Page images
PDF
EPUB

among components or agencies preparing for anticipated legal proceedings before any Federal, State, or military court, or before any regulatory body.

(vii) Reports of inspections, audits, investigations, or surveys which pertain to safety, security, or the internal management, administration, or operation of the Departments of Defense or the Navy or their components.

(2) If any such intra-agency or interagency record, or reasonably segregable portion of such record, would routinely be made available through the discovery process (i.e., the legal process by which litigants obtain information from each other that is relevant to the issues in a trial or hearing) in the course of litigation with the agency, then such record, or reasonably segregable portions of it, should be deemed releasable. If, however, the information would only be made available through the discovery process by special order of the court based on the particular needs of a litigant balanced against the interests of the agency in maintaining its confidentiality, then the record may be considered to be non-releasable.

(3) Purely factual material in such an inter-agency or intra-agency record is routinely made available through discovery and (if reasonably segregable and containing no other exempt matters rendering it nonreleasable) should therefore be released.

(4) A direction or order from a superior to a subordinate, though contained in internal communication, is generally releasable if it constitutes policy guidance or a decision, as distinguished from a discussion of preliminary matters that would compromise the decision-making process.

(5) An internal communication concerning an event or decision which has subsequently been made a matter of public record should normally be considered to be releasable unless it is determined that, because of special circumstances, release would prejudice the current decision-making process.

(f) "Exemption 6" Matters. Information in personnel and medical files, as well as information in similar files that, if disclosed to a member of the public, would result in a clearly unwarranted invasion of personal privacy.

(1) Examples of files similar to personnel and medical files include:

(i) Those compiled to evaluate or adjudicate the suitability of candidates for civilian employment and the eligibility of individuals, civilian, military or industrial, for security clearances.

(ii) Files containing reports, records, and other material pertaining to personnel matters in which administrative action, including disciplinary action, may be taken.

(2) In determining whether the release of information would result in a "clearly unwarranted invasion of personal privacy," consideration should be given to the stated or assumed purpose of the request. When determining whether a release is “clearly unwarranted,” the public interest in satisfying this purpose must be balanced against the sensitivity of the privacy interest being threatened.

(3) When the only basis for withholding information is protection of the personal privacy of an individual who is the subject of the record, information should not be withheld from him or from his designated legal representative. A clearly unwarranted invasion of the privacy of others discussed in that record may, however, constitute a basis for deleting reasonably segregable portions of the record even when providing it to the subject of the record. With regard to the release of a medical record to a patient who may be adversely affected by knowledge of its contents, the principles of good medical practice should be followed.

(4) On and after 27 September 1975, an individual's personnel, medical, or similar files may be withheld from him or from his designated legal representative only in accordance with regulations implementing the Privacy Act of 1974 (5 U.S.C. 552a).

(g) "Exemption 7" Matters. Law enforcement records

(1) Those compiled for the purpose of enforcing civil, criminal, or military law, including the implementation of Executive orders, or regulations validly adopted pursuant to law, but only to the extent that their release would: (i) Interfere with enforcement proceedings;

(ii) Deprive a person of a right to a fair trial or an impartial adjudication;

[ocr errors][ocr errors]

(iii) Constitute an unwarranted inva- employment or eligibility for access sion of personal privacy;

(iv) Disclose the identity of a confidential source;

(v) Disclose confidential information
furnished only from confidential

source obtained by a criminal law en-
forcement authority in a criminal in-
vestigation or by an agency conducting
a lawful national security intelligence
investigation;

(vi) Disclose investigative techniques
and procedures not already in the
public domain and requiring protec-
tion from public disclosure to insure
their effectiveness; or

(vii) Endanger the life or physical
safety of law enforcement personnel.
(2) Examples include:

(i) Statements of witnesses and
other material based on the informa-
tion developed during the course of
the investigation and all materials pre-
pared in connection with related Gov-
ernment litigation or adjudicative pro-
ceedings.

(ii) The identity of firms or individuals suspended from contracting with the Department of Defense or being investigated for alleged irregularities when no indictment has been obtained nor any civil action filed against them by the United States.

