[Title 32 CFR 701.11]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 32 - NATIONAL DEFENSE]
[Subtitle A - Department of Defense (Continued)]
[Chapter Vi - DEPARTMENT OF THE NAVY]
[Subchapter A - UNITED STATES NAVY REGULATIONS AND OFFICIAL RECORDS]
[Part 701 - AVAILABILITY OF DEPARTMENT OF THE NAVY RECORDS AND PUBLICATION OF DEPARTMENT OF THE NAVY DOCUMENTS AFFECTING THE PUBLIC]
[Subpart A - Department of the Navy Freedom of Information Act (FOIA)]
[Sec. 701.11 - Processing specific kinds of records.]
[From the U.S. Government Printing Office]


32NATIONAL DEFENSE52002-07-012002-07-01false701.11Sec. 701.11NATIONAL DEFENSEDepartment of Defense (Continued)DEPARTMENT OF THE NAVYUNITED STATES NAVY REGULATIONS AND OFFICIAL RECORDSAVAILABILITY OF DEPARTMENT OF THE NAVY RECORDS AND PUBLICATION OF DEPARTMENT OF THE NAVY DOCUMENTS AFFECTING THE PUBLICDepartment of the Navy Freedom of Information Act (FOIA)
Sec. 701.11  Processing specific kinds of records.

    DON activities that possess copies or receive requests for the 
following kinds of records shall promptly forward the requests to the 
officials named in this section and if appropriate apprise the requester 
of the referral:
    (a) Classified records. Executive Order 12958 governs the 
classification of records.
    (1) Glomar response. In the instance where a DON activity receives a 
request for records whose existence or nonexistence is itself 
classifiable, the DON activity shall refuse to confirm or deny the 
existence or non-existence of the records. This response is only 
effective as long as it is given consistently. If it were to be known 
that an agency gave a ``Glomar'' response only when records do exist and 
gave a ``no records'' response otherwise, then the purpose of this 
approach would be defeated. A Glomar response is a denial and exemption 
(b)(1) is cited and appeal rights are provided to the requester.
    (2) Processing classified documents originated by another activity. 
DON activities shall refer the request and copies of the classified 
documents to the originating activity for processing. If the originating 
activity simply compiled the classified portions of the document from 
other sources, it shall refer, as necessary, those portions to the 
original classifying authority for their review and release 
determination and apprise that authority of any recommendations they 
have regarding release. If the classification authority for the 
information cannot be determined, then the originator of the compiled 
document has the responsibility for making the final determination. 
Records shall be identified consistent with security requirements. Only 
after consultation and approval from the originating activity, shall the 
requester be apprised of the referral. In most cases, the originating 
activity will make a determination and respond directly to the 
requester. In those instances where the originating activity determines 
a Glomar response is appropriate, the referring agency shall deny the 
request.
    (b) Courts-martial records of trial. The release/denial authority 
for these records is the Office of the Judge Advocate General (Code 20), 
Washington Navy Yard, Building 111, Washington, DC 20374-1111. Promptly 
refer the request and/or documents to this activity and apprise the 
requester of the referral.
    (c) Foreign requests/information. (1) FOIA requests received from 
foreign governments/foreign government officials should be processed as 
follows:
    (i) When a DON activity receives a FOIA request for a record in 
which an affected DoD/DON activity has a substantial interest in the 
subject matter, or the DON activity receives a FOIA request from a 
foreign government, a foreign citizen, or an individual or entity with a 
foreign address, the DON activity receiving the request shall provide a 
copy of the request to the affected DON activity.
    (ii) Upon receiving the request, the affected activity shall review 
the request for host nation relations, coordinate with Department of 
State as appropriate, and if necessary, provide a

