er of the referral. Referred records shall only be identified to the extent consistent with security requirements. In cases in which the originating agency determines in writing that a response under paragraph (c)(3)(i)(A) of this section is required, the referring agency shall respond to the requester in accordance with that paragraph.

(C) If a naval activity receives a request which includes classified records originated by another naval activity for which the head of the activity is not the classifying authority in accordance with OPNAV Instruction 5510.1 series, Department of the Navy Information Security Program Regulation, the request and copies of the requested documents shall promptly be readdressed and forwarded to the official having classification authority for the subject matter. The appropriate official will then review and make a determination as to the releasability of the classified portions of the records and so notify the requester within 10 working days after he/she has received the request. The naval activity that initially received the request has the responsibility for notifying the requester of the referral. Referred records shall only be identified to the extent consistent with security requirements.

(ii) NIS reports-a request for a Naval Investigative Service report or any portion thereof shall promptly be readdressed and forwarded to the Director, Naval Investigative Service, for review and release determination. The naval activity that initially received the request has the responsibility for notifying the requester of the referral. Direct liaison with NIS prior to the referral is encouraged.

(iii) JAG Manual investigative reports—a request for a JAG Manual investigative report shall promptly be readdressed and forwarded to OJAG, Code 21, for review and release determination except as provided in section 1331(b)(1) of the Manual of the Judge Advocate General (JAGINST 5800.7A) (§ 720.31(b)(1) of this chapter). The naval activity that initially received the request has the responsibility for notifying the requester of the referral.

(iv) Mishap investigation reports-a request for a mishap investigation

report shall promptly be readdressed and forwarded to the Commander, Naval Safety Center, for review and release determination. The naval activity that initially received the request has the responsibility for notifying the requester of the referral.

(v) Naval Audit Service reports-a request for a Naval Audit Service report shall promptly be readdressed and forwarded to the Naval Audit Service Headquarters (Code OPS) for review and release determination. The naval activity that initially received the request has the responsibility for notifying the requester of the referral.

(vi) Technical documents controlled by distribution statements-a request for a technical document to which "Distribution Statement B" is affixed shall promptly be readdressed and forwarded directly to the "controlling DoD office" in accordance with Chief of Naval Material Instruction 5200.29 series, Distribution Statements on Technical Documents, for review and release determination. The naval activity that initially received the request has the responsibility for notifying the requester of the referral. Direct liaison with the cognizant official prior to referral is encouraged.

(vii) Records originated by other government agencies-When a request for records is received which was originated by an agency outside the Department of the Navy, promptly readdress it, forward the request and copies of the requested documents to the cognizant agency having the responsibility for acting on the request and notify the requester of the readdressal. This may be accomplished by sending a copy of the readdressal letter to the requester. The 10 working day time limit commences when the request is received by the cognizant agency. If additional guidance is required, contact the Chief of Naval Operations (OP-09B1P) or the Commandant of the Marine Corps (Code PAP), as appropriate. Direct liaison with the agency having cognizance over the record is encouraged for ensuring the expeditious handling of the request.

(d) Misdirected requests. Misdirected/misaddressed requests received for copies of or permission to examine Department of the Navy records shall be

promptly readdressed and forwarded directly to the cognizant naval activity having the responsibility for acting on the request. Although the 10 working day time limit does not commence until the request is received by the cognizant official, telephonic liaison is encouraged to alert the official that the request is being referred. The naval activity that initially received the request is responsible for notifying the requester of the readdressal.

(e) Records on Non-U.S. Government source. When a request is received for a record that was obtained from a nonU.S. Government source, or for a record containing information clearly identified as having been provided by a non-U.S. Government source, the source of the record or information normally shall be notified promptly of the request and afforded reasonable time to present any objections concerning the release unless it is clear that there can be no valid basis for objection. If for example, the record or information was provided with actual or presumptive knowledge of the nonU.S. Government source and that it would be made available to the public upon request, there is no obligation to notify the source. Any objections shall be evaluated. When a substantial issue has been raised, the official may seek additional information from the source of the information and afford the source and requester reasonable opportunities to present their arguments on the legal issues involved prior to making an agency determination. When the source advises it 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 the court action is known.

§ 701.6 Format and procedures for requesting records.

(a) Minimum requirements. To qualify as an FOIA request within the technical requirements of Subparts A, B, and D of this Part 701, a request for copies of, or for permission to examine Department of the Navy records must, at a minimum:

(1) Be in writing and indicate expressly, or by clear implication, that it is a request made under 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) or Subparts A, B, and D of this Part 701.

(2) Contain a reasonable description of the particular record(s) requested. For example, provide details of the subject matter, type and location of incident, dates, originator, etc., to enable naval personnel to locate or identify the particular record(s) desired with a reasonable amount of effort; and,

(3) Contain a clear statement that the requester is willing and able to pay all fees or fees up to a specified limit, or provide satisfactory evidence that he/she is entitled to a waiver/reduction of such fees in accordance with 32 CFR Part 701, Subpart D, if the documents to be released are expected to exceed the minimum fee waiver threshold.

