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tions warrant) to the Secretary of the Navy (Judge Advocate General) RCS JAG 5821-8. (1 CFR 18.14, and Part 21, Subpart B) (38 FR 6021, Mar. 6, 1973, as amended at 41 FR 26862, June 30, 1976, 45 FR 8599, Feb. 8, 1980)

as

8 720.21 Personnel subpoenaed wit

(c) of this section. Whenever compliance with a court order for production of Department of the Navy records is deemed inappropriate for any reason, such as when they contain privileged or classified information, the records and subpoena may be forwarded to the Secretary of the Navy (Judge Advocate General) for appropriate action, and the parties to the suit so notified.

(b) Records in the custody of National Personnel Records Center. Court orders, subpoenas duces tecum, and other legal documents demanding information from, or the production of, service or medical records in the custody of the National Personnel Records Center involving former (deceased or discharged) Navy and Marine Corps personnel shall be served upon the General Services Administration, 9700 Page Boulevard; St. Louis, MO 63132, rather than the Department of the Navy. In the following situations, the request shall be forwarded to the Secretary of the Navy (Judge Advocate General).

(1) When the United States (Department of the Navy) is one of the litigants.

(2) When the case involves a person or persons who are or have been senior officers within the Department of the Navy; and

(3) In other cases considered to be of special significance to the Judge Advocate General or the Secretary of the Navy.

(c) Exceptions. Where not in conflict with the foregoing restrictions relative to confidential matters, the production in Federal, State, territorial, or local courts of evidentiary material from investigations conducted pursuant to this Manual, and the service, employment, pay or medical records (including medical records of dependents) of persons in the naval service is authorized upon receipt of a court order, without procuring specific authority from the Secretary of the Navy. Where travel is involved, it must be without expense to the Government.

(d) Medical and other records of civilian employees. Production of medical certificates or other medical reports concerning civilian employees is controlled by the provisions of Execu

nesses in State or local courts. Where military personnel or civilian employees are subpoenaed to appear as witnesses in State or local courts, and are served in the manner described under conditions set forth in § 720.20, the provisions of $ 720.20(e) apply. If naval personnel are requested to appear as witnesses in State or local courts where the interests of the Federal Government are involved (e.g., Medical Care Recovery Act cases) the procedures described in section 1322(a) of the Manual of the Judge Advocate General may be followed. (1 CFR 18.14, and Part 21, Subpart B) [38 FR 6021, Mar. 6, 1973, as amended at 45 FR 8599, Feb. 8, 1980)

Subpart C-Production of Official

Records

8 720.30 Production of official records in

response to court order. (a) General. Where unclassified naval records are desired by or on behalf of litigants, the parties will be informed that the records desired, or certified copies thereof, may be obtained by forwarding to the Secretary of the Navy, Navy Department, Washington, D.C., or other custodian of the records, a court order calling for the particular records desired or copies thereof. Compliance with such court order will be effected by transmitting certified copies of the records to the clerk of the court out of which the process issues. If an original record is produced by a naval custodian, it will not be removed from the custody of the person producing it, but copies may be placed in evidence. Upon written request of all parties in interest or their respective attorneys, records which would be produced in response to a court order as set forth above may be furnished without court order except as noted in paragraphs (b) and

tive Order 10561, 19 FR 5963, as implemented by Federal Personnel Manual, chapter 294, and chapter 339.1-4 (reprinted in MANMED article 23255(6)). Records of civilian employees other than medical records may be produced upon receipt of a court order without procuring specific authority from the Secretary of the Navy, provided there is not involved any classi. fied or otherwise confidential material such as loyalty or security records. Records relating to compensation benefits administered by the Bureau of Employees' Compensation may not be disclosed except upon the written approval of that Bureau (20 CFR 1.21). In case of doubt, the matter should be handled in accordance with the provisions of subsection a above. Where information is furnished hereunder in response to a court order, it is advisable that certified copies rather than originals be furnished and that, where original records are to be produced, the assistance of the U.S. Attorney or U.S. Marshal be requested so that custody of the records may be maintained. 8 720.31 Production of official records in

the absence of court order. (a) General. Release of official records outside the Department of the Navy in the absence of a court order is governed by the Privacy Act (5 U.S.C. 552a) and the Freedom of Information Act (5 U.S.C. 552). The following sources pertain: SECNAVINST 5211.5 series (Privacy) and SECNAVINST 5720.42 series (Freedom of Information).