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copy of the request to the appropriate foreign disclosure office for 
review. Upon request by the affected activity, the DON activity 
receiving the initial request shall provide a copy of releasable records 
to the affected activity. The affected activity may further release the 
records to its host nation after coordination with Department of State 
if release is in the best interest of the United States Government. If 
the record is released to the host nation government, the affected DON 
activity shall notify the DON activity which initially received the 
request of the release to the host nation.
    (iii) Such processing must be done expeditiously so as not to impede 
the processing of the FOIA request by the DON activity that initially 
received the request.
    (2) Non-U.S. Government Records (i.e., records originated by 
multinational organizations such as the North Atlantic Treaty 
Organization (NATO), the North American Air Defense (NORAD) and foreign 
governments) which are under the possession and control of DON shall be 
coordinated prior to a final release determination being made. 
Coordination with foreign governments shall be made through the 
Department of State.
    (d) Government Accounting Office (GAO) documents. (1) On occasion, 
the DON receives FOIA requests for GAO documents containing DON 
information, either directly from requesters or as referrals from GAO. 
Since the GAO is outside of the Executive Branch and therefore not 
subject to FOIA, all FOIA requests for GAO documents containing DON 
information will be processed by the DON under the provisions of the 
FOIA.
    (2) In those instances when a requester seeks a copy of an 
unclassified GAO report, DON 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 the cash sales program.
    (e) Judge Advocate General Manual (JAGMAN) investigative records. 
These records are no longer centrally processed. Accordingly, requests 
for investigations should be directed to the following officials:
    (1) JAGMAN Investigations conducted prior to 1 Jul 95--to the Judge 
Advocate General (Code 35), Washington Navy Yard, Suite 3000, 1322 
Patterson Avenue, SE, Washington, DC 20374-5066.
    (2) Command Investigation--to the command that conducted the 
investigation.
    (3) Litigation-Report Investigation--to the Judge Advocate General 
(Code 35), Washington Navy Yard, Suite 3000, 1322 Patterson Avenue, SE, 
Washington, DC 20374-5066.
    (4) Court or Board of Inquiry--to the Echelon 2 commander over the 
command that convened the investigation.
    (f) Mailing lists. Numerous FOIA requests are received for mailing 
lists of home addresses or duty addresses of DON personnel. Processing 
of such requests is as follows:
    (1) Home addresses are normally not releasable without the consent 
of the individuals concerned. This includes lists of home addresses and 
military quarters' addresses without the occupant's name (i.e., 
exemption (b)(6) applies).
    (2) Disclosure of lists of names and duty addresses or duty 
telephone numbers of persons assigned to units that are stationed in 
foreign territories, routinely deployable, or sensitive, has also been 
held by the courts to constitute a clearly unwarranted invasion of 
personal privacy and must be withheld from disclosure under 5 U.S.C. 
552(b)(6). General officers and public affairs officers information is 
releasable. Specifically, 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 Navy and/or Marine Corps units to which 
they are attached, and their presence or absence from households. 
Release of such information aids in the targeting of service members and 
their families by terrorists or other persons opposed to implementation 
of national policy. Only an extraordinary public

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interest in disclosure of this information can outweigh the need and 
responsibility of the DON 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 located outside of 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 those whose primary mission is support of training, e.g., 
yard craft and auxiliary aircraft landing training ships.
    (iii) Units engaged in sensitive operations. Those 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 Communications Stations.
    (3) Except as otherwise provided, lists containing names and duty 
addresses of DON 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 CNO (N09B30) 
or CMC (ARAD) prior to responding to requests, including those from 
Members of Congress. The policy in paragraphs (f) (1) through (3) should 
be considered when weighing the releasability of the address or 
telephone number of a specifically named individual.
    (5) DON activities are reminded that e-mail addresses that identify 
an individual who is routinely deployable, overseas, or assigned to a 
sensitive unit should not be made available. Additionally, 
organizational charts for these kinds of units and activities that 
identify specific members should not be placed on the Internet.
    (g) 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 
documents shall be promptly referred to BUMED and the requester notified 
of the referral.
    (h) Mishap investigation reports (MIRs). The Commander, Naval Safety 
Center (NAVSAFECEN) is the release/denial authority for all requests for 
mishap investigations or documents which contain mishap information. All 
requests or documents located which apply shall be promptly referred to 
the Commander, Naval Safety Center, Code 503, 375 A Street, Norfolk, VA 
23511-4399 for action. Telephonic liaison with NAVSAFECEN is encouraged. 
The requester shall be notified of the referral.
    (i) National Security Council (NSC)/White House. (1) DON activities 
that receive requests for records of NSC, the White House, or the White 
House/Military Office (WHMO) shall process the requests.
    (2) DON records in which the NSC or the White House has a concurrent 
reviewing interest, and NSC, White House, or WHMO records discovered in 
DON activity files, shall be forwarded to CNO (N09B30), 2000 Navy 
Pentagon, Washington, DC 20350-2000. N09B30, in turn, will coordinate 
the request directly with DFOISR, so DFOISR can coordinate the request 
with NSC, White House, or WHMO. After coordination, the records will be 
returned to the DON activity for their direct response to the requester. 
During the interim, DON activities should notify the requester that they 
are coordinating their request and a response will therefore be delayed.
    (j) Naval attache documents/information. The Director, Defense 
Intelligence Agency (DIA) has the responsibility for

