than three requests for substantially the same
information have been received before any are answered, inquirers will
be advised as soon as possible that the information cannot be given on
an exclusive or limited basis, and a general release covering the
subject will be issued to all media.
(4) News conferences:
(i) A news conference is held when a command has something specific
to announce to the press that cannot be handled in a news release or by
phone call. A news conference should not be called just to get together
with the press. A request from the press is also a reason for conducting
a news conference. Special events, significant operations or serious
accidents are frequent reasons for calling news conferences. If
requested, spokesmen may be made available to the press for questions
without specific subject matter in mind, but the press should be clearly
informed of the nature of this meeting. Technically, this is not
considered a news conference.
(ii) When a news conference is held, it is essential that all
interested media be invited to attend.
(iii) A record of what is said should be kept. Ideally, the news
conference should be tape recorded and a public affairs officer should
be present.
(iv) Official spokesmen will be prepared to answer questions in a
frank and candid manner. If the answer would compromise military
security, the inquirer should be so advised. If the answer is not known
to the spokesman, he should say so and add that the matter will be
checked and any available unclassified information provided later.
(v) Newsmen are not normally asked to submit their questions in
advance. If this is considered advisable, as in cases where highly
technical answers may be required, the answers are prepared in advance
and given to all attending newsmen (not just the questioner) at the news
conference.
(5) Interviews. These are similar to news conferences except that
they involve a single newsman (who has usually requested the interview)
and a single Navy spokesman.
(i) Required procedures are essentially the same as for news
conferences. However, a public affairs officer should be present only if
desired by the person being interviewed. The interview may be taped, if
the newsman agrees.
(ii) Without penalizing initiative displayed by a newsman in asking
pertinent questions, care should be exercised by the naval spokesman not
to make a major revelation of news material to a single media outlet in
the course of a routine interview.
(iii) If major areas of difficulty arise in the interview, the Chief
of Information should be notified of them.
(6) Background briefings; ``Not for attribution''; or ``Off the
record.''
(i) Since there is a possibility or risk of a misunderstanding
arising in these briefings, it is important that all concerned
understand and agree to the ground rules.
(ii) In general, information will not be made public unless it can
be openly attributed to the Navy and disseminated without reservation.
Occasionally, a backgrounder may be helpful. An example is a briefing of
embarked newsmen in advance of an operation, providing information which
may not be reported until the operation is over. The purpose is to help
the newsmen understand the operation while it is taking place.
[[Page 126]]
Sec. 705.7 Radio and television.
(a) Navy relationships with radio and TV representatives are of two
types:
(1) Dissemination to them of Navy produced tapes, photos, films,
etc. (This is discussed in more detail in Sec. 705.17).
(2) Cooperation with them when they produce a program on a Navy
subject. This is discussed in the paragraph following:
(b) Requirement for approval by higher authority.
(1) Commanding officers may:
(i) Release audiovisual material which is spot news, as defined in
Sec. 705.6(a)(2)(ii) preceding, or is of purely local interest.
(ii) Participate in local community audiovisual projects of benefit
to the Department of Defense or in the national interest.
(iii) Approve one-time, one-station participation by personnel of
their commands (as individuals) in programs of purely local interest.
(2) All other audiovisual material originated by the Department of
the Navy or requiring Navy cooperation must be approved by the Chief of
Information, who will effect the necessary coordination and/or approval
of the Assistant Secretary of Defense (Public Affairs).
(i) Requests for assistance from non-governmental audiovisual media
will be forwarded, with the maximum available details and an evaluation
of the request, through the chain of command to the Chief of
Information.
(ii) No direct coordination or contact between local naval commands
and the Assistant Secretary of Defense (PA) is authorized unless
specifically provided for by separate directives or correspondence.
(c) Navy cooperation in productions by audiovisual media
representatives (nongovernment).
(1) The production or project must:
(i) Be consistent with the goals and aims of the Department of
Defense and/or be in the national interest.
(ii) Portray military operation, historical incidents, persons and
places, in such a manner as to give a true portrayal and interpretation
of military life.
(iii) Comply with accepted standards of dignity and propriety in the
industry.
(2) There will be no deviation from established safety standards.
(3) Operational readiness shall not be impaired.
(4) Official activities of military personnel assisting the
production must be within the scope of normal military activities.
Exceptions to this policy will be made only in unusual circumstances.
(5) Diversion of ships, equipment, personnel and material resources
from normal military locations or military operations will not normally
be authorized for filming. Exceptions to such policy must be authorized
by the Assistant Secretary of Defense (Public Affairs), through the
Chief of Information.
(i) The production company concerned must reimburse the government
for any extra expense involved. A strict accounting of the additional
expenses incurred and charged to the production company must be
maintained by the designated project officer. A copy of this accounting
will be forwarded to the Chief of Information.
(6) Naval material and personnel will not be employed in such a
manner as to compete with commercial and private enterprise. In this
regard, any person or agency requesting their use will furnish a
noncompetitive certification.
(7) Additional details on procedures will be found in DOD
Instruction 5410.16.
(8) In addition to cooperation requested by the media, commands will
be alert to the advantages of providing Navy programming and/or
encouraging participation by Navy personnel in local radio and TV
programming. Examples are community forums, local talent shows,
educational and religious programs, children's shows, sports programs,
etc.
(d) Participation by individual Navy personnel on radio or TV
programs:
(1) In general, such participation is encouraged if it is:
(i) Dignified and considered in the interests of the Navy.
(ii) Compatible with operational commitments.
[[Page 127]]
(iii) Not in competition with the regular employment of professional
performers.
(2) The public affairs officer will screen requests for such
appearances for members of his command to see that the programs are in
good taste, and that neither the Navy nor its personnel are exposed to
embarrassment for the sake of entertainment.
(3) Approval of participation by Navy individuals:
(i) Approval is not required for personnel attending audience
participation broadcasts if they are selected at random from the
audience.
(ii) One-time, one-station participation of purely local interest
may be approved by the officer in command concerned.
(iii) If participation will be on a network (defined as more than
one station, even if local) of if the same person or program is
requested by two or more unrelated stations, approval by the Chief of
Information must be obtained even if the show is of local interest only.
(e) Use of official footage:
(1) Use of official U.S. Navy stock film footage on TV broadcasts is
not authorized without approval and clearance by the Chief of
Information and the Department of Defense.
(2) Use of Navy public information motion pictures cleared for TV is
authorized and encouraged except that such films may be used on
subscription or pay TV only when offered to the viewers at no cost.
(3) Navy films will not be cut or portions duplicated for TV use in
lieu of stock footage without prior approval by the Chief of
Information.
(f) Music clearance. The Navy assumes no responsibility for
clearance of music used on Navy recordings, transcriptions, or films not
specially produced or authorized for radio or TV broadcast.
(g) Disclaimers. A disclaimer is not necessary if a product is
advertised on a program in which the Navy participates, but there must
be no stated or implied endorsement of it by the Navy or by naval
personnel appearing on the program.
(h) Requests for courtesy prints of commercial television programs:
(1) Requests will not be made directly to the producer or network
concerned, but will be forwarded to the Chief of Information by the Navy
requester.
(2) These courtesy prints will be exhibited only under circumstances
which cannot be construed as competitive with commercial ventures.
Sec. 705.8 Motion pictures.
(a) The rules and procedures given in the preceding for TV will also
apply to cooperation with commercial motion picture producers.
(b) The Navy assists in the production of commercial, privately
financed, nontheatrical motion pictures of institutional or of
educational value to the public. They Navy will not:
(1) Solicit their production.
(2) Provide lists of subjects the Navy considers ``desirable.''
(3) State that the Navy will use a commercially produced film.
(4) Imply endorsement of a product.
(5) Permit the use of official Navy seals.
(c) Navy assistance to motion pictures and all other audio-visual
products produced by Navy contractors will be subject to the same rules
and procedures that apply to other non-government producers. Audio-
visual products produced by Navy contractors, with or without Navy
assistance, will be submitted to the Chief of Information via the
appropriate Navy headquarters activity for coordination with the
Assistant Secretary of Defense (Public Affairs) for clearance for public
release. They will be accompained by five copies of the script and a
statement from the producer that costs were paid from corporate (vice
contract) funds.
(d) When a commercial film which has been produced with Navy
cooperation is screened in a community, local commands can provide Navy
exhibits for display in theater lobbies, coordinate displays of
recruiting material, and arrange for personal appearances of Department
of Defense and Department of the Navy military and civilian personnel,
provided such cooperation is approved by the Chief of Information and
the Assistant Secretary of Defense (Public Affairs).
[41 FR 29101, July 15, 1976, as amended at 44 FR 6390, Feb. 1, 1979]
[[Page 128]]
Sec. 705.9 Availability of motion pictures to external audiences.
(a) Public access. Navy and Marine Corps general motion pictures and
motion picture projects not previously cleared for public exhibition
will require clearance by the Chief of Information or the Marine Corps
Director of Information, as appropriate, prior to public viewing.
Concurrent review of legal rights and instruments associated with the
production will be carried out by Patent Counsel, Naval Air Systems
Command (AIR-OOP). Cleared motion pictures may also be made available
for free loan as determined by the individual services. In addition,
cleared motion pictures may be provided for rent or sale through the
National Audio-Visual Center, National Archives and Records Service
(GSA), Washington, DC 20409.
(b) Foreign military training. Motion pictures from the Navy
inventory may be made available for foreign military training programs
on approval by the Chief of Naval Operations. Classified motion pictures
selected for such use will also require a security review by the Chief
of Naval Operations.
Sec. 705.10 Still photography.
(a) Policy and procedures on taking photos by the general public,
given in Sec. 705.5 apply also to media representatives.
(b) Basic policy and procedures for still photos are set forth in
the Manual of Naval Photography, OPNAVINST 3150.6D.
(c) Authority to forbid photography:
(1) On Navy property, the officer in command may forbid the taking
of photographs and may confiscate film, reviewing it if it is suspected
that classified material has been photographed. In such cases, all
unclassified photos will be returned promptly to the photographer.
(2) Navy personnel have no authority to confiscate film off Navy
property. If, as in an accident, classified equipment is exposed which
cannot be removed or covered, Navy representatives will ask news media
photographers not to photograph it and will inform them of 18 U.S.C.
793(e), 795, 797, which makes it a criminal offense to photograph
classified material. Navy personnel will not use force if media
photographers refuse to cooperate, but will instead seek the assistance
of appropriate civil authorities and/or the photographer's superior in
recovering film or photographs presumed to be of classified nature.
(3) If media photographers are uncooperative in regard to protection
of classified material, an account of the matter will be forwarded to
the Chief of Information.
(d) Release of photographs:
(1) Most unclassified photographs of interest to the public may be
released to news media. However, the rights of individuals photographed
and special constraints such as those described in section 0403 of the
Public Affairs Regulations must be taken into consideration before a
decision is made to release a photograph. In addition, photos which
might be harmful to recruiting or otherwise not be in the Navy's best
interests will not be used unless this failure to release them
constitutes suppression of legitimate news.
(2) Photographs of strictly local interest can be made available by
the command to local media without being submitted to review by higher
authority.
(3) If a feature type photo released locally is considered of
possible interest elsewhere, because of its human interest or artistic
merit, a single print should be forwarded to the Chief of Information,
together with a notation of the distribution made.
(4) Photographs of national interest:
(i) ``Spot news'' photos may be released by a District Commandant or
Fleet or Force Commander.
(ii) If a photo has been released by a local command to national
news media:
(A) The original negative or transparency will be forwarded by the
fastest available means to the Commanding Officer, Naval Photographic
Center, Naval Station, Washington, DC 20390. Such forwarding will be in
accordance with the Manual of Naval Photography, par. 0445,
subparagraphs 3 and 4.
(B) One print, a copy of the letter of transmittal, and the
distribution list will be forwarded to the Chief of Information.
[[Page 129]]
(C) Navy units with a Unified Command will forward the photos
through Unified Command channels.
(D) All other commands will forward the photos to the Chief of
Information who will effect coordination with the Office of the
Assistant Secretary of Defense (Public Affairs) and, if necessary,
arrange for security review.
(iii) Photography of research activities is normally considered to
be of national interest.
(iv) Still photographs of national news interest may be forwarded,
unprocessed, for release by the Chief of Information by any command not
subject to the authority of a Unified or Specified Commander. Such
forwarding will be in accordance with paragraph 0445, subparagraph 3, of
the Manual of Naval Photography. All available caption material will be
forwarded with this unprocessed photography.
Sec. 705.11 Supplying photographs and services to other than Navy and Marine Corps.
(a) To avoid competition with civilian photographic organizations,
naval aircraft will not be used to take photographs for, nor will
photographs or mosaic maps be provided to any individuals, corporations,
or agencies other than departments or agencies of the federal
government, without specific permission from the Chief of Naval
Operations.
(b) In the case of natural catastrophe, or other circumstances where
prompt action is required, the senior officer present may authorize a
departure from the preceding paragraph. In all such cases, a report of
the circumstances will be made to the Chief of Naval Operations.
(c) This policy does not preclude releases to the media, news
companies, and others in accordance with established procedures, or the
sale of released photographs to private agencies or individuals under
existing Department of Defense regulations and part 701, subparts A-D,
Availability to the public of Department of the Navy Information and
Records. Normally, requests by individuals for still photographs and
motion picture photography for private use are forwarded to the
Commanding Officer, Naval Photographic Center, Naval Station,
Washington, DC 20390, for action. Procedures for the collection or
authority for waiver of fees for service and material provided are set
forth in Volume III, NAVCOMPT Manual, and part 701, subparts A-D.
(d) Navy aerial photography released for sale to the public is
transferred to the United States Department of the Interior. Inquirers
regarding the purchase of this photography should be directed to Chief,
Map Information Office, Geological Survey, Department of the Interior,
Washington, DC 20025.
(e) Navy training films suitable for sale to the public are
transferred to the National Audio-Visual Center, National Archives and
Records Service, General Services Administration, Washington, DC 20408.
Inquires regarding the sale of Navy training films should be addressed
to the National Audio-Visual Center.
(f) This policy does not preclude releases to contractors and others
properly engaged in the conduct of the Navy's business. However, when
services are performed for other agencies of the government, and under
certain conditions, for other military departments, the Navy Comptroller
Manual prescribes that such are subject to reimbursement.
(g) All private inquiries from foreign nationals should be returned,
advising the addressee to contact his local U.S. Information Service
officer for the desired materials.
Sec. 705.12 Print media.
Requests for reprints of items published in national media will be
addressed to the Chief of Information. Commands will be careful not to
reproduce on their own authority any copyrighted material without
advance permission from the copyright holder.
Sec. 705.13 Commercial advertising.
(a) The Navy encourages cooperation with advertisers. However, the
layout, artwork and text of the proposed advertisement must be submitted
to the Chief of Information for review and for clearance by other
appropriate authorities.
[[Page 130]]
(b) Requests from commercial enterprises (including those with Navy
contracts) for use of Navy personnel, facilities, equipment or supplies
for advertising purposes must be referred to the Chief of Information.
(c) Official Navy photos which have been cleared and are released
for open publication may be furnished for commercial advertising, if
properly identified and captioned. No photos will be taken exclusively
for the use of an advertiser.
(d) Navy cooperation in commercial advertising, publicity and other
promotional activities will be based on the following requirements.
(1) It must be in accordance with the provisions of 32 CFR part 721.
(2) It must be in good taste and not reflect discredit on the Navy
or the U.S. Government. Statements made must be matters of fact, without
misleading information or other objectionable features.
(3) It must not indicate that a product is used by the Navy to the
exclusion of similar products offered by other manufacturers or appear
to endorse or selectively benefit or favor (directly or indirectly) any
private individual, sect, fraternal organization, commercial venture or
political group, or be associated with solicitation of votes in a
political election. It will not infer Navy responsibility for the
accuracy of the advertiser's claims or for his compliance with laws
protecting the rights of privacy of military personnel whose
photographs, names or statements appear in the advertisement. It will
neither indicate that a product has undergone Navy tests nor disclose
data from any Navy tests which may have been made.
(4) It may not promote the use of tobacco or alcohol.
(e) Use of uniforms and naval insignias. These may be used provided
it is done in a dignified manner.
(f) Use of Naval personnel:
(1) Personnel may receive no compensation.
(2) Personnel will not be inconvenienced or have their training or
normal duties interrupted.
(3) Written consent from the person concerned must be obtained
before a photo may be used.
(4) Navy civilians and military personnel on active duty may not use
their position titles or ranks in connection with any commercial
enterprise or endorsement of a commercial product. (Retired personnel
and Reserves not on active duty may use their military titles in
connection with commercial enterprises if this does not give rise to the
appearance of sponsorship of the enterprise by the Navy or Department or
in any way reflect discredit upon them.)
(5) Testimonials from naval personnel are not banned, but the person
giving the testimonial must not be specifically identified.
(i) The use of name, initials, rank or rate of Navy personnel
appearing in testimonial advertising is not permitted, but such
expressions as, ``says a Navy chief,'' may be used.
(ii) Care will be taken to ensure that testimonials from Navy
personnel are presented in such a way as to make clear that the views
expressed are those of the individual and not of the Department of the
Navy.
Sec. 705.14 Embarkation of media representatives.
(a) General. (1) Although this paragraph applies primarily to
embarkation in ships, provisions which are applicable to embarkation on
aircraft or visits to shore installations apply also to those
situations.
(2) See also Sec. 705.37 on transportation of non-Navy civilians.
(b) Invitations to embark. (1) Invitations should be extended as far
in advance as possible and inclusive information on the following should
be provided:
(i) Type, scope and duration of operation or cruise.
(ii) Communications, methods of press transmission, and charges, if
any.
(iii) Transportation arrangements.
(iv) Approximate cost of meals and/or quarters, and the statement
that the newsman will be expected to pay for these and other personal
expenses incurred.
(2) It should be made clear to the newsman that there may be limits
on movement from one participating unit to another. If helicopters or
highline
[[Page 131]]
transfers are to be used, their limitations and hazards should be
explained.
(3) On operations where security is critical, embarkation of newsmen
may be made contingent to their agreement to submit copy for security
review. Under such circumstances, the reason for the review will be made
clear prior to embarkation, and every effort will be made to avoid any
interpretation of such review as ``censorship'' or interference with
freedom of the press.
(c) Arrangements aboard ship. (1) Where appropriate, a briefing
should be held at the earliest convenient time after embarkation at
which newsmen may meet the commanding officer and other key personnel
and guests and at which previously supplied information is reviewed.
(2) If feasible, an escort officer will be assigned to each newsman
(or group of newsmen having similar requirements).
(3) It should be reported in the ship's newspaper (and on radio and
closed-circuit TV, if any) that newsmen will be embarked, giving their
names and the media they represent.
(4) If a correspondent is interested in home town material,
personnel from his area should be contacted in advance, if possible, to
determine if and when they would be available for interviews and photos.
(5) Representatives of press associations and radio and TV networks
will be embarked in the Exercise Commander's flagship or the Exercise
Control ship, when possible. This ship should also control the ship-to-
shore press radio and teletype (RATT).
(6) When more than one representative from the same medium is
embarked, an attempt should be made to have them located at separate
vantage points.
(d) Communications. (1) Every effort will be made to provide
suitable communication facilities for newsmen embarked (including
equipment and personnel, if feasible).
(2) All persons embarked with permission of proper authority and
accredited as correspondents are eligible to file press traffic, as
authorized by the procedures set forth in Naval Telecommunication
Procedures (NTP-9), ``Commercial Communications.''
(3) Navy radio or wire transmission facilities, where available, may
be made available to news media (including accredited civilian
photographers) when operational requirements permit, in accordance with
instructions set forth by the Director of Naval Communications. This
includes making live broadcasts or telecasts. (A live network broadcast
or telecast must, however, be approved by the Chief of Information.)
(4) Messages and instructions from editors and station managers to
embarked newsmen will be handled as press traffic, as authorized in
Naval Telecommunication Procedures (NTP-9).
(5) Stations receiving press circuits will be authorized to receipt
for press traffic without asking for time-consuming ``repeats.''
(6) Under normal circumstances, press copy will be transmitted on a
first-come, first-served basis; however, newsmen will be informed that
the prerogative of limiting the amount to be filed during any one period
rests with the Exercise Commander.
(7) If it becomes necessary for operational reasons for newsmen to
pool copy, such messages shall be filed as ``multiple address messages''
or book messages, as appropriate, or when requested by the newsmen
concerned.
