[Code of Federal Regulations]
[Title 32, Volume 5]
[Revised as of July 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 32CFR701.9]

[Page 59-60]
 
                       TITLE 32--NATIONAL DEFENSE
 
                   CHAPTER VI--DEPARTMENT OF THE NAVY
 
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 (FOIA) 
                                 Program
 
Sec. 701.9  Referrals.

    (a) The DoD/DON FOIA referral policy is based upon the concept of 
the originator of a record making a release determination on its 
information. If a DON activity receives a request for records originated 
by another DoD/DON activity, it should contact the activity to determine 
if it also received the request, and if not, obtain concurrence to refer 
the request. In either situation, the requester shall be advised of the 
action taken, unless exempt information would be revealed.
    (b) While referrals to originators of information result in 
obtaining the best possible decision on release of the information, the 
policy does not relieve DON activities from the responsibility of making 
a release decision on a record should the requester object to referral 
of the request and the record. Should this situation occur, DON 
activities should coordinate with the originator of the information 
prior to making a release determination.
    (c) A request received by a DON activity having no records 
responsive to a request shall be referred routinely to another DoD/DON 
activity, if the other activity has reason to believe it has the 
requested record. Prior to notifying a requester of a referral to 
another DoD/DON activity, the DON activity receiving the initial request 
shall consult with the other DoD/DON activity to determine if that 
activity's association with the material is exempt. If the association 
is exempt, the activity receiving the initial request will protect the 
association and any exempt information without revealing the identity of 
the protected activity. The protected activity shall be responsible for 
submitting the justifications required in any litigation.
    (d) Any DON activity receiving a request that has been misaddressed 
shall refer the request to the proper address and advise the requester. 
DON activities making referrals of requests or records shall include 
with the referral, a point of contact by name, a telephone

[[Page 60]]

number (commercial and DSN), and an e-mail address (if available).
    (e) A DON activity shall refer a FOIA request for a record that it 
holds but was originated by another Executive Branch agency, to them for 
a release determination and direct response to the requester. The 
requester shall be informed of the referral, unless it has been 
determined that notification would reveal exempt information. Referred 
records shall only be identified to the extent consistent with security 
requirements.
    (f) A DON activity may refer a request for a record that it 
originated to another activity or agency when the activity or agency has 
a valid interest in the record, or the record was created for the use of 
the other agency or activity. In such situations, provide the record and 
a release recommendation on the record with the referral action. DON 
activities should include a point of contact and telephone number in the 
referral letter. If that organization is to respond directly to the 
requester, apprise the requester of the referral.
    (g) Within the DON/DoD, a DON activity shall ordinarily refer a FOIA 
request and a copy of the record it holds, but that was originated by 
another DON/DoD activity or that contains substantial information 
obtained from that activity, to that activity for direct response, after 
direct coordination and obtaining concurrence from the activity. The 
requester shall be notified of such referral. In any case, DON 
activities shall not release or deny such records without prior 
consultation with the activity, except as provided in paragraph (c) of 
this section.
    (h) Activities receiving a referred request shall place it in the 
appropriate processing queue based on the date it was initially received 
by the referring activity/agency.
    (i) Agencies outside the DON that are subject to the FOIA. (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 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.

    Note: DON activities shall not refer documents originated by 
entities outside the Executive Branch of Government (e.g., Congress, 
State and local government agencies, police departments, private citizen 
correspondence, etc.), to them for action and direct response to the 
requester, since they are not subject to the FOIA.

    (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.