(iii) Information obtained in confidence in the course of:

(A) A criminal investigation by a criminal law enforcement agency or office within a component; or

(B) A lawful national security intelligence investigation conducted by an authorized agency or office for the purpose of obtaining affirmative or counter intelligence information, or background investigation information needed to determine suitability for

Type of Record

All others

Court-Ma

Involving

classified information. (3) The right of individual litigat to investigative records current available by law is not diminished. (4) On and after September 27, 19% when the subject of an investigati record is the requester of the record: may be withheld only in accordan with regulations implementing t Privacy Act of 1974 (5 U.S.C. 552a). (h) "Exemption 8" Matters. The condu contained in or related to examin tion, operating, or condition repor and prepared by, on behalf of, or for th use of any agency responsible for th Inspect regulations or supervision of financi institutions.

martia

which

Not inv specia

mont

Record

Record

(i) "Exemption 9" Matters. The containing geological and geophysic Instru information and data (including ma concerning wells.

Nav

521 Inter

Gen

Subpart C-Addresses for Request Le for Department of the Navy R cords and Locations at Which Dr partment of the Navy Records A Available for Public Inspection

§ 701.31 Addressees for requests for De

[ocr errors]

m

pr

ex

S

Jud

Ma

G

partment of the Navy records. Members of the public should ad dress requests to the commanding off cer or head of the activity where the record is located. When the official Lo having custody of the record is no known, the request should be ad dressed to the originating official, or the official having primary responsi Ibility for the subject matter involved The cognizant official to whom re quests for the most commonly request ed types of records should be ad dressed are as indicated below.

Civilian Personnel Records (or requests for information involving the personnel records of civilians). When requests involves civilians:

Addressee

Presently employed by the Department of the Navy, or separated from Federal The head of the activity where the person is

employment less than 30 days.

civilian personnel officer.

employed, marked for the attention of the Formerly employed by the Department of the Navy, or separated from Federal employ- Manager, National Personnel Records Center (Ci

ment for more than 30 days.

Chaplain Corps and religious affairs matters.

Contractual or procurement type records and related matters:

vilian Personnel Records), 111 Winnebago Street, St. Louis, MO 63118. Chief of Chaplains, Navy Department, Washing

ton, D.C. 20370.

Navy procurement directives, and armed services procurement regulation (ASPR); and Superintendent of Documents, U.S. Government

related indexes.

Printing Office, Washington, D.C. 20402.

[blocks in formation]

Martial Records:

Type of Record

e withheld a ing bad-conduct discharge. For request involving records of trial by general court

regulations tial, and by special court-martial involving an officer accused or involving a sentence
Act of 1974ch, as approved by the general court-martial convening authority, extends to a bad
duct discharge.
Exemption

nvolving a bad-conduct discharge. For requests involving records of trial of other din or racial and summary court-martial other than those described above (after final actions rating, or a retention period at a shore activity for 2 years and at a fleet activity for 3 by, on behanths).

agency res

or supervis

ption 9" M eological and

ctor General inspection, investigation, and related survey matters:
rds prepared by the Naval Inspector General.

rds prepared by inspector general of other Navy commanders.

uctions (unclassified) of general applicability issued under the Department of the
avy's directives issuance system; and quarterly subject index thereof (NAVPUBNOTE

nd data (215).

[ocr errors][merged small]

al matter records (other than those relating to court-martial records covered above): ddresses heral counsel legal matters. Requests relating to (1) the acquisition, custody, manageent of the ment, transportation, taxation, and disposition of real and personal property, and the procurement of services, including the fiscal, budgetary, and accounting aspects thereof, ations dxcepting, however, tort claims and admiralty claims arising independently of contract, e Navy and matters relating to the naval petroleum reserves; (2) operations of the Military Sealift Command, excepting tort and admiralty claims arising independently of contract;

"ublic Insp (3) the Office of the Comptroller of the Navy; (4) procurement matters in the field of patents, inventions, trademarks, copyrights, royalty payments, and similar matters, for reques including those in the armed services procurement regulation and Navy procurement avy recors directives and deviations therefrom, and (5) industrial security and claims and litigation

concerning the foregoing.

public sidge Advocate General legal matters. Requests for records involving all legal matters Command other than the above general counsel matters.

ctivity anpower management, civilian, matters. When the request relates to: ocal activity matters

Then the

e record

should General matters relating to Marine Corps, only, manpower management.

ing offe

management matters.

mary mothers, including any relating to overall Department of the Navy manpower atter Marine Corps records. When other specific addressee is not known, and when request is for to wh Marine Corps directives, publications, and manuals of general Marine Corps applicability. Medical records. When requests involve the medical records of military personnel, dependents of military personnel, and other civilians:

only re

uld

[ocr errors]

For Navy and Marine Corps officer and enlisted personnel and their dependents (other than those covered below).