(8) If the locale of the exercise permits newsfilm and press mail to
be flown ashore, flights should be scheduled on a high priority basis to
connect with scheduled commercial air traffic. Operational aircraft as
well as scheduled government air flights should be considered for
delivery of television news film, radio tapes and photography to the
nearest commercial communications facility.
(e) Voluntary submission of material by a newsman for security
review. When a review is not required but is sought by the newsman, no
attempt will be made to delete or change any material, whether or not it
appears critical of the Navy or of naval personnel. If any classified
information is included, the newsman will be asked to delete it. In
addition, his attention will be drawn to
[[Page 132]]
any inaccurate or possibly misleading statements.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6390, Feb. 1, 1979]
Sec. 705.15 Employment of Navy personnel as correspondents or staff members of civilian news media.
(a) A member of the naval service on active duty or Navy civilian
may act as correspondent for a news periodical or service, radio or TV
station or network, or may work part-time for such an organization. The
Secretary of the Navy will, however, be immediately informed, via the
Chief of Information.
(1) See section 0307 (par. 5), section 0308 (par. 4), and section
0309 (par. 3) of the Navy Public Affairs Regulations for regulations
referring to personnel assigned to public affairs staffs receiving
compensation for such work.
(2) In time of war, only personnel assigned to public affairs
billets and such other personnel as the Secretary of the Navy may
authorize can act as correspondents for civilian media.
(b) Military personnel on active duty and Navy civilians may not
serve on the staff of a ``civilian enterprise'' newspaper published for
personnel of a Navy installation or activity.
Sec. 705.16 Navy produced public information material.
(a) Still photo--(1) General. (i) The policy and procedures given
for media produced still photos in Sec. 705.10, apply to Navy produced
photos.
(ii) The Office of Information does not issue, nor have funds
available for the purchases of, any photographic equipment or supplies
for Navy commands. Details on the establishment of authorized
laboratories and acquisition of equipment and supplies are given in the
Manual of Navy Photography (OPNAVINST 3150.6D).
(2) Photographic coverage of command events. (i) If more than two
photographers are required to cover a public event, consideration should
be given to having them wear appropriate civilian attire.
(ii) Personnel in uniform who are amateur photographers and who are
attending the event as spectators will not be discouraged from taking
photos.
(3) Unofficial photos taken by Navy personnel. (i) The following
regulations apply to Navy civilian employees and to Navy personnel in
transit through a command, as well as to active duty personnel assigned
to the command.
(ii) Personal cameras and related equipment are permitted on Navy
ships, aircraft and stations at the discretion of the officer in
command.
(iii) An officer in command may screen all photos taken by naval
personnel with personal cameras within the jurisdiction of the command
to protect classified information or to acquire photos for official use,
including public affairs. Photographs taken by bystanders at times of
accident, combat, or similar significant events can be valuable for
preparation of official report and public release. They should be
collected for screening and review as expeditiously as possible.
(iv) Amateur photographers should also be encouraged to volunteer
the use of interesting or significant photos for public affairs use.
(v) Photos made by naval personnel, with either personal cameras and
film, Navy equipment and film, or any combination thereof, may be
designated ``Official Navy Photo'' if it is considered in the best
interests of the Navy.
(A) All precautions will be taken to protect such film from loss or
damage, and all unclassified personal photos not designated as
``official'' will be returned to the owner immediately after review.
(B) When a photo taken by an individual who is not an official
photographer is selected for public affairs release:
(1) The photographer will receive credit for his work in the same
manner as an official photographer.
(2) The original negative or transparency will be retained and
assigned an official file number. It will then be handled like any other
official Navy photograph.
(3) At least one duplicate negative or transparency of each
unclassified personal photo which has been designated as ``official''
will be prepared and delivered to the photographer. A black-and-white
print may also be prepared for the photographer's personal use.
[[Page 133]]
(b) Audiovisual. (1) The Chief of Information releases TV
featurettes directly to local TV stations and the Office of
Information's Branch Offices (NAV INFO's). After such featurettes have
been cleared for public release by the Assistant Secretary of Defense
(Public Affairs).
(2) The Assistant Secretary of Defense (PA) must approve, prior to
commitment of funds, the initiation of Navy audiovisual productions
intended for public release.
(3) Motion picture film.
(i) Film of major news value will be forwarded immediately,
unprocessed, to the Commanding Officer, U.S. Naval Photographic Center.
The package should be labeled as follows:
News Film--Do Not Delay
Commanding Officer, U.S. Naval Photographic Center (ATTN: CHINFO
Liaison), Washington, DC 20374.
News Film--Do Not Delay
The Commanding Officer of the Naval Photographic Center will be advised
(with an information copy to the Chief of Information) of its
forwarding, the subject, type and amount of footage, method of delivery,
and estimated time of arrival in Washington.
(ii) The original negative of motion picture photography of feature
value (photography which will not lose its timeliness over a reasonable
length of time) will be forwarded to the Naval Photographic Center, and
a copy of the forwarding letter will be sent to the Chief of
Information.
(c) Fleet Home Town News Center (FHTNC). (1) All public affairs
officers will assure that appropirate news and photo releases on
personnel of their commands are regularly sent to the Fleet Home Town
News Center.
(2) Procedures, requirements and formats are contained in CHIN-
FOINST 5724.1.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6390, Feb. 1, 1979]
Sec. 705.17 Participation guidelines.
(a) The provisions of this section refer to participation by naval
personnel and use of Navy facilities and material in events sponsored by
nongovernment organizations except where otherwise stated.
(b) In accordance with the established responsibilities of local
officers in command, these officers will continue to determine whether
facilities, equipment and personnel within their cognizance may be
provided for such programs (except in the Washington, DC area where the
Assistant Secretary of Defense (Public Affairs) is the authorizing
authority).
(c) Officers in command will ensure that participation is
appropriate in scope and type, and is limited to those occasions which
are: In keeping with the dignity of the Department of the Navy, in good
taste and in conformance with the provisions of part 721 of this
chapter. The national, regional, state or local significance of the
event and the agency sponsoring the event will be used as guides in
determining the scope and type of Navy participation to be authorized.
(d) Participation in community relations programs is authorized and
encouraged to accomplish the aims and purposes as set forth in
Sec. 705.18 (following). Where mutually beneficial to the Department of
Defense and the public, support authorized and provided is always
subject to operational considerations, availability of requested support
and the policy guidance provided herein.
(e) Military personnel, facilities, and materiel may be used to
support non-government public affairs programs when:
(1) The use of such facilities, equipment and personnel will not
interfere with the military mission or the training or operational
commmitments of the command.
(2) Such programs are sponsored by responsible organizations.
(3) Such programs are known to be nonpartisan in character, and
there is no reason to believe that the views to be expressed by the
participants will be contrary to established national policy.
(f) The sponsoring organizations or groups will be clearly
identified in all cases where naval personnel participate as speakers,
or military support is furnished.
[[Page 134]]
(g) Public affairs programs sponsored by civilian organizations will
not be cosponsored by a naval command unless expressly authorized by the
Chief of Information.
(h) Participation will not normally be authorized in public events
when the presence of military participants deprives civilians of
employment. Officers in command will screen all requests for use of
material and personnel in Navy-sponsored social functions held off
military installations.
(i) Navy participation and cooperation must not directly or
indirectly endorse, or selectively benefit, or appear to endorse,
benefit or favor, any private individual, group, corporation (whether
for profit or nonprofit), sect, quasi-religious or ideological movement,
fraternal, or political organization, or commercial venture, or be
associated with the solicitation of votes in a political election.
(1) Providing use of government facilities, such as transportation,
housing, or messing, at government expense to private groups is normally
interpreted as a selective benefit or favor and is not authorized as
part of a community relations program. Therefore, such provisions are
normally not authorized as part of a community relations program, even
though certain uses of facilities may be authorized under directives on
domestic action or other programs.
(2) The above does not bar private groups from providing
entertainment on base. However, the appearance must be for entertainment
and not for fund-raising, or any political or promotional purpose.
(j) Community relations programs must always be conducted in a
manner free from any discrimination because of race, creed, color,
national origin, or sex.
(1) Navy participation in a public event is not authorized if
admission, seating and other accommodations and facilities are
restricted in a discriminatory manner.
(2) Exceptions for participation may be made under certain
circumstances for an ethnic or ideological group when they do not
entertain any purpose of discriminating against any other group. Any
such exceptions must be referred to the Chief of Information for
consideration.
(3) Support to nationally recognized veterans' organizations is
authorized when the participation is in support of positive programs
which are not in themselves discriminatory.
(4) Navy support to nonpublic school activities is authorized when
the participation is clearly in support of educational programs or Navy
recruiting.
(5) Commands should ensure minority participation in all community
relations activities and events, as appropriate. This includes but is
not limited to the following:
(i) Ensure that the minority community is aware of the procedure for
obtaining Navy support for community events and that they are appraised
of the use of Navy demonstration teams, units, and speakers.
(ii) Encourage Navy involvement in, and attention to, local minority
community events.
(iii) Continue to cultivate a rapport with key members of all
minority communities.
(k) Participation is not authorized if there is fund raising of any
type connected with the event, except as provided for in Sec. 705.34.
(l) No admission charge may be levied on the public solely to see an
Armed Forces demonstration, unit, or exhibit.
(1) When admission is charged, the Armed Forces activity must not be
the sole or primary attraction.
(2) A general admission charge need not be considered prohibitory to
Navy participation, but no specific or additional charge may be made
because of Navy participation.
(3) Participation shall be incidental to the event except for
programs of a patriotic nature, celebration of national holidays, or
events which are open to the general public at no charge for admission.
(4) The provisions of this paragraph do not apply to the Navy's Blue
Angel Flight Demonstration Team or to the Navy Band and other special
bands engaged in authorized concert tours conducted at no additional
cost to the government.
(m) Some participation in or support of commercially sponsored
programs
[[Page 135]]
on audio or visual media is allowable. See Secs. 705.7 and 705.8.
(n) Some participation which supports commercial advertising,
publicity and promotional activities or events is allowable. See section
0405, par. 3 of the Navy Public Affairs Regulations.
(o) Navy speakers may be provided for certain events at which other
forms of Navy participation may not be appropriate. See section 0604,
par. 8 of the Navy Public Affairs Regulations.
(p) When participation is in the mutual interest of the Navy and the
sponsor of the event, participation will be authorized at no additional
cost to the government. Additional costs to the government (travel and
transportation of military personnel, meals and quarters, or standard
per diem allowances, etc.) will be borne by the sponsor.
(q) Department of Defense policy prohibits payment by the Armed
Forces for rental of exhibit space, utilities, or janitorial costs.
Other exceptions may be given under unusual circumstances.
(r) Navy participation in professional sports events and post-season
bowl games will frequently be authorized at no additional cost to the
government, will emphasize Joint Service activity when possible, and
must support recruiting programs. Chief of Information approval is
required.
(s) Navy participation in public events shall be authorized only
when it can be reasonably expected to bring credit to the individuals
involved and to the Armed Forces and their recruiting objectives. Naval
personnel will not be used in such capacities as ushers, guards, parking
lot attendants, runner or messengers, baggage handlers or for crowd
control, or in any installations.
(t) Maximum advantage of recruiting potential will be taken at
appropriate events for which Navy participation has been authorized.
(u) Navy support will not normally be authorized for commercially-
oriented events such as shopping center promotions, Christmas parades,
and other such events clearly sponsored by, or conducted for the benefit
of commercial interests. However, this policy does not preclude
participation of Navy recruiting personnel and their organic equipment,
materials and exhibits so long as their participation is not used to
stimulate sales or increase the flow of business traffic or to give that
appearance. Requests for exceptions will be considered on a case-by-case
basis by the Chief of Information.
(v) Questions as to appropriateness of Navy participation, or as to
existing Navy and OASD (PA) policy, may be referred to the Chief of
Information.
(w) Procedures for requesting participation are addressed in
Sec. 705.21.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6390, Feb. 1, 1979]
Sec. 705.18 Authority and coordination.
(a) Each naval command will coordinate its community relations
program with the senior authority having responsibility for community
relations in its area (District Commandant, Unified Commander, or
other).
(b) Within policy limitations outlined in this section, the command
receiving a request for Navy participation, and processing the required
resources, has the authority to process the request and provide the
support requested.
(c) Requests for support exceeding local capability, or requiring
approval from higher authority, or requiring an exception to policy will
be referred as directed in Sec. 705.21 for determination.
(d) The Assistant Secretary of Defense (Public Affairs) has the
overall responsibility for the Department of Defense community relations
program. Civilian sponsors should be advised to address requests for
approval of the following types of programs directly to the Director of
Community Relations, Office of the Assistant Secretary of Defense
(Public Affairs), Pentagon, Washington, DC 20301:
(1) National and international events, including conventions, except
those taking place in overseas areas which are primarily of internal
concern to Unified Commanders.
(2) Events outside the United States which have an interest and
impact extending beyond the Unified Command areas, or which require
assistance from outside the command area.
(3) Public events in the Washington, DC area.
(4) Aerial, parachute, or simulated tactical demonstrations held in
the
[[Page 136]]
public domain, except those held in areas assigned to overseas Unified
Commands.
(5) Aerial reviews on military installations within the United
States if the review involves more than one Service.
(6) Programmed national sports, professional athletic events, formal
international competitions, and contests between a Navy and professional
team in the public domain. See section 0605, par. 18 of the Navy Public
Affairs Regulations.
(7) Performing Navy units appearing on regional or national
television.
(8) Overall planning for Armed Forces Day (not including local
activities).
(9) Granting exceptions to policy.
(e) Overseas, Unified Commanders are designated to act for and on
behalf of the Secretary of Defense in implementing community relations
programs within their command areas and in granting any exceptions to
policy or regulations. This authority may be delegated.
(1) Policy, direction and guidance for Unified Command community
relations programs are provided to Navy components of these commands by
the Unified Commander concerned.
(2) Authority of the Commander-in-Chief, Pacific extends to planning
and execution of community relations programs in Alaska and Hawaii.
Participation in events held in Alaska and Hawaii will be governed by
the same principles as policies applicable to other states.
(3) Community relations programs and events taking place within the
United States which have an effect on a Unified or Specified Command as
a whole, or are otherwise of significant concern to the Unified Command,
require complete coordination through appropriate channels between the
Unified Command and naval activities concerned.
(4) Unified Commanders overseas requiring Navy support for a
community reltaions program or participation in a public event should
coordinate their requirements with the appropriate Navy component
command.
(f) The Secretary of the Navy will plan and execute Navy community
relations programs and approve Navy participation in public events not
otherwise reserved or assigned to the Secretary of Defense. This
authority may be delegated.
Sec. 705.19 Financing.
(a) The financial requirements for community relations purposes will
be kept to the minimum necessary to accomplish Department of Defense
objectives.
(b) Costs of participation will normally be at government expense
for the following types of events and programs when they are in the
primary interest of the Department of Defense:
(1) Public observances of national holidays.
(2) Official ceremonies and functions.
(3) Speaking engagements.
(4) Programmed, scheduled tours by Navy information activity support
units (e.g., an exhibit from the Navy Exhibit Center) when this method
of reaching special audiences is considered by the Secretary of the Navy
to be the most effective and economical way of accomplishing a priority
public affairs program.
(5) Tours by units (e.g., the Navy Band) for which appropriated
funds have been specifically provided.
(6) Support of recruiting.
(7) Events considered to be in the national interest, or in the
professional, scientific, or technical interests of the Navy or
Department of Defense, when approved by the Secretary of Defense or the
overseas Unified Commander, as appropriate.
(c) Navy participation in all other public events will normally be
at no additional costs to the government.
(1) Continuing type costs to the government which would have existed
had the Navy not participated in the event will not be reimbursed by the
sponsor.
(2) Transportation costs may be excluded from the costs to be borne
by the sponsor when the transportation can be accomplished by government
aircraft on a normal training flight or opportune airlift.
Sec. 705.20 Use of Navy material and facilities.
(a) The loan of equipment and permission to use facilities will be
dependent on the following:
[[Page 137]]
(1) The program support must be within the command's public affairs
responsibility.
(2) The loan of the equipment must not interfere with the military
mission of the command.
(3) Equipment must be available within the command or obtainable
from another Navy command in the local area.
(4) The event must be of the type for which participation is
considered appropriate.
(5) It must not be in any direct or implied competition with a
commercial source.
(6) There must be no potential danger to persons or private property
that could result in a claim against the government. Safety requirements
will be observed.
(b) Use of open mess facilities will be permitted only under one of
the following conditions:
(1) Incident to the holding of a professional or technical seminar
at the command.
(2) Incident to an official visit to the command by a civic group.
(3) Navy League Council luncheon or dinner meetings (not to exceed
one per quarter per group).
(4) Incident to group visits by the Boy Scouts of America, Boys
Clubs of America, the Navy League Sea Cadets (by virtue of their federal
charters), Girl Scouts and the Navy League Shipmates, and a few
representative adult leaders.
(c) Use of the official Navy flag will be in accordance with
SECNAVINST 10520.2C and of official emblem in accordance with OPNAVINST
5030.11B.
(d) Requests not meeting the criteria cited here, but which are
considered by the officer in command to have merit, may be referred to
the Chief of Information.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.21 Requests for Navy participation.
(a) Decisions will be made on a case-by-case basis. Events which are
inappropriate for one type of participation may be entirely appropriate
for another type of participation. A positive and flexible approach
should be employed.
(b) Requests by civilian organizations for Navy participation in
programs or events they sponsor should be addressed to the nearest naval
installation and should be evaluated and authorized at that level if
possible. Request exceeding local resoures, or requiring authorization
from higher authority, should be forwarded through appropriate channels.
(c) Requests for Armed Forces participation in public events are to
be submitted on official request forms (Secs. 705.33, 705.34 and 705.36)
by the sponsors of events occurring outside a command's area of direct
knowledge and local capability, or involving a type or level of
participation unavailable locally, or requiring approval of higher
authority.
(d) Fact sheets expounding upon normally requested assets are
enclosed in Secs. 705.33, 705.34 and 705.36 and may be reproduced and
distributed locally.
(e) The official request form is to be used on all requests referred
to the Chief of Information and to the Office of Assistant Secretary of
Defense (Public Affairs).
Sec. 705.22 Relations with community groups.
(a) Naval commands will cooperate with and assist community groups
within their capabilities, to the event authorized by current
instructions, and will participate in their activitis to the extent
feasible.
(b) Navy commands will encourage membership of personnel in
community organizations.
(c) Officers in command will withhold approval of requests from
community groups, organizations or individuals whose purposes are
unclear, pending advice from the Chief of Information.
(d) Commands may make facilities, less housing and messing,
available to community groups, at no expense to the government, when it
is in the best interest of the Navy to do so. Mess facilities may not be
used for meetings of civic groups or other asociations unless all the
members of the group concerned are authorized participants of the mess
as prescribed in NAVPERS 15951, except as provided below:
[[Page 138]]
(1) Requests to make open mess facilities available to professional
or technical seminars or civic groups meeting in connection with an
official visit to the activity may be submitted to the officer in charge
of the mess, or other appropriate authority. Such requests may be
approved when it is shown that the inspection of the activity or the
holding of a professional seminar is of principal importance and the use
of mess facilities is incidental thereto.
(2) Because of the exceptional nature of the Navy League, as
recognized by the Secretary of the Navy, open mess facilities may be
used for luncheon or dinner meetings of Navy League Councils, but not
more often than once per quarter per group.
(e) Relations with Industry and Labor in the Community (refer to
SECNAVINST 5370.2F and DOD Directive 5500.7):
(1) Relations with Navy contractors and with industry and business
in general are the responsibility of the officer in command, with the
assistance of his public affairs officer.
(2) Navy commands will cooperate with industry and its
representatives in planning and executing community relations projects
of mutual interest.
(i) Visits to commands will be scheduled for industrial and employee
groups under the same conditions as for other civilian groups.
(ii) A contractor may be identified in a news release, exhibit, or
the like whenever the major responsibility for the product can be
clearly and fairly credited to him. In such cases, both the
manufacturer's name for the product and the Navy designation of it will
be used.
(iii) Commands will not solicit, nor authorize others to solicit,
contractors to provide advertising, contributions, donations,
subscriptions, etc. Where there is a legitimate need for industrial
promotion items, such as scale models, the command will contact the
Chief of Information for advice as to the procedure for requesting
procurement.