(b) Release of JAG Manual Investigations, Court-Martial Records, Articles 69 and 73 Petitions, and Article 138 Complaints of Wrongs. Except as provided in this section, only the Assistant Judge Advocate General (Civil Law) shall make determinations concerning the release of the records covered herein. Local record holders are reminded that the authority to release records does not include denial authority.

(1) JAG Manual Investigations (including enclosures). Any request for release outside the Department of the Navy shall be forwarded to the Assistant Judge Advocate General (Military

Law) for determination, except that Privacy Act requests for release shall be forwarded to the Assistant Judge Advocate General (Civil Law) for determination. Exception: Affirmative claims files (including Medical Care Recovery Act files) may be released by local holders to insurance companies to support claims; to civilian attorneys representing the injured party's and the government's interests; and to other components of the Department of Defense, without prior approval of the Judge Advocate General, provided the amount of the claims is within the monetary settlement authority of the releaser.

(2) Court-martial records and Articles 69 and 73 petitions. These are matters of public record and may be released by any local holder. Courtmartial records should be released only following proper authentication.

(3) Article 138 Complaints of Wrongs. Forward as in b.1 above.

(c) Accounting for disclosures of records from systems of records. When records located in a "system of records” are released, the official responsible for releasing the records shall consult SECNAVINST 5211.5 series regarding the requirement that accountings of the disclosures be maintained. Appendix A-3-a of the Manual of the Judge Advocate General is recommended for this purpose. (1 CFR 18.14, and Part 21, Subpart B) (45 FR 8599, Feb. 8, 1980)

8 720.32 Certificates of full faith and

credit. The Judge Advocate General, the Deputy Judge Advocate General, or any Assistant Judge Advocate General is authorized to execute certificates of full faith and credit certifying the sig. natures and authority of officers of the Department of the Navy.

PART 721-STANDARDS OF

CONDUCT

Sec. 721.1 Purpose. 721.2 (Reserved) 721.3 Scope and effect. 721.4 Definitions.

8 721.4 Definitions.

(a) Naval personnel. All civilian officers and employees and all active-duty military personnel of the Department of the Navy, including special Government employees and personnel of nonappropriated fund instrumentalities.

(b) Department of Defense (DOD) components. The Office of the Secretary of Defense, the Military Departments, the Organization of the Joint Chiefs of Staff, the Unified and Specified Commands, and the Defense Agencies, including nonappropriated fund instrumentalities.

(c) Special government employee. A person who is retained, designated, appointed, or employed to perform with or without compensation, not to exceed 130 days during any period of 365 consecutive days, temporary duties, on either a full-time or intermittent basis. The term also includes a Reserve officer while on active duty solely for training for any length of time, one who is serving on active duty involuntarily for any length of time, and one who is serving voluntarily on extended active duty for 130 days or less. It does not include enlisted personnel.

(d) Gratuity. Any gift, favor, entertainment, hospitality, transportation, loan, any other tangible item, and any intangible benefit-for example, discounts, passes,

and promotional vendor training-given or extended to, or on behalf of, naval personnel or their spouses, minor children, households, for which fair market value is not paid by the recipient or the U.S. Government.