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reviewing for release/denial any naval attache-originated documents/
information. Accordingly, FOIA requests for naval attache documents or 
copies of the documents located in DON files or referred in error to a 
DON activity shall be promptly referred to the Chief, Freedom of 
Information Act Staff, Defense Intelligence Agency (SVI-1), Washington, 
DC 20340-5100 for action and direct response to the requester. Ensure 
that the requester is notified in writing of the transfer to DIA.
    (k) Naval Audit Service reports. The Director, Naval Audit Service 
is the release/denial authority for their reports. All requests or 
documents located which apply shall be promptly referred to the 
Director, Naval Audit Service, 5611 Columbia Pike, NASSIF Building, 
Falls Church, VA 22041-5080 for action. The requester shall be notified 
of the referral.
    (l) Naval Criminal Investigative Service (NCIS) reports. The 
Director, NCIS is the release/denial authority for all NCIS reports/
information. All requests for and copies of NCIS reports located in DON 
activity files shall be promptly referred to the Director, NCIS (Code 
OOJF), Washington Navy Yard, Building 111, 716 Sicard Street, SE, 
Washington, DC 20388-5380 for action and, if appropriate, the requester 
so notified. Telephonic liaison with NCIS Headquarters is strongly 
encouraged.
    (m) Naval Inspector General (NAVINSGEN) reports. (1) 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 actions shall be promptly 
referred to the Naval Inspector General (Code OOL), Building 200, Room 
100, Washington Navy Yard, 901 M Street, SE, Washington, DC 20374-5006 
for action and, if appropriate, the requester so notified.
    (2) Requests for local command inspector general reports which have 
not been referred to NAVINSGEN should be processed by the command that 
conducted the investigation and NAVINSGEN advised as necessary.
    (3) The Deputy Naval Inspector General for Marine Corps Matters 
(DNIGMC) is the release/denial authority for all investigations 
conducted by the DNIGMC. Requests for local Marine Corps command 
Inspector General reports shall be coordinated with the DNIGMC.
    (n) Naval Nuclear Propulsion Information (NNPI). The Director, Naval 
Nuclear Propulsion Program (CNO (NOONB)/NAVSEA (08)) is the release/
denial authority for all information and requests concerning NNPI. Naval 
activities receiving such requests are responsible for searching their 
files for responsive records. If no documents are located, the naval 
activity shall respond to the requester and provide CNO (NOONB) with a 
copy of the request and response. If documents are located, the naval 
activity shall refer the request, responsive documents, and a 
recommendation regarding release to the Director, Naval Nuclear 
Propulsion Program (NOONB), 2000 Navy Pentagon, Washington, DC 20350-
2000, who will make the final release determination to the requester, 
after coordinating the release through DoD activities.
    (o) Naval Telecommunications Procedures (NTP) publications. The 
Commander, Naval Computer and Telecommunications Command is the release/
denial authority for NTP publications. All requests or documents located 
which apply shall be promptly referred to the Commander, Naval Computer 
and Telecommunications Command (Code NOOJ), 4401 Massachusetts Avenue, 
NW, Washington, DC 20394-5460 for action and direct response to the 
requester.
    (p) News media requests. (1) Respond promptly to requests received 
from news media representatives through public information channels, if 
the information is releasable under FOIA. This eliminates the 
requirement to invoke FOIA and may result in timely information being 
made available to the public.
    (2) In those instances where records/information are not releasable, 
either in whole or in part, or are not currently available for a release 
consideration, Public Affairs Officers shall

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promptly advise the requester of where and how to submit a FOIA request.
    (3) DON activities receiving and processing requests from members of 
the press shall ensure that responses are cleared through their public 
affairs channels.
    (q) Records originated by other government agencies. (1) A DON 
activity may refer a FOIA request for any record that originated in an 
agency outside the DON or that is based on information obtained from an 
outside agency to the cognizant agency for direct response to the 
requester after coordination with the outside agency, if that agency is 
subject to FOIA. Otherwise, the DON activity must respond to the 
request.
    (2) A DON activity shall refer to the agency that provided the 
record any FOIA request for investigative, intelligence, or any other 
type of records that are on loan to the DON for a specific purpose, if 
the records are restricted from further release and so marked. However, 
if for investigative or intelligence purposes, the outside agency 
desires anonymity, a DON activity may only respond directly to the 
requester after coordination with the outside agency.
    (r) Submitter documents. (1) When a request is received for a record 
containing confidential commercial information that was submitted to the 
Government, the requirements of Executive Order 12600 shall apply. 
Specifically, the submitter shall be notified of the request 
(telephonically, by letter, or by facsimile) and afforded a reasonable 
amount of time (anywhere from 2 weeks to a month depending on the 
circumstances) to present any objections concerning release, unless it 
is clear there can be no valid basis for objection. For example, the 
record was provided with actual or presumptive knowledge of the 
submitter that it would be made available to the public upon request.
    (2) The DON activity will evaluate any objections and negotiate with 
the submitter as necessary. When a substantial issue has been raised, 
the DON activity may seek additional information from the submitter and 
afford the submitter and requester reasonable opportunities to present 
their arguments in legal and substantive issues prior to making an 
agency determination.
    (3) The final decision to disclose information claimed to be exempt 
under exemption (b)(4) shall be made by an official at least equivalent 
in rank to the IDA and the submitter advised that he or she may seek a 
restraining order or take court action to prevent the release. The 
submitter is given 10 days to take action.
    (4) Should the submitter take such action, the requester will be 
notified and no action will be taken on the request until the outcome of 
the court action is known.
    (s) Technical Documents Controlled by Distribution Statements B, C, 
D, E, F, or X shall be referred to the controlling DoD office for review 
and release determination.