(iv) Similarly, if Defense contractors wish to distribute
information material through official Navy channels, the Office of
Information will be queried as to the desirability and feasibility of
undertaking the desired distribution.
(v) Visits to contractor facilities are governed by the provisions
of DOD Manual 5520.22-M (Industrial Security Manual for Safeguarding
Classified Information). If nationally known press representatives will
be involved, prior approval must be obtained both from the contractor
(via the Chief of Information) and from the Assistant Secretary of
Defense (Public Affairs).
(3) Commands will maintain the same relationship with labor unions
as with other community groups and will not take action in connection
with labor disputes. Personnel inadvertently or incidentally involved in
labor disputes will consult officers in command for guidance.
(f) Emergency Assistance to the Community:
(1) Navy commands will offer and provide assistance to adjacent
communities in the event of disaster or other emergency.
(2) The Chief of Information will be advised immediately of action
when taken, and copies of subsequent reports to the Chief of Naval
Operations will be forwarded to the Chief of Information.
(3) Navy commands will participate in planning by local Civil
Defense officials.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.23 Guest cruises.
(a) General policy. (1) The embarkation of civilian guests in Navy
ships is appropriate in the furtherance of continuing public awareness
of the Navy and its mission.
(i) Examples of embarkations for public affairs purposes are (but
not limited to): Individuals, community service clubs, civic groups, the
Navy League, and trade and professional associations.
(ii) Embarkation of media representatives on assignment is discussed
in Sec. 705.14.
(iii) Other categories may be established by the Secretary of the
Navy, subject to the approval of the Secretary of Defense.
(2) It has also been demonstrated that the occasional embarkation on
cruises of families and personal guests
[[Page 139]]
of naval personnel has contributed materially to the morale of the
family circle and has instilled in each individual a sense of pride in
his ship. For further information see OPNAVINST 5720.2G.
(3) Embarkations should be conducted within the framework of
regularly scheduled operations; underway periods solely to accommodate
guests are not authorized.
(4) Commander-in-Chief, Pacific Fleet, Commander-in-Chief, Atlantic
Fleet, Commander-in-Chief, U.S. Naval Forces Europe, Commander Military
Sealift Command (and their subordinate commands if so designated), Chief
of Naval Education and Training, and District Commandants may authorize
the embarkation of female civilians for daylight cruises. Embarkation of
civilians for overnight cruises must be authorized by the Chief of Naval
Operations via the Chief of Information.
(5) All guest visits are normally authorized on an unclassified
basis.
(6) In all instances, due precautions must be taken for the safety
of the guests. (See section 0403, pars. 6(b) and, 6(e), of the Navy
Public Affairs Regulations, for procedures to be followed in the case of
death of, or injury to, civilians embarked on naval ships.)
(7) For further information on policy, procedures, and eligibility
criteria, see OPNAVINST 5720.2G.
(b) Authority. (1) Authority to establish procedures for the conduct
of the embarkation of guests for public affairs purposes (including the
Secretary of the Navy Guest Cruise and Guest of the Navy Cruise
programs, which are discussed in Sec. 705.24) is vested in the Secretary
of the Navy. This authority is limited only insofar as the Chairman of
the Joint Chiefs of Staff and the commanders of the Unified and
Specified Commands (and their component commanders, if so designated)
have the authority to use Navy ships to embark individuals other than
news media representatives for public affairs purposes.
(i) Public affairs embarkations originating within the geographical
limits of the Unified Command will be approved by and coordinated with
the commanders of such commands. This authority may be delegated.
Requests for such embarkations originating with the subordinate fleet or
force command of a Unified Command will be submitted via the operational
chain of command, to the appropriate commander of the Unified Command,
unless delegated.
(ii) Requests for public affairs embarkations originating from any
Navy source other than the Chairman of the Joint Chiefs of Staff, or the
Unified and Specified Commanders or their subordinate commands, will be
submitted to the Chief of Information, who will effect coordination with
the Chief of Naval Operations and/or the Assistant Secretary of Defense
(Public Affairs) as appropriate.
(iii) When guests debark in a foreign port which is in the
geographic area of a Unified Command other than that in which the cruise
originated, the Chief of Information will coordinate travel by obtaining
concurrence of all appropriate commanders and the approval of the Chief
of Naval Operations, and the Assistant secretary of Defense (Public
Affairs) as appropriate.
(2) Officers in command to whom authority to embark guests for
public affairs purposes is delegated will make maximum use of this
authority.
(c) Secretary of the Navy Guest Cruise and Guest of the Navy Cruise
Programs. (1) The objective of these two programs is: To expose top-
level and middle-level opinion leaders in the fields of business,
industry, science, education, and labor to the operation of the U.S.
Navy, in order that they may gain a better understanding of its
capabilities and problems, the complicated nature of modern sea-based
equipment, and the high levels of responsibility and training required
of Navy men and women.
(2) In addition to policy contained in paragraph (c)(1) of this
section, the following policy guidelines apply to the conduct of the
Secretary of the Navy Guest Cruise and the Guest of the Navy Cruise
Programs.
(i) Secretary of the Navy Guest Cruise Program. (A) Only aircraft
carriers and cruisers will be used.
(B) Cruises will be conducted once each quarter on each coast,
contingent upon the availability of appropriate ships.
(C) The optimum number of guests is 15.
[[Page 140]]
(D) Guests will be drawn from top-level executives and leaders who
have not had previous exposure to the Navy. ``Previous exposure'' is
defined as active or reserve service in the U.S. Navy or U.S. Marine
Corps within the last 10 years; membership in the Navy League or any
other Navy-oriented organization; or participation in a cruise on a U.S.
Navy ship in the last 10 years.
(E) Whenever feasible, Secretary of the Navy Guests will be greeted
by CINCLANTFLT or CINCPACFLT, or in their absence by the SOPA.
Comprehensive unclassified briefings will be given dealing with the
Navy's mission, fleet operations, and current problems.
(F) Cruises will vary in length from 3 to 7 days, when appropriate,
to conform with the operating schedule of the ship.
(ii) Guests of the Navy Cruise Program. (A) All types of ships will
be used. This will include carriers when available, after selection of a
cruise for the Secretary of the Navy Guest Cruise Program.
(B) Guest of the Navy Cruise guests will be drawn from middle-level
executives and leaders who have not had previous exposure to the Navy.
Guests should include persons who have direct impact on recruiting, such
as secondary school principals, guidance counselors, coaches and
teachers.
(C) Cruises of relatively short duration (3 to 5 days) are
preferred, although cruises up to 7 days are authorized. Protracted
cruises will not be approved except for special circumstances.
(D) Invitations will be extended by the District of Commandants.
Invitations will include:
(1) Statement of the purpose of the Guest of the Navy Cruise
Program.
(2) Authorization for embarkation and, if applicable, for COD
flights, with instructions for reporting on board.
(3) Name and rank of the commanding officer and, if applicable, name
and rank of embarked flag officer.
(4) A caution that guests should not accept the invitation unless
they are in good health.
(5) Statement to the effect that the tempo of operations might cause
changes in scheduling which could result in the invitation having to be
withdrawn.
(E) The following necessary information may be included separately
with a letter of invitation: Recommended wardrobe, passport and
immunization requirements, availability of emergency medical and dental
facilities, ship's store and laundry facilities, statement that guest's
use of a camera will be authorized subject to certain restrictions, and
a listing of those restrictions. In addition, the following statement
will be included with each invitation, or form part of the attached
information sheets:
The Department of the Navy has no specific authority to use its
funds to defray or reimburse any personal expenses of a navy guest. As a
result, the Department of the Navy cannot provide you with
transportation to the port of embarkation or from the port of
debarkation back to your home. Your expenses for meals will be quite
nominal while you are on board a naval ship or facility. You should make
provision for any extraordinary expense which may arise. For example, if
a personal or other emergency arises which necessitates your returning
home during the cruise, you should be prepared to take commercial
transportation at your own expense from the most distant point on the
cruise itinerary.
Navy ships and aircraft, by their very nature, present certain
hazards not normally encountered on shore. These hazards require persons
on board to exercise a high degree of care for their own safety.
Acceptance of this invitation will be considered your understanding
of the above arrangements and limitations.
(iii) Applicable to both programs. (A) Guests will provide their own
transportation from home to the ship and return, and must reimburse the
Navy for living and incidental expenses while embarked so that the
program may be conducted at no additional expense to the government.
(B) Because the number of billets available to accommodate all of
the potential guests is limited, the guest's opportunity to communicate
his experience to his associates must be considered. For this reason,
one of the criteria for selection of guests will be their level of
activity in civic, professional, and social organizations. In nominating
and selecting guests, effort will be made to ensure that minority
citizens are included as appropriate.
[[Page 141]]
(C) Atlantic cruises will be made on ships operating between East
Coast ports, or between CONUS and the U.S. Caribbean ports of San Juan,
PR, or Charlotte Amalie (St. Thomas), Virgin Islands. Pacific cruises
will be made on ships operating between West Coast ports: Between CONUS
and ports in Hawaii, Alaska, Mexico or Canada; or between ports within
Hawaii or Alaska.
(D) Guests will be informed of security restrictions. Unclassified
photography should be permitted on board, as pictures renew guests'
feelings of identification with a ship. Guests will be advised of areas,
however, where photography is prohibited, and security regulations will
be courteously but firmly enforced.
(E) Guests will be billeted in officers quarters and normally
subsisted in the wardroom. It is not necessary that guests be assigned
individual rooms. Billeting with ship's officers promotes mutual
understanding, and guests feel more closely identified with the ship's
company. They will be invited to dine at least once in each mess on
board, if the length of the cruise permits. Guests will be encouraged to
speak freely and mingle with the crew.
(F) Guests will be accorded privileges of the cigar mess
commissioned officers mess (open) ashore--with the exception of package
store privileges--and the use of ship's or Navy Exchange laundry and
tailor shops. Other Navy Exchange privileges will be limited to purchase
of items for immediate personal use.
(G) Only emergency medical and dental care will be provided and then
only where civilian care is not conveniently available.
(1) In the event of injury to civilians embarked in Navy ships and
aircraft or visiting naval activities, commanding officers will notify
the Chief of information, the appropriate Commandant, and operational
commanders, by message, of the injury and action taken.
(2) In the event of an emergency not covered by Navy Regulations,
the facts and circumstances will be reported immediately to the
Secretary of the Navy.
(H) Guests may be allotted time for side trips at their own expense
when an itinerary includes naval activities or ports adjacent to
recognized points of interest.
(I) As a souvenir of the cruise, it is suggested that guests be
provided with a photograph of the ship, perhaps suitably inscribed by
the commanding officer prior to debarkation.
(J) Any publicity will be limited to that initiated by the
participants. Navy-sponsored publicity will be avoided unless sought by
the participants. At the same time, media inquiries or inquiries from
the general public will be answered fully, the purposes of the cruise
program outlined and the fact stressed that no cost to the government is
incurred.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.24 Exhibits.
(a) Navy exhibits are representations or collections of naval
equipment, models, devices and information and orientation material
placed on public display for information purposes before audiences at
conventions, conferences, seminars, demonstrations, exhibits, fairs, or
similar events. Also included are general purpose displays in public
buildings or public locations. Museums also occasionally request a Navy
exhibit on a permanent or temporary loan basis.
(1) Exhibits may be displayed in any appropriate location or event
(including commercially owned spaces such as shopping centers, malls,
etc.) provided it is clearly established that such areas are places the
general public frequents and that the exhibit is not for the purpose of
drawing the public to that location, and that it is determined that
participation is in the best interests of the Department of Defense and
the Department of the Navy.
(b) Exhibits will be used for the following purposes only:
(1) To inform the public of the Navy's mission and operations.
(2) To disseminate technical and scientific information.
(3) To assist recruiting of personnel for Navy military service and
for civilian employment in the Department of the Navy.
(c) Exhibit requests and procedures:
(1) Requests for Navy exhibits, other than local exhibits may be
forwarded
[[Page 142]]
to the Navy Recruiting Exhibit Center via the local Navy recruiter with
an information copy to the Chief of Information. The primary mission of
the Navy Recruiting Exhibit Center is to support local Navy recruiters.
Requests for exhibits for community relations events will be considered
favorably only when not in conflict with recruiting requirements.
(i) Requests for exhibits must be submitted well in advance of their
proposed dates of use.
(ii) Requests for mobile exhibits requiring tractor-trailer
transportation should be forwarded prior to November 15th previous to
the year desired. A tour itinerary of mobile exhibits will then be
established for the following year.
(iii) The period of time for which an exhibit is authorized will be
determined by the nature of the event and the type of exhibit (e.g.,
equipment from local resources used for a local celebration would
normally not be exhibited for more than three days; but, a formal
exhibit at an exposition might remain for the duration of the event).
(2) The office of the Assistant Secretary of Defense (Public
Affairs) is the approving authority for Navy exhibits in events of
international or national scope, or those requiring major coordination
among the Armed Forces, or with other agencies of the Federal
Government.
(i) All Navy activities will forward such requests to the Chief of
Information for coordination with the OASD (PA).
(ii) Subordinate commands of a Unified Command will forward exhibit
requests of the above types to the Unified Commander concerned, via the
chain of command.
(3) The official OASD(PA) Request Form for Armed Forces
Participation will be used. See Armed Forces Request Form, Sec. 705.36.
(4) Requests for exceptions to policy for exhibit displays should be
forwarded to the Officer in Charge, Navy Recruiting Exhibit Center.
(5) Policy guidance on costs is defined in Sec. 705.19.
(6) Occasionally, a project officer will be assigned to coordinate
use of the exhibit with the sponsor.
(i) Project officers are normally commissioned officers, equivalent
civilian personnel, local recruiters or reservists, who have been
assigned the responsibility of coordinating Service participation in a
special event.
(ii) The project officer should establish immediate liaison with the
sponsor.
(iii) The project officer should assist in determining the actual
location of the exhibit, make arrangements for assembling and
disassembling the exhibit material, and supervise these operations.
(iv) The project officer will ensure Navy and Department of Defense
policies are followed, and will coordinate local news releases
concerning Navy participation.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.25 Navy Exhibit Center.
(a) The center is a field activity of the Chief of Information and
is located in the Washington Navy Yard. Its primary mission is to
produce, transport and display U.S. Navy exhibits throughout the United
States. It also facilitates assignments of Navy combat artists and,
additionally, produces exhibits for its own tours and for short-term
loans to naval commands.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.26 Exhibit availability report.
(a) A center index of exhibits which are available at the local
level in each Naval District is maintained by the exhibit center. To
achieve maximum effectiveness for an overall integrated program, an up-
to-date registry of all exhibits is required.
(b) A current inventory of exhibits headquartered in Washington, DC,
and managed by the Navy Recruiting Exhibit Center for scheduling
purposes may be obtained by writing to: Officer-in-Charge, Navy
Recruiting Exhibit Center, Washington Navy Yard, Washington, DC 20374.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
[[Page 143]]
Secs. 705.27--705.28 [Reserved]
Sec. 705.29 Navy Art Collection.
(a) The U.S. Navy has continued to record its military actions,
explorations, launchings, etc., in fine art form since before World War
II. The present Navy Combat Art Collection contains over 4,000 paintings
and sketches. A significant number of new works is being added each
year. The combat artists of World War II have been replaced by civilian
artists who witness today's Navy in action, record their impressions,
and donate their works of art to the Department of the Navy.
(1) The voluntary services of most of the artists are arranged
through the Navy Art Cooperation and Liaison Committee (NACAL) which
operates in close cooperation with the Salmagundi Club of New York City
and the Municipal Art Department of the City of Los Angeles.
(2) The Chief of Information has established liaison with the
Salmagundi Club in order to maintain a continuing historical record of
the Navy. Organized in 1871, the Salmagundi Club is the oldest club of
professional artists in the United States. The Club appointed a Navy Art
Cooperation and Liaison (NACAL) Committee to advise the Navy on art
matters and to nominate artists for assignment to paint Navy activities
through the world. The Chief of Information reviews the nominations, and
issues SECNAV invitational travel orders to each artist approved.
(3) The following policy pertains:
(i) All finished art portraying the Navy and produced by Navy
artists on active duty for that purpose and by guest artists working
under invitational travel orders becomes the property of the Department
of the Navy.
(ii) Civilian artists selected to paint Navy life through
cooperation of a private sponsor and the Chief of Information may be
authorized by the Chief of Information or the Office of the Secretary of
Defense to retain their works.
(iii) Paintings, sketches, drawings and other forms of artwork will
not be accepted by the Department of the Navy unless all reproduction
rights are surrendered and unless they become the permanent property of
the Department of the Navy.
(iv) Requests for reproduction of combat art for use in advertising
or publication will be directed to the Chief of Information.
(b) Responsibilities:
(1) The Chief of Information exercises supervision and control of
the Navy Art Program and issues SECNAV invitational travel orders and
letters of invitation to artists selected for assignment.
(2) When directed by the Chief of Information or other appropriate
Navy authority, a NACAL project officer will perform the following
functions:
(i) Act as a local liaison officer for the NACAL Program.
(ii) Assist NACAL artists on assignments within his area.
(3) The Curator Navy Combat Art Center, in coordination with the
Chief of Information, will:
(i) Plan trips for the NACAL Program.
(ii) Approve requests for art displays.
(iii) Provide logistic support for the maintenance, storage,
shipment and display of the Navy Combat Art Program.
(c) Requests for art displays should be forwarded to the Director,
Community Relations Division, Office of Information, Navy Department,
Washington, DC 20350.
(d) Exhibition of Navy Art:
(1) Operation Palette I'' is a carefully selected group of 75 to 100
combat art paintings depicting Navy and Marine Corps activities during
World War II. The schedule of ``Operation Palette I'' is promulgated by
the Officer-in-Charge, Navy Recruiting Exhibit Center and supervised by
the Chief of Information, with the concurrence of District Commandants.
Schedules are arranged so that the exhibition travels within a
particular Naval District for several months at a time. District
Commandants designate project officers for each city where ``Operation
Palette I'' is exhibited. The project officer makes all arrangements,
including suitable location, publicity and personnel to assist the chief
petty officer who travels with the collection. Promotional kits are
provided by the
[[Page 144]]
Officer-in-Charge, Navy Recruiting Exhibit Center. Requests for
exhibitions are not desired, since the collection always travels on a
prearranged tour.
(2) ``Operation Palette II'' consists of 75 to 100 paintings
representative of the worldwide operations of the contemporary Navy and
Marine Corps * * * the Navy today * * *, and travels on prearranged
tours similar to ``Operation Palette I.''
(3) Other exhibitions of original paintings from the Combat Art
Collection may be scheduled on request by either Navy commands or
civilian art groups. Requests should be directed to the Director,
Community Relations Division, Office of Information, Navy Department,
Washington, DC 20350 and contain the following:
(i) The occasion.
(ii) Inclusive dates. (Not less than 10 days or more than 90 days
sub-custody.)
(iii) Expected attendance and type of publicity planned.
(iv) Amount of space allotted.
(v) If Navy-sponsored show, certification that 24-hour security will
be provided for the paintings while in custody.
(vi) If civilian-sponsored show, statement that transportation and
insurance requirements will be met. (Physical security must be available
for exhibit, with an attendant on duty during open hours and locked
building or other means of protecting exhibit when closed to the
public.)
(e) Navy Combat Art Lithograph Program:
(1) This program makes available full color, high quality
lithographs which are faithful reproductions of the original artwork on
quality paper of selected works of art from the Navy Art Collection.
(2) Additional information and ordering details are contained in
CHINFO NOTICE 5605, which is issued periodically.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.30 Aerospace Education Workshop.
(a) This program is devised by the Navy to give students at colleges
and universities conducting teacher training a comprehensive background
in the field of aviation. The teachers in turn integrate this knowledge
into their education programs.
(b) Appropriate commands are encouraged to provide assistance to
educational institutions sponsoring the workshop program: Provided, That
such support does not interfere with the command's primary mission and
that such cooperation involves no additional expense to the government.
(c) The Chief of Naval Operations has cognizance of all assistance
provided by the Navy to all Aerospace Education Workshop program. A
summary report of local command participation in Aerospace projects will
be submitted to the Chief of Naval Operations via the appropriate chain
of command. Information copies of such reports will be sent to
Commander, Navy Recruiting Command and the Chief of Information. For
further information see OPNAVINST 5726.1C.