Addressee

Contracting officer, or head of the procurement (purchasing) activity, when known. When one of these is not known, submit the request to the Chief of Naval Material (MAT 05), Washington, D.C. 20350; except if a Marine Corps matter, submit to the Deputy Chief for Installation and Logistics, U.S. Marine Corps, Washington, D.C. 20380.

Judge Advocate General, Navy Department,
Washington, D.C. 20370.

Manager, National Personnel Records Center (Military Personnel Records), 9700 Page Boulevard, St. Louis, MO 63132.

Naval Inspector General, Navy Department,
Washington, D.C. 20370.

The commander for whom the inspector general
records were prepared.

Director, Navy Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, PA 19111.

The Auditor General of the Navy, Navy Department, Washington, D.C. 20350.

The head of the activity which the request concerns, marked for the attention of the Office of Counsel, otherwise to: General Counsel, Navy Department, Washington, D.C. 20360.

Judge Advocate General, Navy Department,
Washington, D.C. 20370.

The head of the activity which the request
concerns, marked for the attention of the civil-
ian personnel officer.

Commandant of the Marine Corps (Code M),
Washington, D.C. 20380.

Director of Civilian Manpower Management,
Navy Department, Washington, D.C. 20390.
Commandant of the Marine Corps, Navy Depart-
ment, Washington, D.C. 20380.

The medical treatment activity where the record is maintained, if known. (This generally is the activity where the patient is being treated, or recently was treated, since records are forwarded to the receiving activity when a patient is transferred.)

For former Navy and Marine Corps personnel separated prior to 1913 and their dependents.. Chief, Navy and Old Army Branch, Military

[merged small][ocr errors][merged small][merged small][merged small]

(iii) Constitute an unwarranted invasion of personal privacy;

(iv) Disclose the identity of a confidential source;

(v) Disclose confidential information furnished only from confidential source obtained by a criminal law enforcement authority in a criminal investigation or by an agency conducting a lawful national security intelligence investigation;

(vi) Disclose investigative techniques and procedures not already in the public domain and requiring protection from public disclosure to insure their effectiveness; or

(vii) Endanger the life or physical safety of law enforcement personnel. (2) Examples include:

(i) Statements of witnesses and other material based on the information developed during the course of the investigation and all materials prepared in connection with related Government litigation or adjudicative proceedings.

(ii) The identity of firms or individuals suspended from contracting with the Department of Defense or being investigated for alleged irregularities when no indictment has been obtained nor any civil action filed against them by the United States.

(iii) Information obtained in confidence in the course of:

(A) A criminal investigation by a criminal law enforcement agency or office within a component; or

(B) A lawful national security intelligence investigation conducted by an authorized agency or office for the purpose of obtaining affirmative or counter intelligence information, or background investigation information needed to determine suitability for

Type of Record

employment or eligibility for access to classified information.

(3) The right of individual litigants to investigative records currently available by law is not diminished.

(4) On and after September 27, 1975, when the subject of an investigative record is the requester of the record, it may be withheld only in accordance with regulations implementing the Privacy Act of 1974 (5 U.S.C. 552a).

(h) "Exemption 8" Matters. Those contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of any agency responsible for the regulations or supervision of financial institutions.

(i) “Exemption 9" Matters. Those containing geological and geophysical information and data (including maps) concerning wells.

Subpart C-Addresses for Requests for Department of the Navy Records and Locations at Which Department of the Navy Records Are Available for Public Inspection

§ 701.31 Addressees for requests for Department of the Navy records.

Members of the public should address requests to the commanding officer or head of the activity where the record is located. 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 cognizant official to whom requests for the most commonly requested types of records should be addressed are as indicated below.

Civilian Personnel Records (or requests for information involving the personnel records of civilians). When requests involves civilians:

Addressee

Presently employed by the Department of the Navy, or separated from Federal The head of the activity where the person is employment less than 30 days. employed, marked for the attention of the civilian personnel officer.

Formerly employed by the Department of the Navy, or separated from Federal employ- Manager, National Personnel Records Center (Ciment for more than 30 days.

Chaplain Corps and religious affairs matters

Contractual or procurement type records and related matters:

vilian Personnel Records), 111 Winnebago Street, St. Louis, MO 63118.

Chief of Chaplains, Navy Department, Washington, D.C. 20370.