(e) Appropriate supervisor. That superior within the chain of authority who is acquainted with the duties of the naval personnel concerned and can best determine the existence and effect of any conflict of interests of such personnel. Ordinarily, this will be the immediate superior of the person concerned. Each commanding officer or activity head should ensure that all personnel are aware of the identity of their appropriate supervisor.

or

Sec. 721.5 General policies governing the con

duct of naval personnel. 721.6 Regulations governing the conduct of

naval personnel. 721.7 Related statutes and directives. 721.8 Responsibilities for action. 721.9 Statements of affiliations and finan

cial interests (DD Form 1555). 721.10 Information to personnel. 721.11 (Reserved) 721.12 Reporting of post-retirement em

ployment. 721.13 Availability of forms.

AUTHORITY: 5 U.S.C. 301; 10 U.S.C. 133 and 5031; E.O. No. 11222, May 8, 1965; 5 CFR Part 735; 32 CFR Part 40.

SOURCE: 42 FR 43070, Aug. 26, 1977, unless otherwise noted.

8 721.1 Purpose.

Part 721 implements and supplements Part 40 of this title in prescribing required standards of ethical conduct governing all personnel of the Department of the Navy; related requirements applicable to all personnel of certain categories in the Department of the Navy; amplifying policies for the guidance of personnel in interpreting and executing the standard of conduct and related requirements; and responsibilities and procedures for monitoring and enforcing compliance with the standards of conduct and related requirements within the Department of the Navy.

8 721.2 [Reserved]

8 721.3 Scope and effect.

(a) Applicability. The provisions of this part apply to all naval personnel as defined in g 721.4(a). The provisions of $721.6(1)(2) apply to all retired naval personnel and members of Reserve components. The provisions of $ 721.12 also apply to all retired Regular officers.

(b) Violations. The regulations prescribed in § 721.6 are a general order upon which disciplinary or punitive proceedings may be based in appropriate cases. Noncompliance with other provisions of this part are expected to be corrected by timely and appropriate administrative measures.

$ 721.5 General policies governing the

conduct of naval personnel. (a) Proper conduct of official activities.

(1) Naval personnel shall become familiar with the scope of authority for, and the limitations concerning, the activities for which they have responsibilities.

(2) The attention of naval personnel is directed to the appropriate statutory prohibitions which apply to the conduct of naval personnel.

(3) Naval personnel shall not make or recommend any expenditure of funds or take or recommend any action known or believed to be in violation of U.S. laws, Executive Orders, or applicable directives, instructions, or regulations.

(4) In cases of doubt of the propriety of a proposed action or decision in terms of regulation or law, naval personnel shall consult legal counsel or, if appropriate, a Standards of Conduct Counsellor or Deputy Counsellor to ensure the proper and lawful conduct of naval programs and activities.

(b) Conduct prejudicial to the GovIernment. Naval personnel shall avoid

any action, whether or not specifically | prohibited by this part, which might result in or reasonbly be expected to create the appearance of:

(1) Using public office for private gain:

(2) Giving preferential treatment to any person or entity;

(3) Impeding Government efficiency or economy;

(4) Losing complete independence or impartiality;

(5) Making a Government decision outside official channels; or

(6) Adversely affecting the confidence of the public in the integrity of the Government.

(c) Standards of personal judgment. All naval personnel will adhere strictly to the standards of conduct and related requirements prescribed in this part. In some instances, standards are imposed which require the exercise of personal judgment. Naval personnel must consider each such instance carefully and be prepared to account for the manner in which the judgment is exercised. This is particularly true in situations which involve acceptance of

hospitality or favors from persons or entities who do, or seek to do, business with the Department of Defense.