Sec. 705.31 USS Arizona Memorial, Pearl Harbor.
(a) Limited space and the desirability of keeping the Memorial
simple and dignified require the following practices to be observed:
(1) Rendering of formal ceremonies on the USS Arizona Memorial will
be confined to Memorial Day.
(2) Observances on December 7, or any other date, at the request of
individuals or organizations, will consist of simple wreath-laying, or
other appropriate expressions conducted with dignity.
(3) Plaques intended for display on the Memorial may be presented by
headquarters of national organizations only. Plaques from regional,
state or local organizations cannot be accepted. Only one plaque will be
accepted from any organization. The overall size of the plaques,
including mounting, must be no larger than 12 inches square.
(b) The Commandant, Fourteenth Naval District, is designated to
coordinate all formal or informal observances involving the Memorial.
[[Page 145]]
Sec. 705.32 Aviation events and parachute demonstrations.
(a) Armed Forces aircraft and parachutists may be authorized to
participate in appropriate in public events which meet basic Department
of Defense criteria. This participation may be one of the officially
designated military flight or parachute demonstration teams, flyover by
aircraft, a general demonstration of capabilities by aircraft, or the
static display of aircraft.
(b) Events which are appropriate for aviation participation include:
Dedication of airports; aviation shows; aircraft exposition; air fairs;
recruiting programs; civic events which contribute to the public
knowledge of naval aviation equipment and capabilities and to the
advancement of general aviation; public observances of certain national
holidays (Armed Forces Day, Veterans Day, Memorial Day and Independence
Day); national conventions of major veterans organizations; memorial
services for deceased, nationally recognized dignitaries; and receptions
for foreign dignitaries.
(c) Support of Armed Forces recruiting is the primary purpose of
military flight and parachute demonstration teams. Armed Forces
recruiting teams are available to assist sponsors in coordinating
advance publicity and information coverage to insure maximum exposure
for the demonstration team and the event. This assistence is at no
additional expense to the sponsor; however, the sponsor is required to
give full support to the recruiting effort and to cooperate fully with
local service officials. Such support could include (but is not limited
to) the provision of prime space for recruiters at the event site and
the provision of courtesy passes in controlled quantities to recruiters
for the purpose of bringing recruit prospects and recruiting advisors to
view the show.
(d) DOD support of air show fund raising efforts in the form of
provision of military flight and parachute demonstration teams is
limited to charities recognized by the Federal Services Fund-Raising
Program. These include such agencies as the United Givers Fund,
Community Chests, National Health Agencies (as a group), International
Service Agencies and the military aid societies. Armed Forces support to
fund-raising events for a single cause, even though the charity is a
member of a federated or joint campaign or donates in part to one or
several of the campaigns, is inconsistent with the basic position of
Department of Defense. The name of the nearest Combined Federal Campaign
coordinator will be supplied to the sponsor, or if he chooses, he might
elect to work with the local United Givers Fund (Community Chest). As a
minimum, the sponsor must agree to provide at least half of the profit
above costs to the Combined Federal or United Givers Campaigns to
receive Armed Forces support.
(e) Request form. This form is used to request military flight and
parachute demonstration team participation in public events. The
information is required to evaluate the event for appropriateness and
compliance with Department of Defense policies and for coordination with
the units involved.
General
1. Title of Event_______________________________________________________
Town or City: -------------- State:_____________________________________
Date: ---------------- Time--From:______________________________________
To: -------- Place: (Airport, etc.)_____________________________________
2. Sponsor:_____________________________________________________________
3. The sponsor (is) (is not) a civic organization and the event
(does) (does not) have the official backing of the mayor.
4. The sponsoring organization (does) (does not) exclude any person
from its membership or practice any form of discrimination in its
functins, based on race, creed, color or national origin.
5. Sponsor's representative authorized to complete arrangements for
Armed Forces participation and responsible for reimbursing Department of
Defense for accrued expenses when required:
Name:___________________________________________________________________
Address:________________________________________________________________
City, State: ------------------ Zip:____________________________________
Telephone: (Office) -------- (AC)_______________________________________
_______________________________________________________________________
(home) -------------------- (AC)
_______________________________________________________________________
6. Purpose of this event (explain fully):_______________________________
_______________________________________________________________________
7. Expected attendance: ------------------______________________________
8. Is this event being used to promote funds for any purpose?___________
9. Admission charge:____________________________________________________
``Charge for seating: ------------------________________________________
10. Disposition of profits which may accrue:____________________________
[[Page 146]]
11. Will admission, seating and all other accommodations and facilities
connected with the event be available to all persons without regard to
race, creed, color or national origin?__________________________________
12. Will the standard Military Services allowance for quarters and meals
be provided by the sponsor for Armed Forces participants?_______________
13. Will transportation at sponsor's expense be proviced for Armed
Forces participants between the site of this event and hotel?___________
14. Will telephone facilities, at sponsor's expense, be made available
for necessary official communications regarding the event?______________
_______________________________________________________________________
15. It may be necessary for representatives of the requested unit to
visit the site prior to the event. Will transportation, meals and hotel
accommodations be provided by the sponsor?______________________________
_______________________________________________________________________
16. Please describe the space which will be provided to recruiters:_____
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
17. Designate charity beneficiary(s):___________________________________
_______________________________________________________________________
Flight Team, Parachute Team, Flyovers, Statics
1. This request is for (check appropriate line):
Flight Team Demonstration................................... ..........
U.S. Navy Blue Angels....................................... ..........
U.S. Air Force Thunderbirds. (Cost for either team is
$1500.00 for each day team scheduled at your event.)....... ..........
Aircraft Flyover: (No cost to sponsor.)..................... ..........
Static Aircraft: (Cost is $25.00 per day per crewmember.)... ..........
U.S. Army Silver Eagles: (Cost for this team is $750.00 for
each day team scheduled at your event.).................... ..........
Parachute Team Demonstration U.S. Army Golden Knights: (Cost
is $25.00 per day per man for each day required to support
your event. Team consists of 10-14 personnel.)............. ..........
(Other)..................................................... ..........
2. Flight and/or Parachute Team demonstrations are restricted to
appropriate events at airports, over open bodies of water, or over
suitable open areas of land. Please give the specific location of your
event___________________________________________________________________
_______________________________________________________________________
If an airport, name of airdrome facility and longest usable landing
runway. Airport:________________________________________________________
_______________________________________________________________________
Runway data:----------------------------feet.
3. Flyovers, Flight and Parachute Team demonstrations require that
sponsors secure FAA clearance or waiver. Will steps be taken by sponsor
to accomplish this at least sixty days prior to the event?______________
4. Flight and Parachute Team demonstrations must adhere to FAA
regulations which specify that spectators not be permitted within 1500
feet of an area over which the flight demonstration takes place, or 250
feet of the jump area over which parachutists are performing. What type
of crowd control is planned?____________________________________________
_______________________________________________________________________
5. Flight and Parachute Team demonstrations require that an ambulance
and a doctor be on the site during the demonstration. Will this
requirement be met?_____________________________________________________
6. Flight and Parachute Team demonstrations require that the sponsor
provide a recent aerial photograph, taken vertically from an altitude of
5,000 feet or higher, to the team(s) giving the demonstration. Will this
requirement be met?_____________________________________________________
7. Flight Team demonstrations and Static Aircraft displays require that
the sponsor provide suitable aircraft fuel (JP jet fuel or aviation gas,
as appropriate) and pay the cost of transporting and handling this fuel,
if it is not available at the staging airport under military contract
prices. Will this requirement be met?___________________________________
8. Flight Team demonstrations and Static Aircraft displays require
mobile firefighting, crash and ground-to-air communications equipment at
the demonstration site. Will this requirement be met?___________________
9. Flight Teams and Static Aircraft displays require that the sponsor
provide guards for the aircraft that land and are parked at the site
during their entire stay. Will this requirement be met?_________________
10. Parachute Team demonstrations may require that the sponsor arrange
aircraft transportation from the team's home base to the location of the
event, for use as a jump platform and return to the home base. Will this
requirement be met, if necessary?_______________________________________
_______________________________________________________________________
11. Name and address of any Armed Forces representative or government
official with whom you have discussed possible participation:___________
_______________________________________________________________________
Certification
I certify that the information provided above is complete and
correct to the best of my knowledge and belief. I understand that
representatives of the Military Services will contact me to discuss
arrangements and costs involved prior to final commitments.
Signature:______________________________________________________________
(Sponsor's Representative)
Date of Request:________________________________________________________
Return this form to:____________________________________________________
(f) Definitions. A flight team demonstration is an exhibition of
precision
[[Page 147]]
aerial maneuvers flown by the official Department of Defense military
flight demonstration teams, the U.S. Air Force Thunderbirds, the U.S.
Navy Blue Angels and the U.S. Army Silver Eagles. An aircraft
demonstration is a flight demonstration by aircraft other than those of
the teams listed above and designed to portray tactical capabilities of
aircraft by a single aircraft (i.e., the U.S. Marine Corps ``Harrier'')
or group of aircraft, including air-to-air refueling, helicopter hover
and pick-up or rappelling capabilities, Low Altitude Parachute
Extraction System, maximum performance take-off, etc. A parachute
demonstration is an exhibition of free-fall and precision landing
techniques by the official DOD parachute team, the U.S. Army Golden
Knights. Other parachute demonstrations can be performed by the U.S.
Navy Parachute Team, or another unofficial team or sports parachute club
representing the Department of Defense. A flyover is a flight of not
more than four aircraft over a fixed point at a specific time and does
not involve precision maneuvers or demonstrations. Flyovers are
authorized for certain events when the presence of Armed Forces aircraft
overhead would contribute to the effectiveness of the event based on a
direct correlation between the event and the aircraft. Flyovers can also
be authorized for occasions primarily designed to encourage the
advancement of aviation and which are of more than local interest.
Flyovers by any of the official DOD flight teams are not authorized.
Parades are not considered an appropriate event for authorizing flyover
support. The static display of aircraft is the ground display of any
military aircraft and its related equipment, not involving flight,
taxiing or starting of engines.
(g) Events which are appropriate for Armed Forces aviation
participation in the public domain include such activities as dedication
of airports and facilities, aviation shows, expositions, and fairs; and
other civic events which contribute to the public knowledge of the U.S.
Military Services aviation equipment and capabilities. The number one
priority for utilization of military aircraft and parachutists in such
events in the public domain is to support the recruiting aspects of the
all-volunteer force concept. The approval of any such military
demonstration will only be authorized if a maximum recruiting benefit
exists at each location.
(h) Costs. (1) The cost for either the United States Air Force
Thunderbirds or the United States Navy Blue Angels will be $1500 for
each day a demonstration is scheduled. If the United States Army Golden
Knights precision parachute team is scheduled for your event, the cost
will be $25 per man per day for each day required to support your event,
to include the days of travel if required. Under normal conditions, this
group is comprised of fourteen members: Nine jumpers, three aircraft
crewmen, one ground controller, and a narrator. The sponsor will be
advised by the Golden Knights in advance of the costs related to his
event for which the government must be reimbursed. The United States
Army Silver Eagles helicopter team, composed of seven helicopters,
performs precision formation manuevers and solo helicopter aerobatics to
demonstrate the capabilities of modern helicopters and the skill of Army
aviators. The Silver Eagles performance lasts about 30 minutes and is
conducted entirely in full view of spectators on the crowd line. The
cost for the team is $750 for each day a demonstration is scheduled. The
sponsor should make a check payable to the Treasurer of the United
States for the required amount and present it to the appropriate
demonstration team commander in advance of the scheduled event.
(2) Costs associated with static aircraft are normally $25 per day
for each crew member plus possible fuel requirements discussed below.
Charges for any other military parachuting demonstration (i.e., U.S.
Navy Parachute Team, local Armed Forces sport parachute clubs, etc.)
will depend on the number of personnel and transportation involved.
Checks payable to the Treasurer of the United States should be made
available to the appropriate aircraft commander for static displays or
parachute team commander upon arrival at the event.
(i) As noted in the Department of Defense request form, the sponsor
is required to pay per diem costs for team
[[Page 148]]
and static display crew members except for flyovers or aircraft
demonstrations not involving landing.
(3) These costs are binding after a team or crew personnel have
arrived at the show site, even though weather conditions or other
unforeseen circumstances force the event to be cancelled. These funds
provided by the sponsor will be utilized by team members or crew
personnel for paying housing and subsistence costs. The actual breakdown
of the per diem involved is $13.20 for housing, $9.30 for subsistence,
and $2.50 for incidental expenses. In those locations where housing and
subsistence cannot be procured for these amounts, it will be the
responsibility of the sponsor to absorb the additional cost. As stated,
these costs will cover participation but does not include certain ground
support requirements (i.e., ground transportation, telephone, etc.) to
be furnished by a sponsor as outlined in a team support packet.
(4) Other costs that could be incurred by the sponsor are in the
area of the sponsor's agreement to provide suitable aircraft fuel
(defined as JP jet fuel or aviation gas and lubricants) at U.S.
Government contract prices. Where fuel is available from local military
stocks--usually military installations--or when fuel is available from
commercial into-plane contract locations, the U.S. Government will pay
all fuel costs. If military contract fuel is not available at the show
site, the sponsor will be required to pay all costs above the contract
price and that price charged by the local supplier. However, the sponsor
may choose to transport military contract fuel from a military base or a
commercial airport having a U.S. Government into-plane contract. In this
case, his cost would be only the transporting and handling of this fuel
to the show site.
(5) The Department of Defense no longer requires the sponsor to
provide the Department with a public liability and property damage
insurance policy. This should in no way deter the sponsor from obtaining
such liability and property damage insurance he feels is necessary for
his own protection. Due to the costs that could accrue to the sponsor in
case of cancellations because of inclement weather, the sponsor may wish
to consider rain insurance to protect his investment. Previous sponsors
have advised us that such insurance is available from most commercial
companies.
(i) Other information. (1) Flight and/or parachute team
demonstrations are restricted to appropriate events at airports, over
open bodies of water, or over suitable open areas of land. For the U.S.
Air Force Thunderbirds or U.S. Navy Blue Angels to operate from an
airport show site, the following operational requirements must be met:
(i) Minimum useable runway length for the Thunderbirds is 5000 feet
by 150 feet in width.
(ii) Minimum useable runway length for the Blue Angels is 6000 feet
by 150 feet in width.
(iii) Minimum single landing gear load bearing capacity for
Thunderbirds is 45,000 pounds; for Blue Angels, 21,000 pounds. Tandem
landing gear load bearing capacity is 155,000 pounds for Blue Angels and
Thunderbirds.
(2) A staged performance may not be given if the location planned
for the show site does not meet these minimums. The maximum distance for
a staged performance'' under normal conditions is 50 nautical miles. It
should be noted that staged performances are seldom authorized since the
recruiting potential is reduced at such events.
(3) The type and number of static and/or flyover aircraft which may
be assigned is entirely dependent upon the Military Services' capability
to provide such resources at the time of your event. This capability is
affected by operational commitments and sponsors are advised that
confirmation of static/flyover aircraft cannot be made by the
appropriate Service more than 15-30 days before your event.
(4) The U.S. Army Silver Eagles are normally restricted to
performances at airports. Other open land areas may be operationally
suitable but require the prior approval of the team commander in each
case.
(5) Only one flight demonstration team and a parachute demonstration
team may be authorized for any one event. Military aircraft
demonstrations may not be authorized for events
[[Page 149]]
on the days a flight team is participating. A flyover is not authorized
when a flight team is participating unless it can be provided by a
locally-based National Guard or Reserve component.
(6) Participation by the U.S. Navy Blue Angels and the U.S. Air
Force Thunderbirds is normally limited to two consecutive years in any
one event. This usually involves one appearance by each of the two
flight teams. This provision may be waived when other appropriate
requests have not been received, when the team is performing in the same
geographical area and has open dates or when the event is national or
international in nature and participation would be in the best interests
of Department of Defense. Participation in an event is normally limited
to two days unless a third day can be included without preempting other
requests.
(7) Sponsors are required to obtain a Federal Aviation Agency (FAA)
waiver for any demonstration by military aircraft and/or parachutists in
the public domain. The final authorization for such Armed Forces
participation hinges upon the sponsor securing this waiver far enough in
advance to permit adequate planning (normally not later than 60 days
prior to the event). Further guidance on the details of obtaining this
waiver will be contained in the team support packet or FAA. FAA
regulations require that spectators be confined 1500 feet from a flight
or aircraft demonstration and 250 feet from a parachute demonstration.
(i) In some cases, parachute demonstrations require that the sponsor
arrange for appropriate transportation for the team and equipment from
its home station to the event and return.
(ii) Mass parachute jumps, drops of equipment, assault aircraft
demonstrations, or tactical helicopter troop landings under simulated
tactical conditions, will be limited to military installations. These
activities, except those scheduled as part of regular training programs,
are not authorized for public events in the civil domain.
(8) When civilian air racing is involved in an event where Armed
Forces participation has also been scheduled, prize monies must come
from sources other than admission charges.
(9) Flight team, parachute and aircraft demonstrations also require
that the sponsor provide: (i) Recent aerial photograph of the site; (ii)
an ambulance and doctor at the site; and (iii) Guards for the Armed
Forces aircraft during their entire stay. The aerial photograph should
be recent, taken vertically from at least 5,000 feet.
(10) Maximum advantage of Armed Forces recruiting will be taken at
appropriate events in the public domain where demonstrations by military
aircraft and parachutists have been authorized.
(11) Exception to the policies contained herein will only be
considered by OASD(PA) on events of national or international
significance.
(12) Department of Defense hosts a scheduling conference in mid-
December each year to prepare U.S. Air Force Thunderbirds, U.S. Navy
Blue Angels, U.S. Army Golden Knights and U.S. Army Silver Eagles
participation schedules for the ensuing year. All requests for such
demonstrations from sponsors should reach OASD(PA) prior to the middle
of November each year to be considered at this conference. In order to
accommodate many requests Department of Defense receives for other
parachuting demonstrations, aircraft demonstrations, static aircraft
displays, and flyovers, each request must be received by OASD(PA) a
minimum of 30 days in advance of the event and preferably 60 days in
advance.
(13) If there are any points that a member of the public might wish
to have clarified, contact Chief, Aerial Events Branch, OASD(PA), Room
1E790, The Pentagon, Washington, DC 20301. Telephone: AC (202) 695-6795
or 695-9900.
Sec. 705.33 Participation by Armed Forces bands, choral groups, and troops in the public domain.
(a) Military musical participation in public events which otherwise
meet the criteria outlined herein will be limited to patriotic programs
as opposed to pure entertainment and will not duplicate a performance
within the capability of a civilian group. For example, music to
accompany the presentation of the national colors, or a performance of
military or patriotic music by
[[Page 150]]
a military band, drum and bugle corps or choral group may be authorized;
background, dinner, dance or other social music is considered
``entertainment.''
(b) Requests received for military musical participation in
appropriate events in the civilian domain must include an indication
from the sponsor that there is no conflict with the local civilian
musicians concerning the appearance of Navy musicians. A statement to
this effect from the cognizant local musicians' union must be obtained
by the sponsor and attached to his request.
(c) Armed Forces musical units may be authorized to provide certain
specified musical programs in the public domain. The performance must
not place military musicians in competition with professional civilian
musicians. Background, dinner, dance or other social music cannot be
authorized. The specified programs which may be authorized usually
include a short opening or closing patriotic presentation. Musical
selections normally consist of a medley of military or patriotic songs,
honors to the President or Vice President (if he is there), or music to
accompany the presentation of colors by a Color Detail.
(1) Armed Forces musical units may be authorized to participate in
official government, military and civic functions.
(i) Official government functions include those in which senior
officials of the Federal government are involved in the performance of
their official duties.
(ii) Official military functions include social activities held on
military installations (or off when the Military Service certifies that
suitable facilities are not available on post) which are sponsored by
the Military Services, have as their principal purpose the promotion of
esprit de corps, and are conducted primarily for active duty personnel
and their guests.
(iii) Official civic functions include such State, county or
municipal events as inaugurals, dedication of public buildings and
projects, the convening of legislative bodies, and ceremonies for
officially invited government visitors.
(2) Armed Forces musical units may also be authorized to provide
patriotic and military programs at national conventions and meetings of
nationally-recognized civic, patriotic and veterans organizations.
(d) Bands, drill teams and other units can normally participate at
no cost to the sponsor if the event is within the installation's
immediate community relations area (approximately 100-mile radius).