Navy procurement directives, and armed services procurement regulation (ASPR); and Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.

related indexes.

[blocks in formation]

Involving bad-conduct discharge. For request involving records of trial by general court martial, and by special court-martial involving an officer accused or involving a sentence which, as approved by the general court-martial convening authority, extends to a bad conduct discharge.

Not involving a bad-conduct discharge. For requests involving records of trial of other special and summary court-martial other than those described above (after final actions and a retention period at a shore activity for 2 years and at a fleet activity for 3 months).

Inspector General inspection, investigation, and related survey matters:
Records prepared by the Naval Inspector General.

Records prepared by inspector general of other Navy commanders

Instructions (unclassified) of general applicability issued under the Department of the Navy's directives issuance system; and quarterly subject index thereof (NAVPUBNOTE 5215).

Internal audit matters........

Legal matter records (other than those relating to court-martial records covered above): General counsel legal matters. Requests relating to (1) 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; (2) operations of the Military Sealift Command, excepting tort and admiralty claims arising independently of contract; (3) the Office of the Comptroller of the Navy; (4) procurement matters in the field of patents, inventions, trademarks, copyrights, royalty payments, and similar matters, including those in the armed services procurement regulation and Navy procurement directives and deviations therefrom, and (5) industrial security and claims and litigation concerning the foregoing.

Addressee

Contracting officer, or head of the procurement (purchasing) activity, when known. When one of these is not known, submit the request to the Chief of Naval Material (MAT 05), Washington, D.C. 20350; except if a Marine Corps matter, submit to the Deputy Chief for Installation and Logistics, U.S. Marine Corps, Washington, D.C. 20380.

Judge Advocate General, Navy Department, Washington, D.C. 20370.

Manager, National Personnel Records Center (Military Personnel Records), 9700 Page Boulevard, St. Louis, MO 63132.

Naval Inspector General, Navy Department, Washington, D.C. 20370.

The commander for whom the inspector general records were prepared.

Director, Navy Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, PA 19111.

The Auditor General of the Navy, Navy Department, Washington, D.C. 20350.

The head of the activity which the request concerns, marked for the attention of the Office of Counsel, otherwise to: General Counsel, Navy Department, Washington, D.C. 20360.

Judge Advocate General legal matters. Requests for records involving all legal matters Judge Advocate General, Navy Department, other than the above general counsel matters.

Manpower management, civilian, matters. When the request relates to:

Local activity matters......

General matters relating to Marine Corps, only, manpower management..

All others, including any relating to overall Department of the Navy manpower management matters.

Marine Corps records. When other specific addressee is not known, and when request is for Marine Corps directives, publications, and manuals of general Marine Corps applicability. Medical records. When requests involve the medical records of military personnel, dependents of military personnel, and other civilians:

Washington, D.C. 20370.

The head of the activity which the request concerns, marked for the attention of the civilian personnel officer.

Commandant of the Marine Corps (Code M), Washington, D.C. 20380.

Director of Civilian Manpower Management, Navy Department, Washington, D.C. 20390. Commandant of the Marine Corps, Navy Department, Washington, D.C. 20380.

For Navy and Marine Corps officer and enlisted personnel and their dependents (other than The medical treatment activity where the record those covered below).

is maintained, if known. (This generally is the activity where the patient is being treated, or recently was treated, since records are forwarded to the receiving activity when a patient is transferred.)

For former Navy and Marine Corps personnel separated prior to 1913 and their dependents.. Chief, Navy and Old Army Branch, Military

Officer personnel who have been separated from the service (discharged, retired, or deceased) for more than 4 months, reservists not on active duty, and nonparticipating

reservists.

Enlisted personnel on extended active duty who have been separated (discharged, retired, or deceased) for less than 4 months, and temporary disability retired enlisted personnel. Enlisted personnel who have been separated (discharged, retired, or deceased) for more than 4 months, transferred to the fleet reserve, and inactive enlisted reservists not affiliated with a reserve unit.

Archives Division, National Archives and Records Service, GSA, Washington, D.C. 20408. Manager, National Personnel Records Center

(Military Personnel Records), 9700 Page Boulevard, St. Louis, MO 63132. Commandant of the Marine Corps (Code M), Navy Department, Washington, D.C. 20380. Manager, National Personnel Records Center (Military Personnel Records), 9700 Page Boulevard, St. Louis, MO 63132.

« PreviousContinue »