Note: Fees totaling $30 or less normally waived (See 32 CFR Part 701, Subpart D).

(b) Treatment of request not meeting minimum requirements. (1) Requests which do not conform to the minimum requirements should, if possible, be answered within 10 working days after receipt. Whenever possible, the response should attempt to assist the requester in obtaining the desired records in accordance with the provisions of Subparts A, B, and D of this Part 701. For example, if the requester has not provided a reasonable description of the desired record(s), assist the requester in framing a new request in a way which might facilitate identification of the record(s). If the requester fails to offer to pay fees, furnish the requester with a reasonable estimate of any search and reproduction costs associated with the processing of the request. Activities are encouraged to contact the requester, if practicable, to clarify what he/she is seeking.

(2) If a request fails to qualify for treatment within the technical requirements of Subparts, A, B, and D of this Part 701, but the requested record is available and is releasable in its en

tirety, the responding official may provide a copy of the record if he/she determines it to be in the best interests of the activity to do so. The application of this provision shall be within the sole and exclusive discretion of the responsible official of the activity concerned and shall not be construed as creating an exception to, or grounds for, waiver of the minimum requirements.

§ 701.7 Procedures for processing FOIA requests.

(a) Administrative controls. Upon receipt of a written request for examination or copies of records, the naval activity will immediately ensure that action is taken to control the request and provide for its priority and expeditious handling, and for responding to the requester within the 10 working day limit (excluding Saturdays, Sundays, and legal holidays).

(b) Time limits for determinations. Once the request is received by the official having responsibility for acting on it, a response shall be made to the requester within 10 working days (excluding Saturdays, Sundays, and legal holidays), unless an extension of the time limit is needed to complete the processing of the request.

(1) Extension of time limits. (i) Statutory extensions of time limits are only authorized in accordance with the following conditions:

(A) The need to search for and collect records that are located in whole or part at places separate from the activity processing the request;

(B) The need to search for, collect, and examine a substantial number of records responsive to a request; or,

(C) The need to consult with another naval activity or another agency which has a substantial subject-matter interest in the determination of the request.

(ii) When a statutory extension of time is needed, the IDA shall acknowledge the request in writing, within the 10 working day period, decribe the circumstance(s) requiring the delay, and indicate the anticipated date for a substantive response.

(iii) If it appears to be a substantial possibility that the request might be ultimately denied, in whole or in part,

the Judge Advocate General (Code 14) or the General Counsel, as appropriate, may be consulted by expeditious means prior to authorizing such extension.

(iv) When it is anticipated that 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 dalay, and indicate the anticipated date for the substantive response. The requester shall be advised that he/she may appeal to the designee of the Secretary of the Navy within 45 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.

(v) As an alternative to the taking of formal extensions of time as described in paragraphs (b)(1)(i) (A) through (C) of this section, the official having responsibility for the release of requested information may negotiate informal extensions of time with requesters where appropriate, as an alternative to the procedure described in paragraph (b)(1) (i) or (iv) of this section.

(2) [Reserved]

(c) Action by officials who are not IDA's. When the head of the activity responsible for acting on a request is not authorized under § 701.5(b) to deny requests, that official shall, within the applicable time limit, take one of the following actions:

(1) If it has been determined that the requested record is releasable in its entirety and is available, and the fees for search and duplication have either been met or waived, forward a copy of the requested record directly to the requester. However, if search and duplication fees exceed the minimum fee waiver threshold, the requester may be instructed to forward payment prior to the record(s) being provided.

(2) If it has been determined that the requested record is releasable in its entirety but is not yet available, notify the requester that the request

has been approved and that the requested record will be forwarded by a specified date, subject to appropriate directions concerning the payment of fees.

(3) If it has been determined that the request for examination of records is approved, notify the requester of the time and place where the records may be examined, subject to appropriate directions concerning the payment of fees, if any, incurred for searching for the records.

(4) If it has been determined that the request for records has been misaddressed or that the records being sought are held by another naval activity or government agency, promptly readdress it and advise the requester of the action taken.

(5) If it has been determined that the requested record should not be released in whole or in part, forward the request, a copy of the requested record(s), and the recommendation for denial (which briefly states the applicable exemption(s) and whether a governmental interest would be jeopardized by its release) to the next superior in the administrative chain of command authorized under § 701.5(b).

(d) Action by IDA's. When an IDA receives a request referred by a subordinate official or receives any other request to which he/she may respond, the IDA shall, within a 10 working day time limit, take one of the following actions:

(1) Execute one of the actions specified in paragraph (c) (1) through (4) of this section or, if appropriate, direct a subordinate to do so.