(1) Normally, not more than one band or other musical unit will be
authorized for a parade in the civilian domain. This guidance intended
to assure widest possible participation in public events of local
interest (particularly on national holidays) does not apply to national
convention of veterans' groups or other events having national
significance.
(2) All Armed Forces participation in international and national
events, and in the Washington, DC area, must be authorized by the
Assistant Secretary of Defense (Public Affairs).
(3) Requests for Armed Forces musical or troop units when no
military installation is accessible, or for the Washington, DC-based
ceremonial bands or troop units (when the event is outside the
Washington, DC area), should be addressed to the parent Service of the
unit:
(I) U.S. Army
Chief of Public Information, Department of the Army, Washington, DC
20310.
(II) U.S. Navy
Chief of Information, Code OI-321, Department of the Navy, Washington,
DC 20350.
(III) U.S. Air Force
Director of Information, Secretary of the Air Force, Community Relations
Division, Washington, DC 20330.
(IV) U.S. Marine Corps
Commandant of the Marine Corps, Code AG, Headquarters, U.S. Marine
Corps, Washington, DC 20380.
(4) Armed Forces units may not be authorized to participate when:
(i) The event directly or indirectly endorses or selectively
benefits or favors (or appears to do so) any private individual,
commercial venture, sect, fraternal organization, political group,
[[Page 151]]
or if it is associated with solicitation of votes in a political
election.
(ii) Admission, seating and other accommodations or facilities are
restricted in any manner with regard to race, creed, color or national
origin.
(iii) The sponsoring organization or group excludes any person from
its membership or practices any form of discrimination in its functions,
based on race, creed, color or national origin.
(iv) An admission charge is levied on the public primarily to see
participation by an Armed Forces unit.
(v) There is fund-raising of any type connected with the event,
unless all profits are to be donated to a charity which is one of the
consolidated programs recognized by the Federal Services Fund-Raising
Program. These are the United Givers Fund Community Chest, National
Health Agencies (as a group), the International Service Agencies, and
the American Red Cross (when not included in a consolidated campaign).
The Military Services' Welfare Societies (Army Emergency Relief, Navy
Relief and Air Force Aid Society) are also included.
(5) Sponsors of an event must agree to reimburse the Military
Services concerned for transportation and per diem when participation is
authorized at no additional cost to the government.
(6) Participation by Armed Forces musical units in other areas is
within the authority of local military commanders, and requests for
participation should be made directly to those local military
installations. All requests should be submitted no earlier than 60 days
and preferably no later than 45 days prior to the event.
Sec. 705.34 Other special events.
(a) Ship visits. Requests for visits generally originate with civic
groups desiring Navy participation in local events. Often, members of
Congress endorse these requests, advising the Navy of their interest in
a particular event. Because of the marked increase in requests for ship
visits, and in order to give equal consideration to all requests, the
Chief of Information has arranged for quarterly meetings of
representatives from CHINFO, Commander, Navy Recruiting Command, Chief
of Naval Operations and Chief of Legislative Affairs. Based on the
importance of the event (nationally, regionally, or locally) location,
and prospective audience, recommendations are consolidated and forwarded
to the fleet commanders prior to their quarterly scheduling conferences.
(b) Visits to Naval activities--(1) Types of visits. (i) General
visits or Open House are occasions when a ship or station acts as host
to the general public. These visits will be conducted in accordance with
instructions issued by Fleet and Force Commanders, District Commandants,
or other cognizant authority.
(ii) Casual visits are visits to ships or stations by individuals or
specific groups, as differentiated from the general public. Details and
procedures concerning these visits are a matter of command discretion.
(iii) Tours are occasions when a ship or station is host to a
specific group on a scheduled date. Some of the larger shore commands
also regularly schedule one or more sightseeing type tours daily during
seasons when many vacationers ask to visit the command.
(2) General rules. Prior approval for general visiting or Open
House at any time other than civic-sponsored public observances and
official ceremonies for Armed Forces Day, memorial Day, Independence
Day, and Veterans Day, and for observances in overseas areas of similar
significant holidays, will be requested as follows: Fleet units visiting
U.S. ports, from Senior Officer present Afloat; fleet units visiting
foreign ports, from commander ordering the visit; shore stations and
district vessels in the United States, from District Commandants; and
overseas shore stations, from the naval area commander.
(c) Official functions. (1) Navy units may be authorized by local
commanding officers to participate in official government military and
civic functions, except in the Washington DC area where OASD(PA) retains
authority.
(2) Official government functions include those in which senior
officials of the federal government are involved in the performance of
their official duties.
[[Page 152]]
(3) Official military functions include social activities held on
military installations (or off, when it is certified that suitable
facilities are not available on base), which are sponsored by the Navy,
have as their principal purpose the promotion of esprit de corps, and
are conducted primarily for active duty personnel and their guests.
(4) Official civic functions include such state, county or municipal
events as inaugurals, dedications of public buildings and projects, and
convening of legislative bodies and ceremonies for officially invited
government visitors.
(5) Overseas, similar functions attended by comparable host-country
officials in their official capacities might also be considered
appropriate for Navy participation.
(d) A parade which is sponsored by the community as a whole (rather
than by a single commercial venture) and held on a Sunday or holiday or
at a time when shops are closed for business may be a public event for
which participation could properly be authorized; representation by
individual commercial ventures in such parades need not be a bar to Navy
participation as long as the emphasis is planned and placed on the civic
rather than commercial aspects. Such participation will be at no
additional cost to the government.
(e) Fund-raising events. (1) Navy support of fund-raising events
must be limited to recognized, joint or other authorized campaigns. Navy
support of fund-raising events or projects for a single cause, even
though the cause is a member of one of the federated, joint or
authorized campaigns, or donates in part to one of several of the
recognized campaigns, is not authorized by Department of Defense.
(2) Navy support for a single-cause fund-raising event may be
authorized if the event is:
(i) In support of Navy recruiting objectives;
(ii) Supported by a letter indicating the local United Way
representative has no objection; and
(iii) Approved by the local Navy Commander as a single-cause charity
which has broad local benefit.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.35 Armed Forces participation in events in the public domain.
(a) Requests for bands, troops, units, teams, exhibits and other
Armed Forces participation should be addressed to the nearest military
installation. Local commanders have resources which they can commit to
appropriate events if mission requirements permit. If no military
installation is accessible, or if resources requested are not available
locally or require approval by higher authorities, a standard Department
of Defense Request Form should be completed. This form is used to
evaluate the request, determine appropriateness of the event and
compliance with Department of Defense policies, and eliminate repeated
correspondence. The request form should be returned to the office or
military command from which it was received unless another address is
indicated.
(b) Basic criteria governing Armed Forces participation in public
events have been developed by the Department of Defense to ensure
compliance with public law, to assure equitable distribution of
resources to as many appropriate events as possible, and to avoid
excessive disruption of primary training and operational missions of the
Military Services. the following general rules and information are
included as an aid to you in understanding Department of Defense
policies and in planning programs of mutual benefit to the Armed Forces
and your community.
(1) When evaluating requests for Armed Forces participation in
public events, the interests of the Department of Defense and the public
at large, operational requirements of the Military services, and
availability of resources are prime considerations. Commitment of
resources to specific events must be balanced with the above factors and
with requests for similar participation received from other sources.
(2) Department of Defense participation and cooperation must not
directly or indirectly:
(i) Endorse or selectively benefit or favor or appear to endorse or
selectively benefit or favor any private individual, group, corporation
(whether for
[[Page 153]]
profit or nonprofit), sect, quasi-religious or ideological movement,
fraternal organization, political organization, or commercial venture.
(ii) Be associated with the solicitation of votes in a political
election. Sites such as commercial theaters or department stores,
churches or fraternal halls; and events such as testimonials to private
individuals or sectarian religious services, are generally inappropriate
for Armed Forces participation.
(3) Participation by the Armed Forces in any event or activity may
be authorized only if admission, seating and all other accommodations
and facilities are available to all without regard to race, creed, color
or national origin, and only if the sponsoring organization does not
exclude any form of discrimination based on race, creed, color or
national origin. This does not bar participation in events sponsored by
nationally-recognized veteran's organizations when the program is
oriented toward the veterans' interests, nor does it bar participation
in non-public school events when the program is directed toward
education or recruiting.
(i) No admission charge may be levied on the public solely to see an
Armed Forces demonstration, unit or exhibit. When admission is charged,
the Armed Forces activity must not be the sole or primary attraction.
(4) Armed Forces participation is authorized in a fund-raising event
only when the sponsor certifies that all net profits in excess of actual
operating costs will be donated to one of the consolidated programs
recognized by the Federal Services Fund-Raising program. These include
such agencies as the United Givers Fund, Community Chests, National
Health Agencies (as a group), International Service Agencies and the
military aid societies.
(5) When Armed Forces participation in an event is in the mutual
interest of the Department of Defense and the sponsor of the event,
participation will be authorized at no additional cost to the
government. Additional costs to the government--travel and
transportation of military personnel, meals and quarters or standard per
diem allowance, etc.--will be borne by the sponsor.
(6) Department of Defense policy prohibits payment by the Armed
Forces for rental of exhibit space, connection of electricity, or
utility or janitorial costs.
(7) The duration of participation by military units in any one event
is limited in the interests of proper utilization and equitable
distribution of Armed Forces manpower and resources. While an exhibit
might be scheduled for the duration of an event, a unit such as a
military band is limited to three days.
(8) Armed Forces participation in professional sports events and
post-season bowl games will normally be authorized at no additional cost
to the government, will emphasize joint Service activity and must
support recruiting programs. Participation in beauty contests, fashion
shows, pageants, Christmas parades, and motion picture premieres is not
authorized since military support would violate policy and
appropriateness.
Sec. 705.36 Government transportation of civilians for public affairs purposes.
(a) General policy. (1) Regulations on transportation of civilians
vary according to whether:
(i) The civilians are news media representatives or not.
(ii) The travel is local or nonlocal (see paragraph (b) of this
section).
(iii) The purpose of the travel is to get to a desired destination
or is to observe the Navy at first hand.
(2) Authority for embarkation of individuals in naval vessels and
military aircraft is vested in the Chief of Naval Operations by
Sec. 700.710 of this chapter. Nothing in this part shall be construed as
limiting his authority in this regard.
(3) The following policy has been established by DOD for providing
all types of Navy transportation to non-Navy civilians.
(i) Military transport facilities shall not be placed in a position
of competition with U.S. commercial carriers.
(A) When embarkation of a newsman is necessary for him to obtain
news material about a ship, aircraft, cargo or embarked personnel, or
when he is
[[Page 154]]
invited to report on a matter of special interest to the Navy, it is not
considered that the transportation furnished him is in competition with
commercial transport.
(B) An exception is also made for short trips between an airport (or
other transportation center) and the command. Cars and buses within the
resources of the command may be used for meeting guests or taking them
to make their travel connections.
(ii) When authorization is requested for travel which is of interest
to or will affect more than one command or Service, the approving
authority will coordinate the request with all other interested
commands, Services and Agencies.
(iii) Travel in connection with any public affairs program arranged
by the Navy jointly with another Federal Department or Agency or a
foreign government will be authorized only by the Assistant Secretary of
Defense (Public Affairs, or those to whom he has delegated this
authority. Navy commands desiring authorization of such travel will
forward the request to the Chief of Information.
(iv) If a request for travel for nonlocal public affairs purposes is
disapproved, sufficient reasons should be provided so that the action is
clearly understood by the individual or group concerned.
(b) Definition of local v. nonlocal travel. (1) Local travel is
travel within the immediate vicinity of the command concerned in
connection with a public affairs program of local interest only. (For
air travel within the continental U.S., about 150 miles or less is
generally considered local.)
(2) Nonlocal travel is that conducted in connection with a public
affairs program affecting more than one Service, geographic area or
major command, usually of primary concern to higher authority.
(c) Transportation of news media representatives. (1) This section
applies to media representatives who are embarked for the purpose of
news gathering or of traveling to an area in order to cover a news
event. It does not apply to:
(i) Correspondents when members of groups embarked as regular cruise
guests of the Navy.
(ii) Casual trips by correspondents to ships in port or to shore
stations in CONUS. Such visits may be authorized by officers in command
or higher authority in accordance with instructions promulgated by the
Chief of Naval Operations. Written orders are not required.
(2) Local travel. Commanding officers at all levels are authorized
(under Defense Department policy) to approve local travel for public
affairs purposes within the scope of the mission and responsibilities of
their command, if:
(i) Public interest in the public affairs purpose involved is
confined primarily to the vicinity of that command.
(ii) The travel is being provided for the benefit of local media and
meets a naval public affairs objective.
(iii) Scheduled commercial air transportation is not readily
available.
(iv) The aircraft to be used is a helicopter, or multiengine dual
piloted aircraft, and is within the resources of the host command on a
not-to-interfere basis. This provision does not apply to orientation
flights.
(3) Nonlocal travel. (i) Requests for nonlocal travel will be
submitted to the Chief of Information, who will forward them with his
recommendations to the Chief of Naval Operations and/or the Assistant
Secretary of Defense (Public Affairs), as appropriate.
(ii) When the proposed travel is for news coverage of a major
emergency nature and the coverage will be impaired or delayed, to the
serious detriment of the interests of the Department of Defense, if
military transportation is not provided, requests for such travel will
be submitted to the Chief of Information, who will forward the request--
if approved--to the Assistant Secretary of Defense (Public Affairs). The
most expeditious means (including telephone) will be used by commands
requesting such emergency travel. Justification will include both the
public affairs purpose and the necessity for military carriers.
(4) Travel between the U.S. and overseas area.
[[Page 155]]
(i) The Chief of Naval Operations may authorize military
transportation for correspondents in unusual circumstances, upon
recommendations of the Chief of Information and the Defense Department.
(ii) Requests for government transportation to cover specific
assignments overseas should be made at least three weeks prior to the
date required and should be addressed to the Assistant Secretary of
Defense (Public Affairs) via the Chief of Information or Unified
Commander, as appropriate. The requests should include:
(A) A statement that the correspondent is a full-time employee, or
has a specific assignment, and that the trip is for the purpose of news
gathering.
(B) Appropriate date of entry into area, port of entry, method of
travel, proposed duration of visit and travel termination date.
(C) Assurance that the correspondent will observe currency control
regulations, and sponsoring agency will guarantee financial obligations
incurred.
(5) Embarkation of male correspondents between ports within CONUS.
(i) Male correspondents may be embarked in naval ships for passage
between ports within the area of a single Fleet command for the purpose
of news gathering at the discretion of the Sea Frontier Commander,
Commandants of the Naval Districts, the Chief of naval Air Training,
Fleet, Force and Type commanders and flag officers afloat who have been
delegated authority to arrange directly with appropriate Fleet, Force
and Type commanders for embarkation of civilians on a local cruise
basis.
(ii) Invitational travel orders may be issued.
(6) Embarkation of female correspondents in naval vessels.
(i) Privileges equal to those given male correspondents will be
accorded female correspondents whenever practicable.
(ii) Female correspondents may not be embarked overnight in a naval
ship without prior approval of the appropriate Fleet Commander-in-Chief.
This authority may be delegated to the numbered Fleet Commanders.
(7) Travel in ships of the Military Sealift Command. Correspondents
may be carried in ships of the Military Sealift Command on either a
space-required or space-available basis when travel is in the best
interests of the Navy or the Department of Defense.
(i) Space-available travel will be used when practicable. A nominal
charge is made by the Military Sealift Command and must be borne by the
correspondents.
(ii) Space-required travel may be authorized when sufficiently in
the interest of the Navy, and the charge may be borne by the Navy.
(iii) In either case, determination of Navy interests will be made
by the Chief of Information, guided by the transportation policy of the
Chief of Naval Operations, whose approval of such embarkation is
required.
(iv) Requests for such travel will be submitted to the Chief of
Information, who will coordinate with the Chief of Naval Operations and/
or the Assistant Secretary of Defense (Public Affairs), as appropriate.
(8) Point to point transportation within the continental United
States in naval aircraft other than those operated by the Military
Airlift Command.
(i) SECNAVINST 4630.2A contains guidance for travel in military
aircraft other than those operated by the Military Airlift Command.
(ii) Naval activities desiring to arrange such transportation will
address requests via the chain of command to the operational command of
the lowest echelon which has been delegated authority to approve such
requests.
(iii) Upon approval of such a request, the naval activity sponsoring
the correspondent shall:
(A) Prepare travel orders.
(B) Ensure that any waiver forms, as may be required by governing
directives, are executed.
(9) Embarkation of news media representatives of foreign
citizenship:
(i) Requests from foreign news media representatives to cruise with
units of the U.S. Navy are usually made to the nearest U.S. military
installation known to the correspondent, and are often not made in the
proper chain of command to the Fleet Commander unless authorized to
effect arrangements for an underway cruise.
[[Page 156]]
(A) if the request is received by a command which is not a
subordinate of the Fleet Commander concerned, it will be forwarded to
the U.S. Naval Attache assigned to the foreign newsman's country. The
Attache will then forward the request to the appropriate Fleet
Commander, with his recommendations and the result of a brief background
check on the newsman and his employer.
(B) If the request is received by a subordinate of the appropriate
Fleet Commander, it may be forwarded directly to the latter, but the
U.S. Naval Attache in the newsman's country will be given the
opportunity to comment on the proposed embarkation.
(ii) Naval commands should not introduce an embarked third-party
(i.e., a foreign media representative) into a foreign country other than
his own without first obtaining appropriate clearance from the country
to be visited. Approval for entry should be forwarded via appropriate
command channels to the cognizant U.S. Naval Attache.
(10) Security considerations.
(i) No media representative known to be affiliated with a group
advocating the overthrow of the U.S. government will be permitted aboard
naval ships or stations.
(ii) If security review is directed, the reason will be made clear
to the correspondent prior to embarkation. News media people refusing to
agree to observe security regulations may have their privileges
suspended. Failure to observe security regulations will be reported to
CHINFO and interested commands.
(d) Transportation of other civilians. (1) Although groups normally
provide their own transportation to Navy commands, Navy transportation
may be authorized when:
(i) Commercial transport is not available.
(ii) A professional group visit has been solicited by the Navy, such
as participants in the Naval Academy Information Program (``Blue and
Gold'') or educators invited to an Aerospace Education Workshop.
(2) Requests for nonlocal transportation under the above
circumstances will be made to the Chief of Naval Operations.
(3) Carrier-on-board-delivery (COD) flights and helicopters flights
to ships are considered local transportation.
(4) When units or areas of a Unified Command are involved in the
public affairs program in connection with which travel authorization is
requested by a Navy command which is not a component of the Unified
Command concerned, coordination will be effected by the host command,
through command channels, via the Chief of Information, to the Assistant
Secretary of Defense (Public Affairs), who--as appropriate--will consult
with the Unified Commander concerned.
(e) Special programs. (1) Cruises are discussed in Chapter 6,
section 0604, para. 1 of the Navy Public Affairs Regulations.
(2) Embarkation of news media representatives, especially on
operations and exercises, is discussed in Chapter 4, section 0405,
paragraph 4 of the Navy Public Affairs Regulations.
(3) Other programs subject to special requirements or which have had
exceptions authorized for them include:
(i) Naval Air Training Command Civilian Orientation Cruise Program,
conducted by the Chief of Naval Air Training.
(ii) Joint Civilian Orientation Conference, conducted by the
Assistant Secretary of Defense (Public Affairs).
(iii) Orientation flights in government aircraft, conducted in
accordance with OPNAVINST 37107H.
(iv) Space-available air transportation may be provided Navy League
members if they are invited to accompany a flag officer attending a Navy
League convention or regional meeting and if the trip is economically
justifiable, based on military travel considerations and not community
relations or public affairs reasons. Approval in each instance will be
obtained in advance from the Chief of Naval Operations.
(v) Air transportation for the Naval Sea Cadet Corps of the Navy
League.
(A) Flights must be in Navy multiengine, transport type craft.
(B) Point-to-point flights on a space-required basis are governed by
an annual quota set by the Chief of Naval
[[Page 157]]
Operations. Space-available transportation is authorized and will not be
charged against this quota if it will not result in delays of takeoffs
or a change in the itinerary planned for the primary mission.
(C) Flights must not interfere with operational commitments or
training or results in additional expense to the government.
(D) This transportation is not available to other youth programs,
including others sponsored by the Navy League.