(d) Dealings with business and industry representatives. Persons who represent the Government in business dealings with representatives of industry have positions of trust and grave responsibility which require them to observe the highest ethical standards. Practices which may be accepted in the private business world are not necessarily acceptable for naval personnel. No person will allow himself to be placed in a position in which a conflict of interests might arise or might justifiably be suspected. Such a conflict of interests may arise or appear to arise by reason of the acceptance of gratuities, or by any other action which could influence or reasonably be interpreted as influencing the strict impartiality that must prevail in all business relationships involving the Government. Strict impartiality is often particularly difficult to maintain when business relationships are allowed to become overly personal. Naval personnel should at all times ensure that persons doing business or attempting to do business with the Department of Defense, or representing such entities, are not permitted to ingratiate themselves to the extent that naval personnel hesitate to deny requests for special treatment made by such persons or otherwise to follow the rule of strict impartiality when dealing with such persons in their official capacities. Acceptance of gratuities (no matter how innocently tendered or received) from those who have or seek business dealings with the Department of the Navy may be a source of embarrassment to the department and to the naval personnel involved, may affect the objective judgment of the recipient, and may impair public confidence in the integrity of business relations between the department and industry. It is emphasized that prohibited conflicts and apparent conflicts of interests can sometimes arise even from relationships and transactions which the personnel concerned preceive as inconsequential. Where there is doubt as to the propriety of accepting gratuities, attending functions, accepting other invitations of hospitable

or

а

nature, naval personnel will refrain therefrom.

(e) Preferential treatment. Special treatment must not be accorded to particular individuals or firms unless equivalent treatment is also accorded to other individuals of firms justifiably entitled thereto.

(f) Acquiring conflicting financial interests. Notwithstanding the fact that they may have filed confidential statements of affiliations and financial interests (DD Form 1555), naval personnel must at all times avoid acquiring or retaining financial interests which would disqualify them from performing their assigned duties or responsibilities. Some of the more likely situations in which conflicts of interests might arise are where naval personnel have Government duties or responsibilities related to business entities:

(1) With which they, their spouses, minor children, or household members are associated as employees, officers, owners, directors, members, trustees, partners, advisers, or consultants;

(2) With which they, their spouses, minor children, or household members are negotiating or have arrangements for prosective employment; or

(3) In which they, or their spouses, minor children, or household members have interests through ownership of stock options, bonds, securities other financial arrangements, such as trusts, or through participation in pension or retirement plans.

(g) Membership in associations. Naval personnel who are members or officers of non-Governmental associations or organizations must avoid activities on behalf of the association or organization that are incompatible with their official Government positions. Secretary of the Navy Instruction (SECNAVINST) 5760.4 (series) sets forth the Department of the Navy policy regarding participation by naval activities and naval personnel in the activities of private associations.

(h) Equal opportunity. Naval personnel shall scrupulously adhere to the DoD program of equal opportunity regardless of race, color, religion, sex, age, or national origin, in accordance

or

or

or

with equal opportunity directives. See, for example, SECNAVINST 5350.6 (series) and SECNAVINST 5350.10 (series).

(i) Reporting suspected violations. Naval personnel who have information which causes them to believe that other DoD personnel have violated a statute or standard of conduct imposed by this part should bring the matter to the attention of the appropriate command authority. The matter thereafter should be brought to the attention of the person concerned, for possible resolution without further command action, unless the command determines that such communication is not likely to remedy the problem or will adversely affect a proper investigation of the matter.

(j) Resolving violations. The resolution of standards of conduct violations shall be accomplished promptly by one or more measures, such as divestiture of conflicting interests, disqualification for

particular assignments, changes in assigned duties, termination, or other appropriate action, as provided by statute or administrative procedures. Disciplinary actions shall be in accordance with established personnel procedures. See $ 721.6(a).

8 721.6 Regulations governing the conduct

of naval personnel. (a) Affiliations and financial intersts. Naval

personnel

shall not engage in any personal, business, or professional activity, or receive or retain any direct or indirect financial interest, which places them in a position of conflict between their private interests and the public interests of the United States related to the duties or responsibilities of their official positions. For the purpose of this prohibition, the private interests of a spouse, minor child, and any household member are treated as private interests of the naval personnel.

(1) Unless otherwise expressly authorized by action taken under 18 U.S.C. 208(b), all naval personnel who have or acquire an affiliation or a financial interest which creates a conflict or appearance of a conflict with their official duties shall report the possibly disqualifying interest to the

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