(2) If the processing of a request cannot be completed within the applicable time limit, explain the reason(s) for the delay to the requester, with notification that he/she may treat this delay as an initial denial with a right to submit an administrative appeal to the designee of the Secretary of the Navy (Judge Advocate General or General Counsel) within 45 days, 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.

(3) If the IDA determines that the requested record contains information which is not releasable under the FOIA, and the releasable information contained in the record is not reasonably segregable from the nonreleasable information, notify the requester of the determination, the reasons therefor, and the name(s) and title(s) of the person(s) responsible for the denial. Such notification shall also include the specific citation of the exemption(s) upon which the denial is based, a brief discussion that there is a jeopardy to the governmental interest served by invoking the exemption(s), and advisement of the requester's right to appeal to the designee of the Secretary of the Navy (Judge Advocate General or General Counsel) within 45 days. Additionally, if the denial is based, in whole or in part, on a security classification, the notification shall include a summary of the particular provisions of paragraph 5101 of OPNAV Instruction 5510.1 series, Department of the Navy Information Security Program Regulation, which contains the rationale for the correct classification of the requested record.

(4) If the IDA determines that the requested record contains releasable information that is reasonably segregable from the nonreleasable information, he/she shall:

(i) With respect to the releasable information of the record, take the actions indicated in paragraph (c)(1) through (3) of this section; and,

(ii) With respect to the nonreleasable information of the record, take the action indicated in paragraph (d)(3) of this section.

(5) If the requester relies upon a claimed entitlement to a waiver/reduction of applicable fees, the IDA shall, if he/she determines that the requester's entitlement to such waiver/reduction is not warranted, notify the requester of such determination, the reason(s) therefor, the name(s) and title(s) of the person(s) responsible for the determination, and the right of the requester to appeal the determination to the designee of the Secretary of the Navy (Judge Advocate General or General Counsel), within 45 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.

(e) Other reasons. Other reasons that an FOIA request cannot be acted upon, but which are not considered to be denials are:

(1) The referring official is unable to make a determination as to the releasability of a requested record within the applicable time limit because the record has not been located or obtained.

(2) The information requested is not a record within the meaning of the FOIA 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).

(3) A record has not been described with sufficient particularity to enable it to be located by conducting a reasonable search.

(4) The requester has failed to comply with procedural requirements concerning time, place, or fees. Note: Officials who are not IDA's may not deny requests for waiver or reduction of search and duplication fees.

(5) The activity has determined through knowledge of its files and a reasonable search effort that it does not hold the requested record.

(f) Consultation encouraged. Consultation with officials in other naval activities or other government agencies having a substantial interest in or useful advice concerning the determination of requests under the purview of Subparts A, B, and D of this Part 701 is encouraged wherever practicable, and, in some instances, is required.

(1) Consultation is required with other naval activities or agencies having substantial interest in the subject matter of requested records which may be withheld under the exemptions cited in 32 CFR Part 701, Subpart B.

(2) Consultation with the Office of the Judge Advocate General, the Office of the General Counsel, or the appropriate naval attorney in the field is encouraged concerning the interpretation and application of the technical provisions of Subparts A, B, and D of this Part 701, or where a denial of a

request is expected to be appealed or judicially challenged.

(3) Consultation with a public affairs officer or the Chief of Information (OP-007) is encouraged when the requested records are considered newsworthy; a request is received from a news media representative; or, a denial of a request is expected to be publicly challenged. Further, the Chief of Information shall be notified of any release having evident public affairs implications.

(4) In the case of a denial of a request, in whole or in part, under Subparts A, B, and D of this Part 701 or a denial of waiver/reduction of fees, the IDA shall maintain a legible copy of the case file containing all pertinent correspondence and the requested record for prompt forwarding, upon request, to the Judge Advocate General or the General Counsel, in the event of an appeal.

(g) Mailing lists. Frequent FOIA requests are received which seek mailing lists of the home addresses and/or duty station addresses of naval personnel.

(1) A request for a mailing list of home addresses is not releasable without the individuals' consent. This is construed to be a clearly unwarranted invasion of the individual' privacy and therefore may be withheld from disclosure under 5 U.S.C. 552(b)(6).

(2) A request for a mailing list for names and duty station addresses may be releasable, however certain facts must be brought to the attention of the requester prior to releasing the list. For example, many existing duty station address listings do not contain sufficient information to enable either the U.S. Postal Service or Navy-operated mail and distribution facilities to ensure delivery. These incomplete addresses would necessitate directory service which is often not available. As a result, such mailings will normally be endorsed as undeliverable and returned to the sender or otherwise disposed of. Further, if during the processing of a mailing list request it is determined that the duty station address is insufficient to effect delivery, the requester should be advised by letter of the potential for nondelivery. Fees associated with the processing of mail