(f) Other instructions on transportation of non-Navy civilians.
Details on policy, procedures, and the transportation of certain
categories of people will be found in OPNAVINST 5720.2G and DOD
Directive 4515.13.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
Sec. 705.37 Public affairs and public service awards.
(a) General. (1) A number of public service awards are presented by
the Department of Defense and the Navy to business and civic leaders,
scientists and other nongovernment civilians. Other awards--military and
civilian--are presented to members of the naval establishment.
(2) These awards are of public affairs interest in the locale where
they are presented and also in the home towns of those who receive them.
(b) Department of Defense awards. (1) The Department of Defense
Medal for Distinguished Public Service is presented to individuals. The
Department of Defense Meritorious Award honors organizations.
(2) Details, including nominating procedures, are given in
SECNAVINST 5061.12.
(c) Secretary of the Navy awards. (1) The following awards are
presented by the Secretary of the Navy: The Navy Distinguished Public
Service Award and Navy Meritorious Public Service Citation to
individuals; the Navy Certificate of Commendation to members of special
committees and groups; and the Navy Certificate of Merit to
organizations and associations.
(2) Details are given in SECNAVINST 5061.12.
(3) Nominations for awards to military personnel are considered by
the Board of Decorations and Medals, in accordance with SECNAVINST
1650.24A.
(4) Nominations for honorary awards to Department of the Navy
civilian employees are considered by the Distinguished Civilian Service
Awards Panel. (See Civilian Manpower Management Instruction 451.)
(d) Chief of Information awards--(1) Certificate of Public Relations
Achievement. (i) This certificate is signed by the Chief of Information.
It honors individuals who are not Navy employees, corporations, or
associations.
(ii) It was established to fill the need for a civilian award for
public relations achievements which, while not meeting the criteria for
public service awards presented by the Secretary of the Navy, are of
such Navy-wide significance as to merit recognition at the Department
level. Examples of these achievements might be a particularly well done
feature article about the Navy in a nationally read newspaper or an
outstanding contribution to a locally sponsored event, which ultimately
gave national or regional recognition to the Navy.
(iii) The achievement for which the certificate is given shall meet
the following criteria:
(A) Contribute to accomplishment of the public information
objectives of the Navy.
(B) Be the result of a single outstanding project or program.
(C) Have been accomplished within one year of the date of the
official letter of nomination.
(iv) Nominations will be submitted through appropriate
administrative channels to the Chief of Information, and will include a
description of the service rendered, a statement of its relevance to the
accomplishment of the public affairs objectives of the Navy and a draft
of the recommended citation. To avoid possible embarrassment,
nominations shall be marked ``For Official Use Only'' and safeguarded
until final action has been taken.
(2) CHINFO Merit Awards. (i) These awards, or certificates, are
presented quarterly to Navy publications and
[[Page 158]]
broadcasts considered to be outstanding or to have shown improvement in
meeting professional standards of journalism.
(ii) Publications and broadcasts eligible are those which inform the
reader concerning aspects of service life or related matters which
contribute to the well-being of naval personnel, their dependents, and
civilian employees of the Navy. Civilian enterprise periodicals are
included if produced for the exclusive use of a naval installation.
(iii) Nominations are made in two ways:
(A) Selection during regular review periodicals and broadast air-
checks received by the Internal Relations Activity.
(B) Nominations from the field. Such nominations are informal and
may be made by the officer-in-charge, publications editor, broadcast
station manager, or public affairs officer to the chief of Information,
Navy Department, Washington, DC 20350 (ATTN: OP-0071).
(3) Other awards pertaining to public affairs/internal relations.
(i) Silver Anvil award is given by the Public Relations Society of
America for outstanding public relations programs carried out during the
preceding year. Entry blanks and details may be obtained by writing
directly to Public Relations Society of America, 845 Third Ave., New
York, NY 10022. All Navy entries will be forwarded via the Chief of
Information.
(ii) Freedom Foundation Awards of cash and medals are annually given
to service personnel for letters on patriotic themes. Details are
carried in ship and station publications, or may be obtained by writing
to Freedom Foundations, Valley Forge, PA 19481.
(iii) Thomas Jefferson Awards are the prizes in an annual
interservice competition sponsored by civilian media through the
Department of Defense's Office of Information for the Armed Forces. The
contest is open to all Armed Forces media--broadcast and print. Details
can be obtained by writing to Office of Information, Department of the
Navy, Washington, DC 20350.
(iv) Navy League Awards. Several annual awards are presented to
naval personnel and civilians who have made a notable contribution to
the importance of seapower. The awards are for inspirational leadership,
scientific and technical progess, operational competence, literary
achievement, etc. Nominations should be forwarded directly to Board of
Awards, Navy League of the United States, 818 18th St., NW., Washington,
DC 20006.
(v) Nonofficial awards to outstanding Navy students or training
units.
(A) Various civilian organizations and private individuals have
established awards to be presented to outstanding training units or
naval students.
(B) Requests to establish an award for students in the Naval Air
Training program should be forwarded to the Chief of Naval Air Training.
(C) Requests to establish an award which will involve more than one
school (other than the Naval Air Training Program) will be forwarded to
the Chief of Naval Personnel.
(D) All other cases may be decided by the Navy authority at the
school concerned.
(E) Directives in the 5061, 1650 and 3590 series issued by pertinent
authorities may provide further guidance in individual cases.
(vi) Awards established by a command to honor non-Navy civilians.
(A) Examples of such awards are ``Good Neighbor'' or ``Honorary Crew
Member'' certificates.
(B) Established to honor persons who have been helpful to the
command, they are a valuable community relations program. They should
not be awarded to persons or organizations with which the command is
associated in a commercial or governmental business capacity.
[41 FR 29101, July 15, 1976, as amended at 44 FR 6391, Feb. 1, 1979]
[[Page 159]]
SUBCHAPTER B--NAVIGATION
PART 706--CERTIFICATIONS AND EXEMPTIONS UNDER THE INTERNATIONAL REGULATIONS FOR PREVENTING COLLISIONS AT SEA, 1972--Table of Contents
Sec.
706.1 Purpose of regulations.
706.2 Certifications of the Secretary of the Navy under Executive Order
11964 and 33 U.S.C. 1605.
706.3 Exemptions by the Secretary of the Navy under Executive Order
11964.
Authority: 33 U.S.C. 1605.
Sec. 706.1 Purpose of regulations.
(a) All ships are warned that, when U.S. naval vessels are met in
international waters, certain navigational lights and sound-signalling
appliances of some naval vessels may vary from the requirements of the
International Regulations for Preventing Collisions at Sea, 1972 (33
U.S.C. foll. section 1602 (1982)), as to number, position, range, or arc
of visibility of lights, as well as to the disposition and
characteristics of sound-signalling appliances. Those differences are
necessitated by reason of the special construction or purpose of the
naval ships. An example is the aircraft carrier where the two masthead
lights are considerably displaced from the center or keel line of the
vessel when viewed from ahead. Certain other naval vessels cannot comply
with the horizontal separation requirements for masthead lights, and the
two masthead lights on even large naval vessels will thus appear to be
crowded together when viewed from a distance. Naval vessels may also
have unorthodox navigational light arrangements or characteristics when
seen either underway or at anchor.
(b) Naval vessels may also be expected to display certain other
lights. These lights include, but are not limited to, different colored
rotating beacons, different colored fixed and rotary wing aircraft
landing signal lights, red aircraft warning lights, and red or blue
contour approach lights on replenishment-type ships. These lights may be
shown in combination with the navigational lights.
(c) During peacetime naval maneuvers, naval ships, alone or in
company, may also dispense with showing any lights, though efforts will
be made to display lights on the approach of shipping.
(d) Executive Order 11964 of January 19, 1977, and 33 U.S.C. 1605
provide that the requirements of the International Regulations for
Preventing Collisions at Sea, 1972, as to the number, position, range,
or arc of visibility of lights or shapes, as well as to the disposition
and characteristics of sound-signalling appliances, shall not apply to a
vessel of the Navy where the Secretary of the Navy shall find and
certify that, by reason of special construction or purpose, it is not
possible for such vessel to comply fully with the provisions without
interfering with the special function of the vessel.
(e) Executive Order 11964 also provides that the Secretary of the
Navy is authorized to exempt, in accordance with Rule 38 of the
International Regulations for preventing Collisions at Sea, 1972, any
vessel, or class of vessels, the keel of which is laid, or which is at a
corresponding stage of construction, before July 15, 1977, from full
compliance with the International Regulations, provided that such
vessel, or class of vessels, complies with the requirements of the
International Regulations for Preventing Collisions at Sea, 1960.
(f) This part consolidates and codifies certifications and
exemptions granted by the Secretary of the Navy under Executive Order
11964 and 33 U.S.C. 1605. It has been determined that, because of their
special construction or purpose, the vessels and classes of vessels
listed in this part cannot comply fully with all of the requirements of
the International Regulations for Preventing Collisions at Sea, 1972.
[42 FR 36434, July 14, 1977, as amended at 42 FR 48876, Sept. 26, 1977;
45 FR 43165, June 26, 1980; 52 FR 4770, Feb. 17, 1987]
[[Page 160]]
Sec. 706.2 Certifications of the Secretary of the Navy under Executive Order 11964 and 33 U.S.C. 1605.
The Secretary of the Navy hereby finds and certifies that each
vessel listed in this section is a naval vessel of special construction
or purpose, and that, with respect to the position of the navigational
lights listed in this section, it is not possible to comply fully with
the requirements of the provisions enumerated in the International
Regulations for Preventing Collisions at Sea, 1972, without interfering
with the special function of the vessel. The Secretary of the Navy
further finds and certifies that the navigational lights in this section
are in the closest possible compliance with the applicable provisions of
the International Regulations for Preventing Collisions at Sea, 1972.
Table One
------------------------------------------------------------------------
Distance in
meters of
forward
masthead
light below
Vessel Number minimum
required
height. Sec.
2(a)(i) Annex
I
------------------------------------------------------------------------
AALC JEFF(B)................................. ACV 7.21
USS DOLPHIN.................................. AGSS 555 0.8
USS OLIVER HAZARD PERRY...................... FFG 7 1.6
USS MC INERNY................................ FFG 8 1.6
USS WADSWORTH................................ FFG 9 1.6
USS DUNCAN................................... FFG 10 1.6
USS CLARK.................................... FFG 11 1.6
USS GEORGE PHILIP............................ FFG 12 1.6
USS SAMUEL ELIOT MORISON..................... FFG 13 1.6
USS SIDES.................................... FFG 14 1.6
USS ESTOCIN.................................. FFG 15 1.6
USS CLIFTON SPRAGUE.......................... FFG 16 1.6
USS JOHN A. MOORE............................ FFG 19 1.6
USS ANTRIM................................... FFG 20 1.6
USS FLATLEY.................................. FFG 21 1.6
USS FAHRION.................................. FFG 22 1.6
USS LEWIS B. PULLER.......................... FFG 23 1.6
USS JACK WILLIAMS............................ FFG 24 1.6
USS COPELAND................................. FFG 25 1.6
USS GALLERY.................................. FFG 26 1.6
USS MAHLON S. TISDALE........................ FFG 27 1.6
USS BOONE.................................... FFG 28 1.6
USS STEPHEN W. GROVES........................ FFG 29 1.6
USS REID..................................... FFG 30 1.6
USS STARK.................................... FFG 31 1.6
USS JOHN L. HALL............................. FFG 32 1.6
USS JARRETT.................................. FFG 33 1.6
USS AUBREY FITCH............................. FFG 34 1.6
USS UNDERWOOD................................ FFG 36 1.6
USS CROMMELIN................................ FFG 37 1.6
USS CURTS.................................... FFG 38 1.6
USS DOYLE.................................... FFG 39 1.6
USS HALYBURTON............................... FFG 40 1.6
USS MCCLUSKY................................. FFG 41 1.6
USS KLAKRING................................. FFG 42 1.6
USS THACH.................................... FFG 43 1.6
USS DEWERT................................... FFG 45 1.6
USS RENTZ.................................... FFG 46 1.6
USS NICHOLAS................................. FFG 47 1.6
USS VANDEGRIFT............................... FFG 48 1.6
USS ROBERT G. BRADLEY........................ FFG 49 1.6
USS TAYLOR................................... FFG 50 1.6
USS GARY..................................... FFG 51 1.6
USS CARR..................................... FFG 52 1.6
USS HAWES.................................... FFG 53 1.6
USS FORD..................................... FFG 54 1.6
USS ELROD.................................... FFG 55 1.6
USS SIMPSON.................................. FFG 56 1.6
USS REUBEN JAMES............................. FFG 57 1.6
USS SAMUEL B. ROBERTS........................ FFG 58 1.6
USS KAUFFMAN................................. FFG 59 1.6
USS RODNEY M. DAVIS.......................... FFG 60 1.6
USS INGRAHAM................................. FFG 61 1.37
USS DUBUQUE.................................. LPD 8 4.2
USS GUADALCANAL.............................. LPH 7 3.0
USS GUAM..................................... LPH 9 3.3
USS TRIPOLI.................................. LPH 10 3.3
USS NEW ORLEANS.............................. LPH 11 3.3
USS INCHON................................... LPH 12 3.0
LCAC (class)................................. LCAC 1
through
LCAC 100 \1\ 6.51
LCAC (class)................................. LCAC 1
through
LCAC 100 \2\ 7.94
USS IMPLICIT................................. MSO 455 3.7
USS CONQUEST................................. MSO 488 3.4
USS GALLANT.................................. MSO 489 3.2
USS PLEDGE................................... MSO 492 3.4
NR-1......................................... NR 1 2.7
USS TACOMA................................... PG 92 2.3
USS WELCH.................................... PG 93 2.3
USS SEAWOLF.................................. SSN 21 4.62
USS GATO..................................... SSN 615 4.20
USS WHALE.................................... SSN 638 2.44
USS TAUTOG................................... SSN 639 2.44
USS GRAYLING................................. SSN 646 2.44
USS POGY..................................... SSN 647 2.40
USS ASPRO.................................... SSN 648 2.40
USS SUNFISH.................................. SSN 649 2.40
USS PARGO.................................... SSN 650 2.40
USS PUFFER................................... SSN 652 2.40
USS SANDLANCE................................ SSN 660 2.40
USS GURNARD.................................. SSN 662 1.52
USS HAMMERHEAD............................... SSN 663 2.40
USS HAWKBILL................................. SSN 666 1.52
USS BERGALL.................................. SSN 667 2.40
USS SPADEFISH................................ SSN 668 2.40
USS SEAHORSE................................. SSN 669 2.40
USS FINBACK.................................. SSN 670 2.40
USS NARWHAL.................................. SSN 671 2.74
USS PINTADO.................................. SSN 672 1.52
USS FLYING FISH.............................. SSN 673 2.40
USS TREPANG.................................. SSN 674 2.40
USS BLUEFISH................................. SSN 675 2.40
USS BILLFISH................................. SSN 676 2.40
USS DRUM..................................... SSN 677 1.52
USS ARCHERFISH............................... SSN 678 2.40
USS WILLIAM H BATES.......................... SSN 680 2.40
[[Page 161]]
USS BATFISH.................................. SSN 681 2.40
USS TUNNY.................................... SSN 682 2.40
USS PARCHE................................... SSN 683 3.58
USS CAVALLA.................................. SSN 684 2.40
USS MENDEL RIVERS............................ SSN 686 2.40
USS RICHARD B RUSSELL........................ SSN 687 2.40
USS LOS ANGELES.............................. SSN 688 6.10
USS PHILADELPHIA............................. SSN 690 6.10
USS MEMPHIS.................................. SSN 691 6.10
USS OMAHA.................................... SSN 692 6.10
USS CINCINNATI............................... SSN 693 3.49
USS GROTON................................... SSN 694 3.45
USS BIRMINGHAM............................... SSN 695 3.49
USS NEW YORK CITY............................ SSN 696 3.49
USS INDIANAPOLIS............................. SSN 697 3.49
USS BREMERTON................................ SSN 698 3.49
USS JACKSONVILLE............................. SSN 699 3.35
USS DALLAS................................... SSN 700 3.5
USS LA JOLLA................................. SSN 701 3.5
USS PHOENIX.................................. SSN 702 3.5
USS BOSTON................................... SSN 703 3.5
USS BALTIMORE................................ SSN 704 3.5
USS CITY OF CORPUS CHRISTI................... SSN 705 3.5
USS ALBUQUERQUE.............................. SSN 706 3.5
USS PORTSMOUTH............................... SSN 707 3.5
USS MINNEAPOLIS-ST. PAUL..................... SSN 708 3.5
USS HYMAN G. RICKOVER........................ SSN 709 3.5
USS AUGUSTA.................................. SSN 710 3.5
USS SAN FRANCISCO............................ SSN 711 3.5
USS ATLANTA.................................. SSN 712 3.5
USS HOUSTON.................................. SSN 713 3.5
USS NORFOLK.................................. SSN 714 3.5
USS BUFFALO.................................. SSN 715 3.5
USS SALT LAKE CITY........................... SSN 716 3.5
USS OLYMPIA.................................. SSN 717 3.5
USS HONOLULU................................. SSN 718 3.5
USS PROVIDENCE............................... SSN 719 3.5
USS PITTSBURGH............................... SSN 720 3.5
USS CHICAGO.................................. SSN 721 3.5
USS KEY WEST................................. SSN 722 3.5
USS OKLAHOMA CITY............................ SSN 723 3.5
USS LOUISVILLE............................... SSN 724 3.5
USS HELENA................................... SSN 725 3.5
USS NEWPORT NEWS............................. SSN 750 3.5
USS SAN JUAN................................. SSN 751 3.5
USS PASADENA................................. SSN 752 3.5
USS ALBANY................................... SSN 753 3.5
USS TOPEKA................................... SSN 754 3.5
USS MIAMI.................................... SSN 755 3.5
USS SCRANTON................................. SSN 756 3.5
USS ALEXANDRIA............................... SSN 757 3.5
USS ASHEVILLE................................ SSN 758 3.5
USS JEFFERSON CITY........................... SSN 759 3.4
USS ANNAPOLIS................................ SSN 760 3.5
USS SPRINGFIELD.............................. SSN 761 3.5
USS COLUMBUS................................. SSN 762 3.5
USS SANTA FE................................. SSN 763 3.5
USS BOISE.................................... SSN 764 3.5
USS MONTPELIER............................... SSN 765 3.5
USS CHARLOTTE................................ SSN 766 3.5
USS HAMPTON.................................. SSN 767 3.5
USS HARTFORD................................. SSN 768 3.5
USS TOLEDO................................... SSN 769 3.5
USS TUCSON................................... SSN 770 3.5
USS COLUMBIA................................. SSN 771 3.5
USS GREENEVILLE.............................. SSN 772 3.5
USS CHEYENNE................................. SSN 773 3.5
USS DANIEL WEBSTER........................... SSBN 626 3.58
USS STONEWALL JACKSON........................ SSBN 634 3.58
USS SIMON BOLIVAR............................ SSBN 641 3.60
USS KAMEHAMEHA............................... SSBN 642 3.58
USS JAMES K. POLK............................ SSBN 645 3.60
USS MARIANO G VALLEJO........................ SSBN 658 3.60
USS OHIO..................................... SSBN 726 3.70
USS MICHIGAN................................. SSBN 727 3.70
USS FLORIDA.................................. SSBN 728 3.70
USS GEORGIA.................................. SSBN 729 3.70
USS HENRY M. JACKSON......................... SSBN 730 3.70
USS ALABAMA.................................. SSBN 731 3.70
USS ALASKA................................... SSBN 732 3.70
USS NEVADA................................... SSBN 733 3.70
USS TENNESSEE................................ SSBN 734 3.70
USS PENNSYLVANIA............................. SSBN 735 3.70
USS WEST VIRGINIA............................ SSBN 736 3.70
USS KENTUCKY................................. SSBN 737 3.70
USS MARYLAND................................. SSBN 738 3.70
USS NEBRASKA................................. SSBN 739 3.70
USS RHODE ISLAND............................. SSBN 740 3.70
USS MAINE.................................... SSBN 741 3.70
USS WYOMING.................................. SSBN 742 3.70
USS LOUISIANA................................ SSBN 743 3.70
------------------------------------------------------------------------
\1\ The permanent masthead light is 5.26 meters athwartship to port of
centerline, 5.49 meters above the main deck.
\2\ The temporary masthead light is 3.98 meters athwartship to starboard
of centerline, 4.06 meters above the main deck.
[[Page 162]]
Table Two
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Side lights,
Masthead Forward anchor AFT anchor Side lights, distance Side lights,
lights, light, Forward anchor light, AFT anchor distance below forward of distance
distance to distance below light, number distance below light, number flight dk in forward inboard of
Vessel Number stbd of keel flight dk in of; Rule flight dk in of; Rule meters; Sec. masthead light ship's sides
in meters; meters; Sec. 30(a)(i) meters; Rule 30(a)(ii) 2(g), Annex I in meters; in meters;
Rule 21(a) 2(K), Annex I 21(e), Rule Sec. 3(b), Sec. 3(b),
30(a)(ii) Annex I Annex I
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
AALC JEFF(B) \1\................................ ACV 4.01 .............. .............. .............. .............. .............. .............. ..............
CSP (class)..................................... CSP-101
through CSP-
182 1.62 .............. .............. .............. .............. .............. .............. 3.93
USS FORRESTAL................................... CV 59 26.5 .............. 1 .............. 1 1.5 .............. ..............
USS SARATOGA.................................... CV 60 26.5 .............. 1 .............. 1 0.5 .............. ..............
USS INDEPENDENCE................................ CV 62 26.5 0.5 2 7.0 2 0.2 .............. ..............
USS KITTY HAWK.................................. CV 63 27.8 .............. 1 .............. 1 0.2 .............. ..............
USS CONSTELLATION............................... CV 64 28.2 1.0 2 7.4 2 0.4 .............. ..............
USS AMERICA..................................... CV 66 28.7 .............. 1 0.7 2 0.1 .............. ..............
USS JOHN F. KENNEDY............................. CV 67 27.5 .............. 1 9.0 2 0.4 .............. ..............
USS ENTERPRISE.................................. CVN 65 28.0 .............. 1 6.6 2 0.4 .............. ..............
USS NIMITZ...................................... CVN 68 31.00 .............. 1 9.2 2 0.7 .............. ..............
USS DWIGHT D. EISENHOWER........................ CVN 69 30.00 .............. 1 9.3 2 0.7 .............. ..............
USS CARL VINSON................................. CVN 70 29.9 0.3 2 9.4 2 0.5 .............. ..............
USS THEODORE ROOSEVELT.......................... CVN 71 30.0 .............. 1 9.0 2 0.6 .............. ..............
USS ABRAHAM LINCOLN............................. CVN 72 30.0 .............. .............. .............. .............. 0.6 .............. ..............
USS GEORGE WASHINGTON........................... CVN 73 30.0 .............. .............. .............. .............. 0.6 .............. ..............
USS JOHN C. STENNIS............................. CVN 74 30.0 .............. .............. .............. .............. 0.6 .............. ..............
USS TARAWA...................................... LHA 1 10.0 ---- 1 ---- 1 2.4 71.0 ----
USS SAIPAN...................................... LHA 2 10.1 ---- 1 ---- 1 2.8 72.1 ----
USS BELLEAU WOOD................................ LHA 3 10.0 ---- ---- ---- ---- 2.7 72.4 ----
USS NASSAU...................................... LHA 4 10.0 ---- ---- ---- ---- 2.7 72.4 ----
USS PELELIU..................................... LHA 5 10.0 4 ---- ---- ---- 2.6 72.4 ----
USS WASP........................................ LHD 1 9.0 ---- ---- ---- ---- 2.8 89.0 ----
USS ESSEX....................................... LHD 2 .............. .............. .............. .............. .............. 3.1 91.1 ----
USS KEARSARGE................................... LHD 3 8.9 .............. .............. .............. .............. 3.0 91 ----
USS BOXER....................................... LHD 4 .............. .............. .............. .............. .............. 3.0 90.9 ----
USS BATAAN...................................... LHD 5 .............. .............. .............. .............. .............. 2.9 98.6 ----
USS GUADALCANAL................................. LPH 7 10.6 ---- 1 2.5 2 0.2 61.0 ----
USS GUAM........................................ LPH 9 10.6 ---- 1 2.0 2 0.2 48.8 ----
USS TRIPOLI..................................... LPH 10 10.6 ---- 1 2.2 2 0.4 47.5 ----
USS NEW ORLEANS................................. LPH 11 10.6 ---- 1 2.2 2 0.5 50.0 ----
USS INCHON...................................... LPH 12 10.6 ---- 1 2.2 2 0.4 47.5 ----
LCAC (class).................................... LCAC 1 through
LCAC 100 5.26
(Perm.)\2\ .............. .............. .............. .............. .............. .............. \3\1.5
LCAC (class).................................... LCAC 1 through
LCAC 100 3.98
(Temp.)\4\ .............. .............. .............. .............. .............. .............. \3\1.5
SLWT (class).................................... SLWT 1 1.62 .............. .............. .............. .............. .............. .............. \5\3.93
[[Page 163]]
SLWT (class).................................... SLWT 2 1.62 .............. .............. .............. .............. .............. .............. \5\3.93
SLWT (class).................................... SLWT 3 1.62 .............. .............. .............. .............. .............. .............. \5\3.93
SLWT (class).................................... SLWT-6 1.62 .............. .............. .............. .............. .............. .............. 3.93
SLWT (class).................................... SLWT-8 through
SLWT-19 1.62 .............. .............. .............. .............. .............. .............. 3.93
SLWT (class).................................... SLWT-22
through SLWT-
24 1.62 .............. .............. .............. .............. .............. .............. 3.93
SLWT (class).................................... SLWT-26
through SLWT-
65 1.62 .............. .............. .............. .............. .............. .............. 3.93
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ On AALC JEFF(B) the masthead light is located 4.01 meters athwartship to port of centerline, at frame five, 4.79 meters above the main deck.
\2\ The permanent masthead light is 5.26 meters athwartship to port of centerline, at frame 3, 5.49 meters above the main deck.
\3\ The sidelights are on top of the port and starboard deckhouses 3.28 meters above the hull.
\4\ The temporary masthead light is 3.98 meters athwartship to starboard of centerline 4.06 meters above the main deck.
\5\ Port sidelight only.
Table Three
--------------------------------------------------------------------------------------------------------------------------------------------------------
Forward
Side lights Stern anchor Anchor lights
Masthead Side lights Stern light distance light, light, relationship
lights arc arc of arc of inboard of distance height of aft light
Vessel No. of visibility; visibility; ship's forward of above hull to forward
visibility; rule 21(b) rule 21(c) sides in stern in in meters; light in
rule 21(a) meters 3(b) meters; 2(K) annex meters 2(K)
annex 1 rule 21(c) 1 annex 1
--------------------------------------------------------------------------------------------------------------------------------------------------------
USS CYCLONE......................... PC 1 ........... ........... ........... ........... 1 25.5 3.0 1.0
USS TEMPEST......................... PC 2 ........... ........... ........... ........... \1\ 25.5 3.0 1.1 below
USS HURRICANE....................... PC 3 ........... ........... ........... ........... \1\ 25.5 3.0 1.1 below
USS MONSOON......................... PC 4 ........... ........... ........... ........... \1\ 25.5 3.0 1.1 below
USS TYPHOON......................... PC 5 ........... ........... ........... ........... \1\ 25.5 3.0 1.1 below
USS SIROCCO......................... PC 6 ........... ........... ........... ........... \1\ 25.5 3.0 1.1 below
USS SQUALL.......................... PC 7 \1\ 25.5 3.0 1.0
USS ZEPHYR.......................... PC 8 \1\ 25.5 3.0 1.0
USS CHINOOK......................... PC 9 \1\ 25.5 3.0 1.0
USS FIREBOLT........................ PC 10 \1\ 25.5 3.0 1.0
USS WHIRLWIND....................... PC 11 \1\ 25.5 3.0 1.0
USS THUNDERBOLT..................... PC 12 \1\ 25.5 3.0 1.0
USS SHAMAL.......................... PC 13 \1\ 25.5 3.0 1.0
USS DOLPHIN......................... AGSS 555 227.5\1/2\ 119\1/2\ 191\1/2\ 2.1 10.8 1.8 0.5 above
NR-1................................ NR 1 238.5\1/2\ 114 deg. 136.5 deg. 1.5 4.1 2.1
USS SEAWOLF......................... SSN 21 225 deg. 111.5 deg. 205 deg. 5.1 10.7 2.8 1.8 below
USS GATO............................ SSN 615 232 deg. 114 deg. 252 deg. 4.1 37.8 3.1 1.5 below
USS WHALE........................... SSN 638 226 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS TAUTOG.......................... SSN 639 226 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS GRAYLING........................ SSN 646 228 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS POGY............................ SSN 647 226 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS ASPRO........................... SSN 648 228 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS SUNFISH......................... SSN 649 226 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
[[Page 164]]
USS PARGO........................... SSN 650 228 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS PUFFER.......................... SSN 652 228 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS SANDLANCE....................... SSN 660 226 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS GURNARD......................... SSN 662 232 deg. 116 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS HAMMERHEAD...................... SSN 663 228 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS HAWKBILL........................ SSN 666 232 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS BERGALL......................... SSN 667 232 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS SPADEFISH....................... SSN 668 234 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS SEAHORSE........................ SSN 669 228 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS FINBACK......................... SSN 670 234 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS NARWHAL......................... SSN 671 228 deg. 113 deg. 252 deg. 3.8 5.2 2.0 1.4 below
USS PINTADO......................... SSN 672 234 deg. 120 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS FLYING FISH..................... SSN 673 232 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS TREPANG......................... SSN 674 228 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS BLUEFISH........................ SSN 675 234 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS BILLFISH........................ SSN 676 234 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS DRUM............................ SSN 677 234 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS ARCHERFISH...................... SSN 678 232 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS WILLIAM H. BATES................ SSN 680 232 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS BATFISH......................... SSN 681 234 deg. 115 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS TUNNY........................... SSN 682 234 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS PARCHE.......................... SSN 683 232 deg. 112.5 deg. 209 deg. 4.1 6.8 2.2 0.2 below
USS CAVALLA......................... SSN 684 234 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS L. MENDEL RIVERS................ SSN 686 236 deg. 113 deg. 252 deg. 3.8 5.2 3.4 1.4 below
USS RICHARD B. RUSSELL.............. SSN 687 236 deg. 114 deg. 252 deg. 3.8 5.2 3.4 1.3 below
USS LOS ANGELES..................... SSN 698 236 deg. 115 deg. 252 deg. 4.2 6.1 2.0 1.6 below
USS PHILADELPHIA.................... SSN 690 238 deg. 115 deg. 252 deg. 4.2 6.1 2.0 1.6 below
USS MEMPHIS......................... SSN 691 236 deg. 115 deg. 252 deg. 4.3 6.1 2.0 1.6 below
USS OMAHA........................... SSN 692 236 deg. 115 deg. 252 deg. 4.2 6.1 2.0 1.6 below
USS CINCINNATI...................... SSN 693 ........... ........... 209 deg. 4.3 6.1 3.4 1.6 below
USS GROTON.......................... SSN 694 226 deg.55' 118 deg.37' 219 deg. 4.3 6.6 3.5 1.7 below
USS BIRMINGHAM...................... SSN 695 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS NEW YORK CITY................... SSN 696 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS INDIANAPOLIS.................... SSN 697 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS BREMERTON....................... SSN 698 ........... ........... 209 deg. 4.2 6.1 3.5 1.7 below
USS JACKSONVILLE.................... SSN 699 ........... ........... 211 deg. 4.2 6.1 3.5 1.7 below
USS DALLAS.......................... SSN 700 ........... ........... ........... 4.1 6.5 3.4 1.7 below
USS LA JOLLA........................ SSN 701 ........... ........... ........... 4.2 6.1 3.5 1.7 below
USS PHOENIX......................... SSN 702 ........... ........... ........... 4.2 6.1 3.5 1.7 below
USS BOSTON.......................... SSN 703 ........... ........... ........... 4.2 6.2 3.8 1.7 below
USS BALTIMORE....................... SSN 704 ........... ........... 209 deg. 4.2 6.1 3.5 1.7 below
[[Page 165]]
USS CITY OF CORPUS CHRISTI.......... SSN 705 ........... ........... 209 deg. 4.2 6.1 3.5 1.7 below
USS ALBUQUERQUE..................... SSN 706 ........... 114 deg. ........... 4.2 6.1 3.5 1.7 below
USS PORTSMOUTH...................... SSN 707 ........... ........... 209 deg. 4.2 6.1 3.5 1.7 below
USS MINNEAPOLIS-ST. PAUL............ SSN 708 ........... ........... 209\1/2\ 4.2 6.2 3.5 1.7 below
USS HYMAN G. RICKOVER............... SSN 709 ........... ........... 209 deg. 4.2 6.1 3.4 1.7 below
USS AUGUSTA......................... SSN 710 ........... ........... 209 4.2 6.1 3.4 1.7 below
USS SAN FRANCISCO................... SSN 711 ........... ........... ........... 4.1 6.5 3.4 1.7 below
USS ATLANTA......................... SSN 712 ........... ........... ........... 4.3 6.1 3.4 1.6 below
USS HOUSTON......................... SSN 713 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS NORFOLK......................... SSN 714 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS BUFFALO......................... SSN 715 ........... ........... 209 deg. 4.2 6.1 3.5 1.7 below
USS SALT LAKE CITY.................. SSN 716 ........... ........... 209 deg. 4.2 6.1 3.5 1.7 below
USS OLYMPIA......................... SSN 717 ........... ........... 209\1/2\ 4.2 6.1 3.4 1.7 below
USS HONOLULU........................ SSN 718 ........... ........... 209 deg. 4.2 6.1 3.4 1.7 below
USS PROVIDENCE...................... SSN 719 ........... ........... 209 deg. 4.2 6.1 3.4 1.7 below
USS PITTSBURGH...................... SSN 720 ........... ........... 209 deg. 4.2 6.1 3.4 1.7 below
USS CHICAGO......................... SSN 721 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS KEY WEST........................ SSN 722 ........... ........... 209 deg. 4.2 6.1 3.4 1.7 below
USS OKLAHOMA CITY................... SSN 723 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS LOUISVILLE...................... SSN 724 ........... 113\1/2\ 209\1/2\ 4.2 6.1 3.5 1.7 below
USS HELENA.......................... SSN 725 ........... ........... 207\1/2\ 4.2 6.2 3.5 1.7 below
USS NEWPORT NEWS.................... SSN 750 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS SAN JUAN........................ SSN 751 229 deg. 113 deg. 208 deg. 4.2 6.1 3.5 1.7 below
USS PASADENA........................ SSN 752 255 deg. 112.5 deg. 206 deg. 4.2 6.1 3.5 1.7 below
USS ALBANY.......................... SSN 753 225 deg. 112.5 deg. 209 deg. 4.3 6.1 3.4 1.7 below
USS TOPEKA.......................... SSN 754 ........... ........... 206 deg. 4.2 6.2 3.5 1.7 below
USS MIAMI........................... SSN 755 ........... ........... 206 deg. 4.2 6.2 3.5 1.7 below
USS SCRANTON........................ SSN 756 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS ALEXANDRIA...................... SSN 757 ........... ........... 205 deg. 4.2 6.2 3.5 1.7 below
USS ASHEVILLE....................... SSN 758 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS JEFFERSON CITY.................. SSN 759 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS ANNAPOLIS....................... SSN 760 ........... ........... 205 deg. 4.2 6.2 3.5 1.7 below
USS SPRINGFIELD..................... SSN 761 ........... ........... 205 deg. 4.2 6.2 3.5 1.7 below
USS COLUMBUS........................ SSN 762 ........... ........... 205 deg. 4.2 6.2 3.5 1.7 below
USS SANTA FE........................ SSN 763 ........... ........... 205 deg. 4.2 6.2 3.5 1.7 below
USS BOISE........................... SSN 764 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS MONTPELIER...................... SSN 765 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS CHARLOTTE....................... SSN 766 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS HAMPTON......................... SSN 767 ........... ........... 209 deg. 4.3 6.1 3.4 1.7 below
USS HARTFORD........................ SSN 768 ........... ........... 205 deg. 4.2 6.2 3.5 1.7 below
USS TOLEDO.......................... SSN 769 ........... ........... 209 deg. 4.4 6.1 3.4 1.7 below
USS TUCSON.......................... SSN 770 ........... ........... 209 deg. 4.4 6.1 3.4 1.7 below
USS COLUMBIA........................ SSN 771 ........... ........... 205 deg. 4.2 6.2 3.5 1.7 below
USS GREENEVILLE..................... SSN 772 ........... ........... 209 deg. 4.4 6.1 3.4 1.7 below
USS CHEYENNE........................ SSN 773 ........... ........... 209 deg. 4.4 6.1 3.4 1.7 below
USS DANIEL WEBSTER.................. SSBN 626 236 deg. 114 deg. 252 deg. 3.8 7.3 2.0 1.0 above
USS STONEWALL JACKSON............... SSBN 634 236 deg. 114 deg. 252 deg. 3.8 7.3 2.0 1.4 above
USS SIMON BOLIVAR................... SSBN 641 234 deg. 115 deg. 252 deg. 3.8 7.6 2.1 0.8 below
USS KAMEHAMEHA...................... SSBN 642 236 deg. 117 deg. 252 deg. 3.8 7.6 2.1 same height
USS JAMES K. POLK................... SSBN 645 230 deg. 114 deg. 252 deg. 3.8 7.6 2.1 0.9 below
[[Page 166]]
USS MARIANO G. VALLEJO.............. SSBN 658 234 deg. 116 deg. 252 deg. 3.8 7.6 2.1 1.1 below
USS OHIO............................ SSBN 726 225 deg. 112.5 deg. 209 deg. 5.3 9.0 3.8 4.0 below
USS MICHIGAN........................ SSBN 727 225 deg. 112.5 deg. 209 deg. 5.3 9.0 3.8 4.0 below
USS FLORIDA......................... SSBN 728 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS GEORGIA......................... SSBN 729 225 deg. 112.5 deg. 209 deg. 5.3 9.0 3.8 4.0 below
USS HENRY M. JACKSON................ SSBN 730 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS ALABAMA......................... SSBN 731 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS ALASKA.......................... SSBN 732 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS NEVADA.......................... SSBN 733 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS TENNESSEE....................... SSBN 734 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS PENNSYLVANIA.................... SSBN 735 ........... ........... 211.5 deg. 5.3 9.0 3.8 4.0 below
USS WEST VIRGINIA................... SSBN 736 ........... ........... 211.5 deg. 5.3 9.0 3.8 4.0 below
USS KENTUCKY........................ SSBN 737 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS MARYLAND........................ SSBN 738 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS NEBRASKA........................ SSBN 739 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS RHODE ISLAND.................... SSBN 740 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS MAINE........................... SSBN 741 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS WYOMING......................... SSBN 742 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
USS LOUISIANA....................... SSBN 743 ........... ........... 209 deg. 5.3 9.0 3.8 4.0 below
YTB-752............................. YTB 752 ........... ........... ........... 2.69 13.71 ........... ..............
OSHKOSH............................. YTB 757 ........... ........... ........... 2.70 13.30 ........... ..............
YTB 758............................. YTB 758 ........... ........... ........... 2.66 15.97 ........... ..............
YTB (class)......................... YTB 769 ........... ........... ........... 2.77 14.02 ........... ..............
KEOKUK.............................. YTB 771 ........... ........... ........... 3.11 13.00 ........... ..............
SAUGUS.............................. YTB 780 ........... ........... ........... 2.79 13.78 ........... ..............
YTB 781............................. YTB 781 ........... ........... ........... 2.56 13.41 ........... ..............
YTB 785............................. YTB 785 ........... ........... ........... 2.94 14.02 ........... ..............
WAPATO.............................. YTB 788 ........... ........... ........... 3.10 12.88 ........... ..............
YTB (class)......................... YTB 789 ........... ........... ........... 2.50 14.99 ........... ..............
NATCHITOCHES........................ YTB 799 ........... ........... ........... 3.00 14.05 ........... ..............
PALATKA............................. YTB 801 ........... ........... ........... 2.80 13.00 ........... ..............
YTB 806............................. YTB 806 ........... ........... ........... 2.79 10.97 ........... ..............
HOUMA............................... YTB 811 ........... ........... ........... 3.20 14.05 ........... ..............
YTB 812............................. YTB 812 ........... ........... ........... 3.03 14.02 ........... ..............
YTB 813............................. YTB 813 ........... ........... ........... 2.63 19.2 ........... ..............
YTB 820............................. YTB 820 ........... ........... ........... 3.08 14.20 ........... ..............
YTB 826............................. YTB 826 ........... ........... ........... 2.82 14.32 ........... ..............
SHABONEE............................ YTB 833 ........... ........... ........... 2.77 13.34 ........... ..............
YTB 835............................. YTB 835 ........... ........... ........... 3.00 14.02 ........... ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Only when towing.
[[Page 167]]
Table Four
1. Ships other than aircraft carrier types (CV, CVN, LHA, LHD, and
LPH) may not simultaneously exhibit the masthead lights required by Rule
27(b)(iii) and the lights required by Rule 27(b)(i) for vessels
restricted in their ability to maneuver when such simultaneous
exhibition will present a hazard to their own safe operations. In those
instances, the lights required by Rule 27(b)(i) will be exhibited. Ships
conducting flight operations also may not exhibit the stern light
required by Rule 27(b)(iii).
2. To provide all-round visibility, the lights required by Rules 27
(a) and (b) will consist of two lights, one light port and one light
starboard on the mast or superstructure at each location in the vertical
array.
3. The second masthead light required by Rule 23(a)(ii) and the
lights and shapes required by Rules 24, 27, and 30(d)(i) are not
displayed by submarines.
4. On mine warfare type ships the masthead lights will not always be
above and clear of the minesweeping lights, as is required by Annex I,
Section 2(f). The positions of the masthead lights with relation to the
minesweeping lights are as follows:
----------------------------------------------------------------------------------------------------------------
Relationship of Relationship of Relationship of
forward masthead after masthead after masthead
Vessel MSO No. light to all light to lower light to upper
minesweeping minesweeping minesweeping
lights 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............. ----............. ----
MSB............................ 16 do................ ----............. ----
MSB............................ 25 do................ ----............. ----
MSB............................ 28 do................ ----............. ----
MSB............................ 29 do................ ----............. ----
MSB............................ 41 do................ ----............. ----
MSB............................ 51 do................ ----............. ----
MSB............................ 52 do................ ----............. ----
----------------------------------------------------------------------------------------------------------------
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 deg. 13'
USS SAVANNAH (AOR 4)........................................ 1 deg. 13'
USS WABASH (AOR 5).......................................... 1 deg. 13'
USS KALAMAZOO (AOR 6)....................................... 1 deg. 13'
USS HUNLEY (AS 31).......................................... 2 deg. 10'
USS HOLLAND (AS 32)......................................... 3 deg. 46'
USS KIDD (DDG 993).......................................... 0 deg.
28.8'
USS CALLAGHAN (DDG 994)..................................... 0 deg.
28.8'
USS SCOTT (DDG 995)......................................... 0 deg.
28.8'
USS CHANDLER (DDG 996)...................................... 0 deg.
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 deg. arc of visibility at the points 021 deg. and 339 deg. relative
to the ship's head.
USS OLIVER HAZARD PERRY..................... FFG 7
USS MCINERNEY............................... FFG 8
USS WADSWORTH............................... FFG 9
USS DUNCAN.................................. FFG 10
USS CLARK................................... FFG 11
USS GEORGE PHILIP........................... FFG 12
USS SAMUEL ELIOT MORISON.................... FFG 13
USS SIDES................................... FFG 14
USS ESTOCIN................................. FFG 15
USS CLIFTON SPRAGUE......................... FFG 16
USS JOHN A. MOORE........................... FFG 19
USS ANTRIM.................................. FFG 20
USS FLATLEY................................. FFG 21
USS FAHRION................................. FFG 22
USS LEWIS B. PULLER......................... FFG 23
USS JACK WILLIAMS........................... FFG 24
USS COPELAND................................ FFG 25
USS GALLERY................................. FFG 26
USS MAHLON S. TISDALE....................... FFG 27
USS BOONE................................... FFG 28
USS STEPHEN W. GROVES....................... FFG 29
USS REID.................................... FFG 30
USS STARK................................... FFG 31
USS JOHN L. HALL............................ FFG 32
USS JARRETT................................. FFG 33
USS AUBREY FITCH............................ FFG 34
USS UNDERWOOD............................... FFG 36
USS CROMMELIN............................... FFG 37
USS CURTS................................... FFG 38
USS DOYLE................................... FFG 39
USS HALYBURTON.............................. FFG 40
USS MCCLUSKY................................ FFG 41
USS KLAKRING................................ FFG 42
USS THACH................................... FFG 43
USS DEWERT.................................. FFG 45
USS RENTZ................................... FFG 46
USS NICHOLAS................................ FFG 47
USS VANDERGRIFT............................. FFG 48
USS ROBERT G. BRADLEY....................... FFG 49
USS TAYLOR.................................. FFG 50
USS GARY.................................... FFG 51
USS CARR.................................... FFG 52
USS HAWES................................... FFG 53
USS FORD.................................... FFG 54
[[Page 168]]
USS ELROD................................... FFG 55
USS SIMPSON................................. FFG 56
USS REUBEN JAMES............................ FFG 57
USS SAMUEL B. ROBERTS....................... FFG 58
USS KAUFFMAN................................ FFG 59
USS RODNEY M. DAVIS......................... FFG 60
USS INGRAHAM................................ FFG 61
8. Sidelights on the following ships do not comply with Annex 1,
Section 3(b):
------------------------------------------------------------------------
Distance of
sidelights
forward of
Vessel Number masthead
light in
meters
------------------------------------------------------------------------
USS OLIVER HAZARD PERRY................ FFG 7............. 2.75
USS MCINERNEY.......................... FFG 8............. 2.75
USS WADSWORTH.......................... FFG 9............. 2.75
USS DUNCAN............................. FFG 10............ 2.75
USS CLARK.............................. FFG 11............ 2.75
USS GEORGE PHILIP...................... FFG 12............ 2.75
USS SAMUEL ELIOT MORISON............... FFG 13............ 2.75
USS SIDES.............................. FFG 14............ 2.75
USS ESTOCIN............................ FFG 15............ 2.75
USS CLIFTON SPRAGUE.................... FFG 16............ 2.75
USS JOHN A. MOORE...................... FFG 19............ 2.75
USS ANTRIM............................. FFG 20............ 2.75
USS FLATLEY............................ FFG 21............ 2.75
USS FAHRION............................ FFG 22............ 2.69
USS LEWIS B. PULLER.................... FFG 23............ 2.75
USS JACK WILLIAMS...................... FFG 24............ 2.75
USS COPELAND........................... FFG 25............ 2.75
USS GALLERY............................ FFG 26............ 2.75
USS MAHLON S. TISDALE.................. FFG 27............ 2.75
USS BOONE.............................. FFG 28............ 2.75
USS STEPHEN W. GROVES.................. FFG 29............ 2.75
USS REID............................... FFG 30............ 2.75
USS STARK.............................. FFG 31............ 2.75
USS JOHN L. HALL....................... FFG 32............ 2.75
USS JARRETT............................ FFG 33............ 2.69
USS AUBREY FITCH....................... FFG 34............ 2.75
USS UNDERWOOD.......................... FFG 36............ 2.75
USS CROMMELIN.......................... FFG 37............ 2.75
USS CURTS.............................. FFG 38............ 2.75
USS DOYLE.............................. FFG 39............ 2.75
USS HALYBURTON......................... FFG 40............ 2.75
USS MCCLUSKY........................... FFG 41............ 2.75
USS KLAKRING........................... FFG 42............ 2.75
USS THACH.............................. FFG 43............ 2.75
USS DEWERT............................. FFG 45............ 2.75
USS RENTZ.............................. FFG 46............ 2.75
USS NICHOLAS........................... FFG 47............ 2.75
USS VANDEGRIFT......................... FFG 48............ 2.75
USS ROBERT G. BRADLEY.................. FFG 49............ 2.75
USS TAYLOR............................. FFG 50............ 2.75
USS GARY............................... FFG 51............ 2.75
USS CARR............................... FFG 52............ 2.75
USS HAWES.............................. FFG 53............ 2.75
USS FORD............................... FFG 54............ 2.75
USS ELROD.............................. FFG 55............ 2.75
USS SIMPSON............................ FFG 56............ 2.75
USS REUBEN JAMES....................... FFG 57............ 2.75
USS SAMUEL B. ROBERTS.................. FFG 58............ 2.75
USS KAUFFMAN........................... FFG 59............ 2.75
USS RODNEY M. DAVIS.................... FFG 60............ 2.75
USS INGRAHAM........................... FFG 61............ 2.19
------------------------------------------------------------------------
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 deg.48.6' arc of visibility at the point 349 deg. 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.
[[Page 169]]
------------------------------------------------------------------------
Distance in meters
of aux. masthead
light below minimum
Vessel No. required height.
Annex I, sec.
2(a)(i)
------------------------------------------------------------------------
YTB 752............................................ 3.97
YTB 757............................................ 3.40
YTB 758............................................ 3.97
YTB 769............................................ 3.86
YTB 771............................................ 3.89
YTB 780............................................ 3.53
YTB 781............................................ 3.66
YTB 785............................................ 4.47
YTB 788............................................ 3.76
YTB 789............................................ 3.30
YTB 799............................................ 4.07
YTB 801............................................ 3.89
YTB 806............................................ 3.58
YTB 811............................................ 4.07
YTB 812............................................ 4.04
YTB 813............................................ 6.15
YTB 820............................................ 3.30
YTB 826............................................ 3.89
YTB 833............................................ 3.68
YTB 835............................................ 4.04
------------------------------------------------------------------------
15. Task (restricted maneuverability) lights on the following ships
do not comply with Annex I, section 3(c).
------------------------------------------------------------------------
Horizontal
distance from
the fore and
aft centerline
Vessel Number of the vessel
in the
athwartship
direction
------------------------------------------------------------------------
USS ARLEIGH BURKE.................... DDG 51........... 1.85 meters
USS BARRY............................ DDG 52........... 1.94 meters
USS JOHN PAUL JONES.................. DDG 53........... 1.89 meters
USS CURTIS WILBUR.................... DDG 54........... 1.90 meters
USS STOUT............................ DDG 55........... 1.90 meters
USS JOHN S. MCCAIN................... DDG 56........... 1.88 meters
USS MITSCHER......................... DDG 57........... 1.93 meters
USS LABOON........................... DDG 58........... 1.90 meters
USS RUSSELL.......................... DDG 59........... 1.91 meters
USS PAUL HAMILTON.................... DDG 60........... 1.88 meters
USS RAMAGE........................... DDG 61........... 1.91 meters
USS FITZGERALD....................... DDG 62........... 1.90 meters
USS STETHEM.......................... DDG 63........... 1.91 meters
USS CARNEY........................... DDG 64........... 1.90 meters
USS BENFOLD.......................... DDG 65........... 1.90 meters
USS GONZALES......................... DDG 66........... 1.90 meters
USS COLE............................. DDG 67........... 1.90 meters
USS THE SULLIVANS.................... DDG 68........... 1.87 meters
USS MILIUS........................... DDG 69........... 1.93 meters
USS HOPPER........................... DDG 70........... 1.83 meters
USS ROSS............................. DDG 71........... 1.96 meters
USS MAHAN............................ DDG 72........... 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
Vessel Number relative ship's
headings
------------------------------------------------------------------------
USS ARLEIGH BURKE.................. DDG 51........ 100.00 deg. thru
112.50 deg.
USS BARRY.......................... DDG 52........ 101.16 deg. thru
112.50 deg.
USS JOHN PAUL JONES................ DDG 53........ 103.29 deg. thru
112.50 deg.
USS CURTIS WILBUR.................. DDG 54........ 102.61 deg. thru
112.50 deg.
USS STOUT.......................... DDG 55........ 102.00 deg. thru
112.50 deg.
USS JOHN S. MCCAIN................. DDG 56........ 102.53 deg. thru
112.50 deg.
USS MITSCHER....................... DDG 57........ 102.27 deg. thru
112.50 deg.
USS LABOON......................... DDG 58........ 102.80 deg. thru
112.50 deg.
USS RUSSELL........................ DDG 59........ 92.62 deg. thru
109.38 deg.
USS PAUL HAMILTON.................. DDG 60........ 101.35 deg. thru
112.50 deg.
USS RAMAGE......................... DDG 61........ 103.66 deg. thru
112.50 deg.
USS FITZGERALD..................... DDG 62........ 102.32 deg. thru
112.50 deg.
USS STETHEM........................ DDG 63........ 102.51 deg. thru
112.50 deg.
USS CARNEY......................... DDG 64........ 105.06 deg. thru
112.50 deg.
USS BENFOLD........................ DDG 65........ 101.86 deg. thru
112.50 deg.
USS GONZALES....................... DDG 66........ 101.69 deg. thru
112.50 deg.
USS COLE........................... DDG 67........ 101.83 deg. thru
112.50 deg.
USS THE SULLIVANS.................. DDG 68........ 103.06 deg. thru
112.50 deg.
USS MILIUS......................... DDG 69........ 102.30 deg. thru
112.50 deg.
USS HOPPER......................... DDG 70........ 102.25 deg. thru
112.50 deg.
USS ROSS........................... DDG 71........ 104.05 deg. thru
112.50 deg.
USS MAHAN.......................... DDG 72........ 102.11 deg. thru
112.50 deg.
------------------------------------------------------------------------
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
ship's heading
Vessel Number -------------------------------
Port STBD
------------------------------------------------------------------------
OSPREY....................... MHC 51... 59.5 deg. to 281.7 deg. to
78.3 deg.. 300.5 deg.
HERON........................ MHC 52... 59.5 deg. to 281.7 deg. to
78.3 deg.. 300.5 deg.
PELICAN...................... MHC 53... 59.5 deg. to 281.7 deg. to
78.3 deg.. 300.5 deg.
ROBIN........................ MHC 54... 59.5 deg. to 281.7 deg. to
78.3 deg.. 300.5 deg.
ORIOLE....................... MHC 55... 65.0 deg. to 284.1 deg. to
75.6 deg.. 294.6 deg.
KING-FISHER.................. MHC 56... 59.5 deg. to 281.7 deg. to
78.3 deg.. 300.5 deg.
CORMORANT.................... MHC 57... 59.5 deg. to 281.7 deg. to
78.3 deg.. 300.5 deg.
BLACK HAWK................... MHC 58... 65.0 deg. to 284.1 deg. to
75.6 deg.. 294.6 deg.
[[Page 170]]
USS FALCON................... MHC 59... 65.0 deg. to 284.1 deg. to
75.6 deg.. 294.6 deg.
CARDINAL..................... MHC 60... 65.0 deg. to 284.1 deg. to
75.6 deg.. 294.6 deg.
------------------------------------------------------------------------
19. Sidelights on the following ships do not comply with Annex I,
Section 2 (g):
----------------------------------------------------------------------------------------------------------------
Distance in meters of sidelights above
Vessel Number maximum allowed height.
----------------------------------------------------------------------------------------------------------------
USS DUBUQUE............................. LPD 8 1.2
----------------------------------------------------------------------------------------------------------------
Table Five
----------------------------------------------------------------------------------------------------------------
Masthead After masthead
lights not Forward light less than
over all masthead light \1/2\ ship's Percentage
other lights not in forward length aft of horizontal
Vessel No. and quarter of forward separation
obstructions. ship. annex I, masthead light. attained
annex I, sec. sec. 3(a) annex I, 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 X X 38
USS LAKE ERIE................... CG 70 N/A X X 38
USS CAPE ST. GEORGE............. CG 71 N/A X X 38
USS VELLA GULF.................. CG 72 N/A X X 38
USS PORT ROYAL.................. CG 73 N/A X X 38
USS LONG BEACH.................. CGN 9 ............. X X 13.5
[[Page 171]]
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 X X 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 X X 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 X X X 39.8
USS HAYLER...................... DD 997 N/A X X 44
USS ARLEIGH BURKE............... DDG 51 X X X 20
USS BARRY....................... DDG 52 X X X 20
USS JOHN PAUL JONES............. DDG 53 X X X 18.9
USS CURTIS WILBUR............... DDG 54 X X X 20.4
USS STOUT....................... DDG 55 X X X 20.7
USS JOHN S. MCCAIN.............. DDG 56 X X X 19.6
USS MITSCHER.................... DDG 57 X X X 20.7
USS LABOON...................... DDG 58 X X X 19.6
USS RUSSELL..................... DDG 59 X X X 20.6
USS PAUL HAMILTON............... DDG 60 X X X 20.4
USS RAMAGE...................... DDG 61 X X X 20
USS FITZGERALD.................. DDG 62 X X X 20.4
USS STETHEM..................... DDG 63 X X X 20
USS CARNEY...................... DDG 64 X X X 19.7
[[Page 172]]
USS BENFOLD..................... DDG 65 X X X 20.4
USS GONZALES.................... DDG 66 X X X 20.4
USS COLE........................ DDG 67 X X X 20.4
USS THE SULLIVANS............... DDG 68 X X X 20.5
USS MILIUS...................... DDG 69 X X X 20.4
USS HOPPER...................... DDG 70 X X X 20.4
USS ROSS........................ DDG 71 X X X 20.6
USS MAHAN....................... DDG 72 X X X 13.9
USS CALLAGHAN................... DDG 994 X X X 44.6
USS SCOTT....................... DDG 995 X X X 44.6
USS CHANDLER.................... DDG 996 X X X 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
[[Page 173]]
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
Sec. 706.2, see the List of CFR Sections Affected in the Finding Aids
section of this volume.
Sec. 706.3 Exemptions by the Secretary of the Navy under Executive Order 11964.
The Secretary of the Navy hereby exempts, in accordance with Rule 38
of the International Regulations for Preventing Collisions at Sea, 1972,
the vessels and classes of vessels listed in this section, from full
compliance with the Regulations, where an exemption is allowed by, and
for the periods specified in, Rule 38. The Secretary of the Navy further
finds that the vessels and classes of vessels listed have had their
keels laid or are in corresponding stages of construction before July
15, 1977, and that such vessels and classes of vessels comply with the
requirements of the International Regulations for Preventing Collisions
at Sea, 1960.
Table One
[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
-------------------------------------------------------------------------
USNS HAYES (T-AG-195)
USNS RANGE SENTINEL (T-AGM-22)
T-AGOR 3 Class
T-AGS 26 Class
T-AGS 33 Class
T-AOG 77 Class
USNS ALBERT J. MYER (T-ARC 6)
T-ATF 166 Class
ARS 6 Class
ARS 38 Class
ASR 7 Class
ASR 21 Class
ATF 148 Class
ATS 1 Class
DDG 2 Class
FF 1037 Class
FF 1040 Class
FF 1052 Class
USS GLOVER (FF 1098)
FFG 1 Class
FFG 7 Class
LCU 1610 Class
LCU 1648 Class
MSO 422 Class
MSO 508 Class
PG 92 Class
USS DOLPHIN (AGSS 555)
SSN 594 Class
SSN 637 Class
SSN 688 Class
SSBN 616 Class
SSBN 627 Class
SSBN 640 Class
[[Page 174]]
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 RESPECT TO ADDITIONAL STATION AND SIGNAL LIGHTS--Table of Contents
Sec.
707.1 Purpose of regulations.
707.2 Man overboard lights.
707.3 Yard arm signaling lights.
707.4 Aircraft warning lights.
707.5 Underway replenishment contour lights.
707.6 Minesweeping station keeping lights.
707.7 Submarine identification light.
707.8 Special operations lights.
707.9 Convoy operations stern light.
707.10 Wake illumination light.
707.11 Flight operations lights.
707.12 Amphibious operations lights.
Authority: 33 U.S.C. 182 and 1606, E.O. 11964.
Source: 42 FR 61596, Dec. 6, 1977, unless otherwise noted.
Sec. 707.1 Purpose of regulations.
All ships are warned that when U.S. naval vessels are met in
international and inland waters, some of the navigational lights
displayed by them may be special lights for naval purposes. When used,
they may be displayed simultaneously with the ordinary navigational
lights required by the International Regulations for Preventing
Collisions at Sea, 1972, or the Inland Navigational Rules. The lights
are located and characterized in such a fashion that, as far as
possible, they cannot be mistaken for any light authorized by either set
of rules. This part publishes the special rules with respect to these
additional station and signal lights promulgated by the Secretary of the
Navy for vessels of the Navy.